[Federal Register Volume 69, Number 56 (Tuesday, March 23, 2004)]
[Notices]
[Pages 13563-13577]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-6378]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Request for Applications for Recovery Community 
Services Program (RCSP III) (TI 04-008)

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

ACTION: Notice of request for applications for Recovery Community 
Services Program (RCSP III) (TI 04-008).

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    Authority: Section 509 of the Public Health Service Act, as 
amended and subject to the availability of funds.

SUMMARY: The United States Department of Health and Human Services 
(HHS), Substance Abuse and Mental Health Services Administration's 
(SAMHSA) Center for Substance Abuse Treatment (CSAT) is accepting 
applications for fiscal year (FY) 2004 grants to deliver and evaluate 
peer-to-peer recovery support services that help prevent relapse and 
promote sustained recovery from alcohol and drug use disorders, as 
authorized under section 509 of the Public Health Service Act. 
Successful applicants will provide peer-to-peer recovery support 
services that are responsive to community needs and strengths, and will 
carry out a quantitative and qualitative evaluation of the services.
    This Recovery Community Services Program (RCSP III) complements 
SAMHSA's Access to Recovery (ATR) program, which provides grant funding 
to States, Territories and Tribal Organizations to implement voucher 
programs for substance abuse clinical treatment and recovery support 
services. ATR is part of a major Presidential Initiative to provide 
client choice among substance abuse clinical treatment and recovery 
support service providers, expand access to a comprehensive array of 
clinical treatment and recovery support options (including faith-based 
programmatic options), and increase substance abuse treatment capacity. 
Although not required, applicants for RCSP III are encouraged to 
coordinate with their State/Territorial/Tribal governments so that RCSP 
applications will complement the State/Territorial/Tribal governments' 
applications for ATR.

DATES: Applications are due on May 18, 2004.

FOR FURTHER INFORMATION CONTACT: For questions on program issues, 
contact: Catherine D. Nugent, M.S., SAMHSA/CSAT, 5600 Fishers Lane, 
Rockwall II, Room 7-213, Rockville, MD 20857, Phone: (301) 443-2662, 
Fax: (301) 443-8345, E-mail: [email protected].
    For questions on grants management issues, contact: Kathleen 
Sample, Division of Grants Management, Substance Abuse and Mental 
Health Services Administration/OPS, 5600 Fishers Lane, Rockwall II 6th 
Floor, Rockville, MD 20857, Phone: (301) 443-9667, Fax: (301) 443-6468, 
E-mail: [email protected].

SUPPLEMENTARY INFORMATION:

Center for Substance Abuse Treatment; Projects To Deliver and Evaluate 
Peer-to-Peer Recovery Support Services

Short Title: Recovery Community Services Program--RCSP III (Initial 
Announcement)

Request for Applications (RFA) No. TI 04-008

    Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243.

[[Page 13564]]



                                Key Dates
------------------------------------------------------------------------
           Application Deadline                     May 18, 2004
------------------------------------------------------------------------
Intergovernmental Review (E.O. 12372).....  Letters from State Single
                                             Point of Contact (SPOC) are
                                             due no later than 60 days
                                             after application deadline.
Public Health System Impact Statement       Applicants must send the
 (PHSIS)/Single State Agency Coordination.   PHSIS to appropriate State
                                             and local health agencies
                                             by application deadline.
                                             Comments from Single State
                                             Agency are due no later
                                             than 60 days after
                                             application deadline.
------------------------------------------------------------------------

Table of Contents

I. Funding Opportunity Description
    1. Introduction
    2. Expectations
II. Award Information
    1. Award Amount
    2. Funding Mechanism
III. Eligibility Information
    1. Eligible Applicants
    2. Cost-Sharing
    3. Other
IV. Application and Submission Information
    1. Address to Request Application Package
    2. Content and Form of Application Submission
    3. Submission Dates and Times
    4. Intergovernmental Review (E.O. 12372) Requirements
    5. Funding Limitations/Restrictions
    6. Other Submission Requirements
V. Application Review Information
    1. Evaluation Criteria
    2. Review and Selection Process
VI. Award Administration Information
    1. Award Notices
    2. Administrative and National Policy Requirements
    3. Reporting Requirements
VII. Agency Contacts
Appendix A: References Cited in RFA
Appendix B: Examples of Peer-to-Peer Recovery Support Services
Appendix C: Checklist for Formatting Requirements and Screen Out 
Criteria for SAMHSA Grant Applications
Appendix D: RCSP Core Values
Appendix E: Sample Consent to Participate in Peer Recovery Support 
Services
Appendix F: Analysis of Examples of Risks/Protections for 
PeerRecovery Support Services
Appendix G: Examples of Potential Participant Protection Challenges 
in Peer Services and Strategies to Address
Appendix H: Glossary

I. Funding Opportunity Description

1. Introduction

    As authorized under section 509 of the Public Health Service Act, 
the Substance Abuse and Mental Health Services Administration (SAMHSA), 
Center for Substance Abuse Treatment (CSAT) announces the availability 
of FY 2004 funds for grants to deliver and evaluate peer-to-peer 
recovery support services that help prevent relapse and promote 
sustained recovery from alcohol and drug use disorders. Successful 
applicants will provide peer-to-peer recovery support services that are 
responsive to community needs and strengths, and will carry out a 
quantitative and qualitative evaluation of the services.
    This Recovery Community Services Program (RCSP III) complements 
SAMHSA's Access to Recovery (ATR) program. ATR provides grant funding 
to States, Territories and Tribal Organizations to implement voucher 
programs for substance abuse clinical treatment and recovery support 
services pursuant to sections 501(d)(5) and 509 of the Public Health 
Service Act (42 U.S.C. 290aa(d)(5) and 290bb-2). ATR is part of a major 
Presidential Initiative to provide client choice among substance abuse 
clinical treatment and recovery support service providers, expand 
access to a comprehensive array of clinical treatment and recovery 
support options (including faith-based programmatic options), and 
increase substance abuse treatment capacity. Although not required, 
applicants for RCSP III are encouraged to coordinate with their State/
Territorial/Tribal governments so that RCSP applications will 
complement the State/Territorial/Tribal governments' applications for 
ATR.

2. Expectations

2.1 Target/Involved Population
    The primary target for this program is people with a history of 
alcohol and/or drug problems who are in or seeking recovery, along with 
their family members and significant others who will be both the 
providers and recipients of recovery support services. For purposes of 
this document, the term peer means people who share the experience of 
addiction and recovery, either directly or as family members/
significant others.
2.2 Eligible Services
    Peer-to-peer recovery support services are designed and delivered 
by peers rather than by professionals. Professionals will be good 
allies, and successful peer initiatives will network and build strong 
and mutually supportive relationships with formal systems and 
professionals in their communities. However, peer services will be 
designed and delivered primarily by individuals and families in 
recovery to meet their recovery support needs, as they define them. 
Therefore, although supportive of formal treatment, peer recovery 
support services are not treatment in the commonly understood clinical 
sense of the term.
    At the same time, peer recovery support services are expected to 
extend and enhance the treatment continuum in at least two ways. These 
services will help prevent relapse and promote long-term recovery, 
thereby reducing the strain on the over-burdened treatment system. 
Moreover, when individuals do experience relapse, recovery support 
services can help minimize the negative effects through early 
intervention and, where appropriate, timely referral to treatment.
    Continued sobriety or abstinence (which includes abstinence 
attained with medication, such as methadone or buprenorphine) is an 
important part of sustained recovery from addiction. However, recovery 
is a larger construct than sobriety or abstinence that embraces a full 
reengagement with the community based on resilience, health, and hope. 
Therefore, peer recovery support services are expected to focus less on 
the pathology of substance use disorders and more on maximizing the 
opportunities to create a lifetime of recovery and wellness for self, 
family, and community. Appendix B provides a listing of examples of 
peer-to-peer recovery support services.
    This grant program is not designed to support the provision of 
professional treatment services, including aftercare, by any type of 
provider. Peer support services cannot replace acute treatment, and it 
would be unethical to utilize peer leaders from the recovery community 
to provide services, such as treatment, counseling, or psychotherapy, 
that should be provided by a professional. Peer leaders providing 
recovery support services under this program will offer a limited range 
of supportive services that differ from and complement those provided 
by alcohol and drug counselors, psychotherapists, or other 
professionals.
    In addition, the program is not designed to support treatment or 
other professionals in the provision of recovery support services. 
Individuals who self-identify as both a professional and a person in 
recovery may provide recovery support services in their capacity as a 
peer, but may not provide professional services under this grant.

[[Page 13565]]

RCSP III is intended to support peer leaders from the recovery 
community in providing recovery support services to people in recovery 
and their family members.

2.3 Mix of Services
    Applicants must demonstrate that the array of services offered is 
responsive to community need and complements existing community 
resources. The goal is to add to the existing resources in the 
community with peer-to-peer recovery support services that can meet the 
stage-appropriate needs of people who are seeking to initiate recovery 
or working to sustain it. Successful peer-to-peer recovery support 
services will include ongoing assessment of participants' support needs 
and a menu of supportive services to meet the needs at various stages 
in recovery.
    Because peer recovery support services operationalize the construct 
of social support, it may be helpful for applicants to consider four 
types of social support cited in the literature (Cobb, 1976; Salser, 
1998), and to design a mix of services that includes activities in the 
following categories:
     Emotional support refers to demonstrations of 
empathy, love, caring, and concern. Emotional support bolsters one's 
self-esteem and confidence. An emotional supporter serves as a 
confidante, offering acceptance, care, and understanding. Peer 
mentoring, coaching, and support groups are examples of recovery 
support services that provide emotional support.
     Informational support involves assistance with 
knowledge, information, and skills. This type of support can include 
providing information on where to go for resources or might involve 
teaching a specific skill. Examples of recovery support services that 
provide informational support include life skills training (e.g., 
parenting, stress management, conflict resolution), job skills 
training, citizen restoration, educational assistance, and health and 
wellness information (e.g., smoking cessation, nutrition, relaxation 
training).
     Instrumental support refers to concrete 
assistance in helping others to do things or get things done, 
especially stressful or unpleasant tasks. Examples in this category 
might include providing transportation to get to support groups, child-
care, clothing closets, and concrete assistance with tasks such as 
filling out applications or helping people obtain entitlements.
     Companionship support offers the opportunity to 
experience connections with people in whose company one enjoys being, 
especially for recreational activities. It is important for people in 
recovery to have opportunities for positive leisure activities in an 
alcohol- and drug-free environment. Especially in early recovery when 
there may be little that is reinforcing about abstaining from alcohol 
or drugs, finding some pleasure with others may help prevent relapse.
    Based on assessment of the targeted recovery community, the 
applicant should determine which services, and in which proportion, are 
expected to be optimally responsive to community needs.

    Note: Although alcohol- and drug-free social and recreational 
activities are acceptable services under this grant, applicants may 
not limit their services to companion support, but, rather, must 
include a broad range of supports from the various social support 
categories.

2.4 Core Values
    Applicants must identify the core values that will guide their 
approach, and explain how these values will be operationalized in the 
design and delivery of peer-to-peer recovery support services. 
Applicants must discuss each of the following values, which are further 
explained in Appendix D: (a) Keeping recovery first; (b) participatory 
process; (c) authentic recovery community voice; (d) leadership 
development, and (e) cultural diversity and inclusion. Applicants may 
identify and discuss other values important to the targeted recovery 
community, but must discuss these five.
2.5 Types of Peer Service Organizations
    Applications may be submitted by either independent recovery 
community organizations (RCOs) or facilitating organizations.
    RCOs are organizations comprised of and led primarily by people in 
recovery and their family members and other allies. Generally, these 
are independent organizations with nonprofit status.
    Facilitating organizations may not necessarily be comprised 
primarily of people in recovery; however, people in recovery and their 
family members must be involved in all aspects of application 
development, program design, and implementation. Examples of 
facilitating organizations include: treatment and mental health 
agencies, community service centers, consortia of community-based 
organizations not led by recovery community members, universities, and 
units of government.
    The facilitating organization's role in the grant will be to:
     Enable the formation of an independent RCO that 
will provide peer-to-peer recovery support services; or
     Develop some other viable organizational 
structure that enables recovery community members to provide peer-to-
peer recovery support services in an autonomous and self-directed 
manner within the facilitating organization.
    Whether through formation of an RCO or another organizational 
structure, the facilitating organization will build the capacity of the 
recovery community to design, deliver, and evaluate peer support 
services.
    Treatment providers, units of government, universities, and all 
other professionally-based organizations may apply only as facilitating 
organizations.
    Members of the recovery community must have a meaningful leadership 
role in any project, whether carried out by an RCO or facilitating 
organization.
2.6 Infrastructure Development (maximum 15% of total grant award)
    Organizations funded under RCSP III must be sufficiently 
established to begin implementing peer recovery support services within 
six months of award. However, SAMHSA recognizes that infrastructure 
development may be needed to support organizational start-up and 
development, as well as service design, in some instances. Although the 
majority of grant funds should be used for direct services, you may use 
up to 15% of the total RCSP III grant award for the following types of 
infrastructure development, if necessary, to support the design, 
development, and initiation of the peer services you will offer:
     Activities related to organizational and project 
start-up, such as staff and board development, as well as ongoing 
organizational functions, such as risk management and accounting 
services.
     Community assessment and development. (Although 
you must demonstrate knowledge of community needs and resources in your 
application, if you are funded, you may use a limited amount of grant 
funds to conduct additional assessments and refine your service plan, 
and to further mobilize the targeted recovery community to participate 
in the program.)
     Building partnerships to ensure the success of 
the project and entering into service delivery or other agreements.
    It is expected that peer leadership development (e.g., recruiting, 
orienting, training, and supervising peers to provide services) will be 
an ongoing activity. Peer leadership development is not considered 
infrastructure development.

[[Page 13566]]

2.7 Grantee Meetings
    You must plan to send at least two to three key staff members 
(including the Project Director) to a yearly technical assistance 
meeting, and you must plan to send approximately 5-8 representatives of 
your project, including key staff and peer leaders from your targeted 
recovery community, to a yearly RCSP conference. You must include 
funding for this travel in your budget. At these meetings, grantees 
will present the results of their projects and Federal staff will 
provide technical assistance. Each meeting will be 3 days. These 
meetings will usually be held in the Washington, DC., area, and 
attendance is mandatory.
2.8 Data and Performance Measurement
    The Government Performance and Results Act of 1993 (Pub. L. 103-62, 
or ``GPRA'') requires all Federal agencies to set program performance 
targets and report annually on the degree to which the previous year's 
targets were met.
    Agencies are expected to evaluate their programs regularly and to 
use results of these evaluations to explain their successes and 
failures and justify their request for funding.
    To meet 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 
explained below.
    The purpose of the RCSP III GPRA data is to provide information 
that helps to establish the value of peer-to-peer recovery support 
services in preventing relapse and promoting sustained recovery. To 
accomplish this, you will be required to provide data on a set of 
required performance indicators. (Note to previous RCSP applicants: The 
GPRA requirements have changed; RCSP III is designed to provide 
performance data that was not required in previous RCSP programs.)
    For adults receiving services, GPRA indicators include changes in a 
positive direction or stability over time on each of five measures, 
showing that adults receiving your services:
     Are currently employed or engaged in productive 
activities
     Have a permanent place to live in the community
     Have reduced their involvement with the criminal 
justice system
     Have not used illegal drugs or misused alcohol 
or prescription drugs during the past month
     Have experienced reduced health, behavior, or 
social consequences related to abuse of alcohol or illegal drugs or 
misuse of prescription drugs.
    For youth/adolescents under age 18 receiving services, GPRA 
indicators include changes in a positive direction or stability over 
time on five measures, showing that youth/adolescents receiving your 
services:
     Are attending school
     Are residing in a stable living environment
     Have no involvement in the juvenile justice 
system
     Have not used alcohol or illegal drugs or 
misused prescription drugs during the previous month
     Have experienced reduced health, behavior, or 
social consequences related to use of alcohol, abuse of illegal drugs, 
or misuse of prescription drugs.
    GPRA data are to be collected at baseline (i.e., the participant's 
entry into the RCSP grantee's service program), 6 months after the 
baseline, and 12 months after the baseline. Projects serving 
adolescents may also want to collect 3 month post-baseline data to 
capture the nuances of change particular to this population. It is 
expected that GPRA data will be entered into the GPRA Web system within 
7 business days of the forms being completed. In addition, it is 
expected that 80% of the participants will be followed up.
    You may allocate up to 20% of your project budget to collect and 
report GPRA data and for your process evaluation (see below).
    The data collection tool, Targeted Capacity Expansion Client Level 
GPRA Tool, to be used for reporting the required data will be provided 
in the application kits distributed by the National Clearinghouse for 
Alcohol and Drug Information (NCADI) and can be found at http://www.csat-gpra.samhsa.gov/. (Click on ``Data Collection Tools/
Instructions.'' Then click on ``Targeted Capacity Expansion Program,'' 
then ``GPRA Tool.'')
    In your application, you must demonstrate your ability to collect 
and report on these measures. (You should not, however, include GPRA 
data collection forms.) If you do not have the capability to collect 
and report on the GPRA measures, you will need to partner with an 
individual or organization that does.
    GPRA data are to be collected and then entered into CSAT's GPRA 
Data Entry and Reporting System (www.csat-gpra.samhsa.gov). Training 
and technical assistance on data collecting, tracking, and follow-up, 
as well as data entry, will be provided by CSAT.
    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 four types of 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 RFAs may change. All grantees will be expected to 
comply with any changes in data collection requirements that occur 
during the grantee's project period.
2.9 Evaluation
    Grantees must evaluate their projects, and you are required to 
describe your evaluation plans in your application. The evaluation 
should be designed to provide regular feedback to the project to 
improve services. The evaluation must include the required GPRA 
performance measures (outcome evaluation) described above, as well as 
process components (process evaluation--described below), which measure 
change relating to project goals and objectives over time compared to 
baseline information. Control or comparison groups are not required.
    Process components should address issues such as:
     How closely did implementation match the plan?
     What types of deviation from the plan occurred?
     What led to the deviations?
     What effect did the deviations have on the 
planned intervention and evaluation?
     Who provided (program staff, peer leaders) what 
services (modality, type, intensity, duration), to whom (individual 
characteristics), in what context (organization, community), and at 
what cost (facilities, personnel, dollars)?
    You may use no more than 20% of the total grant award for 
evaluation and data collection, including GPRA.

II. Award Information

1. Award Amount

    It is expected that approximately $2.5 million will be available in 
fiscal year 2004 to fund approximately 7 grants. The average annual 
award is expected to be about $350,000 in total costs (direct and 
indirect), and grants will be awarded for a period of up to 4 years. 
The actual amount available for the awards may vary, depending on 
unanticipated program requirements and the number and quality of the 
applications received.

[[Page 13567]]

    Out of the $2.5 million available, SAMHSA/CSAT plans to set aside 
approximately $1.4 million to fund up to 4 RCOs (as defined in Section 
I.2.5, entitled Types of Peer Services Organizations).
    Proposed budgets cannot exceed the allowable amount 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

    Awards will be made as grants.

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.
    Consortia comprised of various types of eligible organizations are 
permitted; however, a single organization representing the consortium 
must be the applicant, the recipient of any award, and the entity 
responsible for satisfying the grant requirements.
    If you are proposing a consortia, a recovery community organization 
or people in recovery and their families must have a significant role 
in the consortium and the project.
    All applicants, including single organizations and consortia, must 
clearly indicate in their project narrative (in Section B, 
Organizational and Community Readiness and Feasibility) whether they 
are a Recovery Community Organization (RCO) or Facilitating 
Organization (FO). If your application fails to declare which type of 
organization you are, the Peer Review Committee will categorize your 
organization. Also, if the Peer Review Committee does not agree with 
the way you have categorized your organization, they may change your 
designation (e.g., from RCO to FO or vice versa).
    Organizations that were funded under Track II of the 2001 SAMHSA/
CSAT Recovery Community Support Program (TI-01-003), whose grants will 
be ending in September 2004, may apply for grants under this Request 
for Applicants (RFA). All other current RCSP grantees are ineligible 
for this program.

2. Cost-Sharing

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

3. Other

3.1 Additional Eligibility Requirements
    Applicants 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.

IV. Application and Submission Information

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

1. Address To Request Application Package

    You may request a complete application kit by calling the National 
Clearinghouse for Alcohol and Drug Information (NCADI) at 1-800-729-
6686. 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. Use 
the PHS 5161-1. Applications that are not submitted on the required 
application form will be screened out and will not be reviewed.
     Request for Applicants (RFA)--Includes 
instructions for the grant application. This document is the RFA.
    You must use 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 not be 
longer than 35 lines. In the first five lines or less of your abstract, 
write a summary of your project that can be used, if your project is 
funded, in publications, reporting to Congress, or press releases.
     Table of Contents--Include page numbers for each 
of the major sections of your application and for each appendix.
     Budget Form--Use SF 424A, which is part of the 
PHS 5161-1. Fill out Sections B, C, and E of the SF 424A.
     Project Narrative and Supporting Documentation--
The Project Narrative describes your project. It consists of Sections A 
through E. Sections A-E together may not be longer than 30 pages. More 
detailed instructions for completing each section of the Project 
Narrative are provided in ``Section V--Application Review Information'' 
of this document.
    The Supporting Documentation provides additional information 
necessary for the review of your application. This supporting 
documentation should be provided immediately following your Project 
Narrative in Sections F through I. There are no page limits for these 
sections, except for Section H, the Biographical Sketches/Job 
Descriptions.
     Section F--Literature Citations. This section 
must contain complete citations, including titles and all

[[Page 13568]]

authors, for any literature you cite in your application.
     Section G--Budget Justification, Existing 
Resources, Other Support. You must provide a narrative justification of 
the items included in your proposed budget, as well as a description of 
existing resources and other support you expect to receive for the 
proposed project. Be sure to show that no more than 15% of the total 
grant award will be used for infrastructure development and that no 
more than 20% of the total grant award will be used for data collection 
and evaluation.
     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. Instructions for completing 
Section I of your application are provided below in Section IV-2.4 of 
this document.
     Appendices 1 through 4--Use only the appendices 
listed below. Do not use more than 30 pages for Appendices 1,3, and 4. 
There is no page limitation for Appendix 2. Do not use appendices to 
extend or replace any of the sections of the Project Narrative. 
Reviewers will not consider them if you do.
     Appendix 1: Letters of commitment/support (from 
all direct service organizations that have agreed to participate in the 
proposed project, as well as community stakeholders who support your 
project).
     Appendix 2: Data Collection Instruments/
Interview Protocols (no page limitation)
     Appendix 3: Sample Consent Forms
     Appendix 4: Letter to the SSA
     Assurances--Non-Construction Programs. Use 
Standard Form 424B found in PHS 5161-1. Applicants are required to 
complete the Assurance of Compliance with SAMHSA Charitable Choice 
Statutes and Regulations, Form SMA 170. This form will be posted on 
SAMHSA's Web site with the RFA and provided in the application kits 
available at NCADI.
     Certifications--Use the ``Certifications'' forms 
found in PHS 5161-1.
     Disclosure of Lobbying Activities--Use Standard 
Form LLL found in the PHS 5161-1. Federal law prohibits the use of 
appropriated funds for publicity or propaganda purposes, or for the 
preparation, distribution, or use of the information designed to 
support or defeat legislation pending before the Congress or State 
legislatures. This includes ``grass roots'' lobbying, which consists of 
appeals to members of the public suggesting that they contact their 
elected representatives to indicate their support for or opposition to 
pending legislation or to urge those representatives to vote in a 
particular way.
     Checklist--Use the Checklist found in PHS 5161-
1. The Checklist ensures that you have obtained the proper signatures, 
assurances and certifications and is the last page of your application.
2.3 Application Formatting Requirements
    Applicants also must comply with the following basic application 
requirements. Applications that do not comply with these requirements 
will be screened out and will not be reviewed.
     Information provided must be sufficient for 
review.
     Text must be legible.

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

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

--Applications would meet this requirement by using all margins (left, 
right, top, bottom) of at least one inch each, and adhering to the 25-
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 25. This number represents the full page less margins, 
multiplied by the total number of allowed pages.
--Space will be measured on the physical page. Space left blank within 
the Project Narrative (excluding margins) is considered part of the 
Project Narrative, in determining compliance.

     The 30-page limit for Appendices 1, 3 and 4 
cannot be exceeded.
    To facilitate review of your application, follow these additional 
guidelines. Failure to adhere to the following guidelines will not, in 
itself, result in your application being screened out and returned 
without review. However, following these guidelines will help reviewers 
to consider your application.
     Pages should be typed single-spaced with one 
column per page.
     Pages should not have printing on both sides.
     Please use black ink and number pages 
consecutively from beginning to end so that information can be located 
easily during review of the application. The cover page should be page 
1, the abstract page should be page 2, and the table of contents page 
should be page 3. Appendices should be labeled and separated from the 
Project Narrative and budget section, and the pages should be numbered 
to continue the sequence.
     Send the original application and two copies to 
the mailing address in Section IV-6.1 of this document. Please do not 
use staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be copied 
or sent to reviewers. Do not include videotapes, audiotapes, or CD-
ROMs.
2.4 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations
    You must describe your procedures relating to Confidentiality, 
Participant Protection and the Protection of Human Subjects Regulations 
in Section I of your application, using the guidelines provided below. 
Problems with confidentiality, participant protection, and protection 
of human subjects identified during peer review of your application may 
result in the delay of funding.
    Confidentiality and Participant Protection: All applicants must 
address each of the following elements relating to confidentiality and 
participant protection. You must describe how you will address these 
requirements.
1. Protect Clients and Staff From Potential Risks
     Identify and describe any foreseeable physical, 
medical, psychological, social, and legal, risks or

[[Page 13569]]

potential adverse effects as a result of the project itself or any data 
collection activity.
     Describe the procedures you will follow to 
minimize or protect participants against potential risks, including 
risks to confidentiality.
     Identify plans to provide guidance and 
assistance in the event there are adverse effects to participants.
     Where appropriate, describe alternative 
treatments and procedures that may be beneficial to the participants. 
If you choose not to use these other beneficial treatments, provide the 
reasons for not using them.
2. Fair Selection of Participants
     Describe the target population(s) for the 
proposed project. Include age, gender, and racial/ethnic background and 
note if the population includes homeless youth, foster children, 
children of substance abusers, pregnant women, or other targeted 
groups.
     Explain the reasons for including groups of 
pregnant women, children, people with mental disabilities, people in 
institutions, prisoners, and individuals who are likely to be 
particularly vulnerable to HIV/AIDS.
     Explain the reasons for including or excluding 
participants.
     Explain how you will recruit and select 
participants. Identify who will select participants.
3. Absence of Coercion
     Explain if participation in the project is 
voluntary or required. Identify possible reasons why participation is 
required, for example, court orders requiring people to participate in 
a program.
     If you plan to compensate participants, state 
how participants will be awarded incentives (e.g., money, gifts etc.).
     State how volunteer participants will be told 
that they may receive services intervention even if they do not 
participate in or complete the data collection component of the 
project.
4. Data Collection
     Identify from whom you will collect data (e.g., 
from participants themselves, family members, teachers, others). 
Describe the data collection procedures and specify the sources for 
obtaining data (e.g., school records, interviews, psychological 
assessments, questionnaires, observation, or other sources). Where data 
are to be collected through observational techniques, questionnaires, 
interviews, or other direct means, describe the data collection 
setting.
     Identify what type of specimens (e.g., urine, 
blood) will be used, if any. State if the material will be used just 
for evaluation or if other use(s) will be made. Also, if needed, 
describe how the 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 of your application, 
``Sample Consent Forms.''
     If needed, give English translations.

    Note: Never imply that the participant waives or appears to 
waive any legal rights, may not end involvement with the project, or 
releases your project or its agents from liability for negligence.


     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.


    Note: A Sample Consent Form for Participation in Peer Recovery 
Support Services is in Appendix E. In addition, examples of risks 
and protections for peer recovery support services are included in 
Appendix F. Additional participant protection challenges for peer 
services are included in Appendix G, along with examples of 
strategies to address the challenges. These appendices are provided 
to help you consider some of the participant protection issues that 
may affect your proposed project. They are not to be considered 
exhaustive; you must consider the specific risks and protections 
that will be important for your particular project.


    Protection of Human Subjects Regulations: Depending on the 
evaluation design you propose in your application, you may have to 
comply with the Protection of Human Subjects Regulations (45 CFR part 
46).
    Applicants must be aware that even if the Protection of Human 
Subjects Regulations do not apply to all projects funded under a given 
funding opportunity, the specific evaluation design proposed by the 
applicant may

[[Page 13570]]

require compliance with these regulations.
    Applicants who projects must comply with the Protection of Human 
Subjects Regulations must describe the process for obtaining 
Institutional Review Board (IRB) approval fully in their applications. 
While IRB approval is not required at the time of grant award, these 
applicants will be required, as a condition of award, to provide the 
documentation that an Assurance of Compliance is on file with the 
Office for Human Research Protections (OHRP) and the IRB approval has 
been received prior to enrolling any clients in the proposed project.
    Additional information about Protection of Human Subjects 
Regulations can be obtained on the Web at http://ohrp.osophs.dhhs.gov. 
You may also contact OHRP by e-mail ([email protected]) or by phone 
(301-496-7005).

3. Submission Dates and Times

    Applications are due May 18, 2004.
    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. TI-04-
008.
    In addition, community-based, non-governmental service providers 
who are not transmitting their applications through the State must 
submit a Public Health System Impact Statement or PHSIS (approved by 
OMB under control no. 0920-0428; see burden statement below) to the 
head(s) of the appropriate State and local health agencies in the 
area(s) to be affected no later than the pertinent receipt date for 
applications. 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 the following Public Health 
System Reporting Requirements.
    This PHSIS consists of the following information:
     A copy of the face page of the application (SF 
424); and
     A summary of the project, no longer than one 
page in length, that provides: (1) A description of the population to 
be served, (2) a summary of the services to be provided, and (3) a 
description of the coordination planned with appropriate State or local 
health agencies.
    For SAMHSA grants, the appropriate State agencies are the Single 
State Agencies (SSAs) for substance abuse and mental health. A listing 
of the SSAs can be found on SAMHSA's Web site at http://www.samhsa.gov/. If the proposed project falls within the jurisdiction 
of more than one State, you should notify all representative SSAs.
    Applicants who are not the SSA must include a copy of a letter 
transmitting the PHSIS to the SSA in Appendix 4, ``Letter to the SSA.'' 
The letter must notify the State that, if it wishes to comment on the 
proposal, its comments should be sent not later than 60 days after the 
application deadline to:
    Substance Abuse and Mental Health Services Administration, Office 
of Program Services, Review Branch, 5600 Fishers Lane, Room 17-89, 
Rockville, Maryland, 20857, ATTN: SSA--Funding Announcement No. TI-04-
008.
    In addition:
     Applicants may request that the SSA send them a 
copy of any State comments.
     The applicant must notify the SSA within 30 days 
of receipt of an award.
    [Public reporting burden for the Public Health System Reporting 
Requirement is estimated to average 10 minutes per response, including 
the time for copying the face page of SF 424 and the abstract and 
preparing the letter for mailing. An agency may not conduct or sponsor, 
and a person is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number. The OMB 
control number for this project is 0920-0428. Send comments regarding 
this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24, 
Atlanta, GA 30333, ATTN: PRA (0920-0428)].

5. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
     Institutions of Higher Education: OMB Circular 
A-21
     State and Local Governments: OMB Circular A-87
     Nonprofit Organizations: OMB Circular A-122
     Appendix E Hospitals: 45 CFR Part 74
    In addition, SAMHSA Services Grant recipients must comply with the 
following funding restrictions:
     No more than 15% of the total grant award may be 
used for developing the infrastructure necessary for peer services.
     No more than 20% of the total grant award may be 
used for evaluation and data collection, including GPRA.
    Service Grant funds must be used for purposes supported by the 
program and may not be used to:
     Pay for any lease beyond the project period.
     Pay for professional alcohol and/or drug 
treatment services. (Note: This program supports peer-to-peer recovery 
support services that prevent relapse and promote long-term recovery.)
     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), 
except, for a period of no longer than 6 months, to assist in the 
transition from the incarcerated setting to the community. For example, 
funds under this program could be used to support peer recovery 
mentoring offered to individuals

[[Page 13571]]

awaiting discharge from prison. Such mentoring would be designed to 
help the incarcerated person develop a relationship with a mentor who 
would continue the relationship with the ex-offender in the community 
upon his/her release. Similarly, pre-release recovery support groups 
facilitated by peer leaders from the community might be offered in a 
correctional facility to assist incarcerated persons awaiting release 
as they develop plans for maintaining sobriety/abstinence in the 
community.
     Pay for the purchase or construction of any 
building or structure to house any part of the program. (Applicants may 
request up to $75,000 for renovations and alterations of existing 
facilities, if necessary and appropriate to the project.)
     Pay for programs, services, or materials that 
are routinely provided free of charge to the recovery community.
     Pay for incentives to induce individuals to 
participate in recovery support services. However, grantees may 
allocate funds for various types of instrumental support for 
participants, such as bus tokens, coupons for food, access to clothing 
closet, etc., and may allocate funds to pay or provide incentives for 
peer leaders who will provide recovery support services. In addition, a 
grantee may provide up to $20 or equivalent (coupons, bus tokens, 
gifts, child care, and vouchers) to individuals as incentives to 
participate in required data collection follow-up. This amount may be 
paid for participation in each required interview. Any incentives for 
instrumental supports for participants or for data collection, as well 
as any proposed compensation for peer leaders, must be clearly 
described in the project narrative and included in the budget and 
budget narrative.
     Implement syringe exchange programs, such as the 
purchase and distribution of syringes and/or needles.
     Pay for advocacy or lobbying.
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 RCSP III, TI 04-008 in item number 10 on the 
face page of the application. If you require a phone number for 
delivery, you may use (301) 443-4266.
6.2 How to Send Applications
    Mail an original application and 2 copies (including appendices) to 
the mailing address provided above. The original and copies must not be 
bound. Do not use staples, paper clips, or fasteners. Nothing should be 
attached, stapled, folded, or pasted.
    You must use a recognized commercial or governmental carrier. Hand 
carried applications will not be accepted. Faxed or e-mailed 
applications will not be accepted.

V. Application Review Information

1. Evaluation Criteria

    Your application will be reviewed and scored according to the 
quality of your response to the requirements listed below for 
developing the Project Narrative (Sections A-E). These sections 
describe what you intend to do with your project.
     In developing the Project Narrative section of 
your application, use these instructions, which have been tailored to 
this program. These are to be used instead of the ``Program Narrative'' 
instructions found in the PHS 5161-1.
     The Project Narrative (Sections A-E) together 
may be no longer than 30 pages.
     You must use the five sections/headings listed 
below in developing your Project Narrative. Be sure to place the 
required information in the correct section, or it will not be 
considered. Your application will be scored according to how well you 
address the requirements for each section of the Project Narrative.
     Reviewers will be looking for evidence of 
cultural competence in each section of the Project Narrative. Points 
will be assigned on how well you address the cultural 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 1-4 will be considered by reviewers in 
assessing your response, along with the material in the Project 
Narrative.
     The number of points after each heading is the 
maximum number of points a review committee may assign to that section 
of your Project Narrative. Bullet statements in each section do not 
have points assigned to them. They are provided to invite the attention 
of applicants and reviewers to important areas within the criterion.
Section A: Statement of Need (10 points)
     Define the target populations that will receive 
and provide peer recovery support services and provide a rationale for 
selecting those target populations, as well as the geographic area to 
be served. (Note: Extensive demographic information is not required.) 
If you plan to focus on a specific segment of the recovery community, 
explain why this is necessary or desirable.
     Describe the nature of the problem and extent of 
the need for recovery support services for the target population. 
Documentation of need may come from quantitative and/or qualitative 
sources. The quantitative data could come from community assessments 
you or others have conducted, or 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). Qualitative sources could include focus groups and key 
informant interviews you or others have conducted with the targeted 
community, as well as anecdotal reports.
     Based on your quantitative and qualitative 
findings, discuss your understanding of the recovery issues facing the 
targeted recovery community, including family members/significant 
others.
     Describe how the proposed peer recovery support 
services will complement existing professional and peer services in 
your community (e.g., formal treatment and self-help programs).
     Describe any other meaningful results you expect 
your project to produce.
Section B: Organizational and Community Readiness and Feasibility (10 
points)
     Clearly identify your organization as either a 
Facilitating Organization or Recovery Community Organization.
     Describe previous efforts organizing and 
mobilizing the targeted recovery community (by your organization and/or 
others), and explain why you think the community is ready to 
participate in providing and receiving peer-to-peer recovery support 
services.
     Describe the extent to which the recovery 
community indicates support for your proposed project.
     Describe the extent to which other categories of 
stakeholders indicate support for your proposed project. Identify 
categories of stakeholders--for example, treatment and other

[[Page 13572]]

professional groups, civic groups, governmental organizations, faith-
based groups, and others--and discuss the role you expect them to play 
in the project. (You should include letters of support showing 
stakeholder interest in the project in Appendix 1, entitled, ``Letters 
of Commitment/Support''.)
Section C: Project Approach (35 points)
     Clearly state the purpose, goals, and objectives 
of your proposed project. Describe how achievement of goals will 
produce meaningful and relevant results (e.g., increase number, range, 
and availability of services; help prevent relapse; strengthen linkage 
between treatment and recovery; increase support for sustained recovery 
in your community).
     Demonstrate how the proposed services will meet 
your goals and objectives.
     Discuss and explain the core values that will 
guide the project design and implementation, and explain how each of 
these values will be operationalized. At a minimum, discuss each of the 
following as it relates to the proposed project: (a) Recovery first; 
(b) participatory process; (c) authentic recovery community voice; (d) 
leadership development, and (e) cultural diversity, including the 
various ``cultures of recovery'' and/or routes to recovery. (See 
Appendix D for an explanation of these values.) You may identify and 
discuss other values important to your targeted recovery community, but 
you must discuss these five.
     Describe how the services will be implemented.

    --Clearly explain each recovery support service you plan to 
provide. (Note: Be sure to include a mix of services that builds on the 
strengths and needs in the targeted recovery community.
    --Explain your plans for building recovery community members' 
skills to serve as peer leaders and service providers in the delivery 
of peer-to-peer recovery support services. Include a discussion of your 
plans for recruiting, screening, orienting, training, and supervising 
the peers providing recovery support services.

     Clearly state the unduplicated number of 
individuals you propose to serve (annually and over the entire project 
period) with grant funds. Applicants should propose to serve no fewer 
than 100 individuals per year.
     Describe how the target population will be 
identified, recruited, and retained.
     Describe how the proposed project will address 
issues of age, race, ethnicity, culture, language, sexual orientation, 
disability, literacy, gender, and path to recovery in the target 
population.
     Describe how members of the recovery community 
helped prepare the application, and how they will help plan, implement, 
and evaluate the project.
     Discuss how you plan to develop effective 
partnerships with professional treatment organizations and self-help 
groups, so as to minimize duplication of services and perceived threats 
of encroachment on established ``territory.''
     Describe the potential barriers to successful 
conduct of the proposed project and how you will overcome them.
Section D: Staff, Management, and Relevant Experience (30 points)
     Provide a time line for Year I of 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.]
     Show that the necessary groundwork (e.g., 
planning, consensus development, memoranda of agreement, identification 
of potential facilities) has been completed or is near completion so 
that the project can be implemented and service delivery can begin as 
soon as possible, and no later than 6 months after grant award. If 
applicable, identify any cash or in-kind contribution that you or your 
partnering organizations will make to the project.
     Discuss the capability and experience of the 
applicant organization and other participating organizations with 
similar projects and populations, including experience organizing and 
mobilizing in the recovery community, and providing peer services, as 
well as culturally appropriate/competent services.
     Provide a list of staff who will participate in 
the project, showing the role of each and their level of effort and 
qualifications. Include the Project Director and other key personnel, 
such as Volunteer/Peer Coordinator, and Evaluator.
     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.
Section E: Evaluation and Data (15 points)
     Document your ability to collect, manage, and 
report on the required GPRA performance measures for SAMHSA Services 
Grants. (Note: It is not necessary to include any outcome measures 
other than those required for GPRA in your evaluation design. SAMHSA/
CSAT will provide the necessary protocols and forms for collection and 
reporting of GPRA data, so you do not need to include data collection 
forms for GPRA in your application.
     If you choose to include an outcome evaluation 
other than GPRA, you must specify and justify the outcome measures.
     If you choose to include an outcome evaluation 
other than GPRA, describe your plans for data collection, management, 
analysis, interpretation and reporting. If you are including outcome 
measures other than those required for GPRA, you must include your 
valid and reliable data collection instruments/interview protocols in 
Appendix 2.
     Describe the process evaluation and explain how 
it will reflect the experience and insights of your project. Include in 
Appendix 2 any forms or protocols you plan to use for your process 
evaluation.


    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 the peer review committee and, when applicable, 
approved by the appropriate National Advisory Council;
     Availability of funds; and
     Equitable allocation of grants in terms of 
geography (including urban, rural and remote settings) and balance 
among target populations and program size.
     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

[[Page 13573]]

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 (Section C: Project Approach--35 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 http://www.samhsa.gov/grants/2004/useful_info.asp.
     Depending on the nature of the specific funding 
opportunity and/or the proposed project as identified in the RFA or 
during review, additional terms and conditions may be 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; 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 quarterly progress and 
final reports. The final report must summarize information from the 
quarterly reports, describe the accomplishments of the project, and 
describe next steps for implementing plans developed during the grant 
period.
     Grantees must provide annual and final financial 
status reports. Because SAMHSA is extremely interested in ensuring that 
recovery services can be sustained, your financial reports should 
explain plans to ensure the sustainability of efforts initiated under 
this grant. Initial plans for sustainability should be described in 
year 01. In each subsequent year, you should describe the status of 
your project, as well as the successes achieved and obstacles 
encountered in that year.
     SAMHSA will provide guidelines and requirements 
for these reports to grantees at the time of award and at the initial 
grantee orientation meeting after award. SAMHSA staff will use the 
information contained in the reports to determine the grantee's 
progress toward meeting its goals.
3.2 Government Performance and Results Act (GPRA)
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. To 
meet the GPRA requirements, SAMHSA must collect performance data 
(.e.g., ``GPRA data'') from grantees. These requirements are specified 
in Section I-2.8, Data and Performance Measurement, of this RFA.
3.3 Publications
    If you are funded under this program, you are required to notify 
the Government Project Officer (GPO) and SAMHSA's Publications 
Clearance Officer (301-443-8596) of any materials based on the SAMHSA-
funded grant project that are accepted for publication.
    In addition, SAMHSA requests that grantees:
     Provide the GPO and SAMHSA Publications 
Clearance Officer with advance copies of publications.
     Include acknowledgment of the SAMHSA grant 
program as the source of funding for the project.
     Include a disclaimer stating that the views and 
opinions contained in the publication do not necessarily reflect those 
of SAMHSA or the U.S. Department of Health and Human Services, and 
should not be construed as such.
    SAMHSA reserves the right to issue a press release about any 
publication deemed by SAMHSA to contain information of program or 
policy significance to the addiction treatment and recovery, substance 
abuse prevention, and/or mental health services community.

VII. Agency Contacts

    For questions about program issues, contact:
    Catherine D. Nugent, M.S., Recovery Community Services Program, 
CSAT/SAMHSA, Rockwall II, Room 7-213,5600 Fishers Lane, Rockville, MD 
20857, (301) 443-2662, [email protected].
    For questions on grants management issues, contact:
    Kathleen Sample, SAMHSA, Division of Grants Management, 5600 
Fishers Lane, Rockwall II 6th Floor, Rockville, MD 20857, (301) 443-
9667, [email protected].

Appendix A: References Cited

Cobb, S. (1976). Social support as a moderator of life stress. 
Psychosomatic Medicine, 38, 5: 300-314.
Salser, M. (No date). Best practice guidelines for consumer-
delivered services. Unpublished paper, developed for Behavioral 
Health Recovery Management Project, An Initiative of Fayette 
Companies, Peoria, IL; Chestnut Health Systems, Bloomington, IL; and 
the University of Chicago Center for Psychiatric Rehabilitation. 
Available at: http://bhrm.org/guidelines/mhguidelines.htm.
---------------------------------------------------------------------------

    \1\ This list is illustrative, not exhaustive.

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

[[Page 13574]]

Appendix B: Peer-to-Peer Recovery Support Services Examples \1\

Peer-Facilitated Recovery Support Meetings/Groups

--General support groups
--Specialized support groups (e.g., homelessness, HIV, Hepatitis C, 
dual diagnosis, PTSD, culturally-specific)
--Family support groups
--Faith-based support groups
--Talking circles
--Recovery workshops
--Learning circles or study groups (recovery topics)
--Recovery drop-in center

Recovery Coaching or Mentoring

--Adult to adult
--Youth to youth (with adult supervision)
--Community member in recovery to incarcerated person awaiting 
release
--Family member to family member

Peer Case Advocacy, Information, and Referral

--Information about and assistance obtaining public assistance, SSI/
SSD and other benefits
--Assistance with finding housing, advocacy with public housing 
placements
--Crisis assistance and peer interventions
--Information about restoration of citizenship for ex-offenders
--Legal clinics or referral to legal services

Life Skills

--Classes on money management, savings, and budgeting
--Peer counseling and/or peer support for issues of daily living 
(money, meals, medication, living skills)
--Classes in nutrition, meal planning, food buying, cooking
--Workshops on renting an apartment, buying a house, setting up 
utilities, etc.
--Workshops on parenting in recovery
--Workshops for families in recovery
--Parenting groups
--Social skills workshops and groups

Health and Wellness

--Classes in HIV and STD prevention
--HIV management workshops
--Psychoeducational workshops or discussion groups (e.g., 
understanding depression, body image, maintaining intimate 
relationships)
--Wellness workshop series (e.g., stress management, meditation, 
yoga, acupuncture, massage)
--Health workshop series
--Sexuality workshop series
--Addiction workshop series
--Relapse prevention workshops
--Guest speaker/lecturer series
--Smoking cessation workshops
--Classes in cooking and nutrition
--Spiritual health/spirituality

Gender-Specific

--Men's and women's support groups
--Pre-employment assessment and services for men and women entering/
returning to the workforce
--Reproductive health workshops
--Parenting skills workshops

Education and Career Planning

--English as a Second Language classes
--GED classes
--Reading and study skills program
--Information regarding college and career choices for adults
--Job skills and career aptitude workshops
--Vocational training or linkages to vocational rehabilitation
--Work readiness groups
--Assistance with scholarships and financial aid
--Assistance with college applications
--Preparation for SAT and other college entrance tests
--Peer counseling/peer support for job readiness, job training, 
interviewing skills, appropriate attire, wardrobe maintenance and 
other employment behaviors and skills
--Job training, job coaching
--Resume writing workshops
--Computer skills training

Leadership Skills Development

--Peer-leadership development workshops
--Peer support group training and facilitation (how to conduct 
meetings)
--Peer helping skills training and development (process skills)
--Peer volunteer content training: public health issues (HIV, TB, 
etc.), community resources, addiction treatment and recovery issues
--Communication skills
--Conflict resolution skills
--Citizenship classes
--Community service programs
--Diversity training
--Learning circles
--Consciousness--raising groups

Physical Education and Fitness

--Strength training
--Aerobics
--Yoga
--Dance classes

Cultural Activities

--Art classes
--Photography
--Music classes
--Art exhibits
--Performances
--Chorus
--Theater group or improvisational theater
--Writing and journal workshops
--Videography workshops

Alcohol-and Drug-Free Social/Recreational Activities

--Movie nights
--Game nights
--Dances
--Potluck suppers and picnics
--Talent shows
--Holiday parties
--Pool and ping pong tournaments
--Field trips
--Basketball and softball leagues
--Snack bar/food service
--Sober bike runs

Other Services

--Library, resource center, clearinghouse
--Information and referral
--Hotline/Warmline
--Transportation assistance service
--Shower facilities for homeless
--Food bank
--Respite programs
--Copy shop services
--Thrift store

Appendix C: Checklist for Formatting Requirements andScreenout 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 funding announcement. Please check the entire funding 
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 total number of allowed pages. 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.


[[Page 13575]]


     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 within 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 specific funding announcement.
-- Budgetary limitations as specified in Sections I, II, and IV-5 of 
the specific funding announcement.
-- Documentation of nonprofit status as required in the PHS 5161-1.

     Pages should be typed single-spaced with one 
column per page.
     Pages should not have printing on both sides.
     Please use black ink and number pages 
consecutively from beginning to end so that information can be 
located easily during review of the application. The cover page 
should be page 1, the abstract page should be page 2, and the table 
of contents page should be page 3. Appendices should be labeled and 
separated from the Project Narrative and budget section, and the 
pages should be numbered to continue the sequence.
     Send the original application and two copies 
to the mailing address in the funding announcement. Please do not 
use staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be 
copied or sent to reviewers. Do not include videotapes, audiotapes, 
or CD-ROMs.

Appendix D: Core Values for RCSP Peer-to-Peer Recovery Support Services

    RCSP III builds on the work of earlier SAMHSA/CSAT initiatives 
with the recovery community, as well as efforts in the mental health 
and HIV/AIDS consumer communities, that have focused on the 
importance and value of peer-to-peer service. The program is built 
on the recognition that individuals in recovery, their families, and 
their community allies are critical resources that can effectively 
extend, enhance, and improve formal treatment. RCSP III is designed 
to achieve its goals by focusing on recovery community resources and 
motivation that already exist within most communities; employing a 
peer-driven, strength-based, and wellness-oriented approach that is 
grounded in the ``culture(s) of recovery''; and utilizing existing 
community resources.
    Because peer services emphasize strength, wellness, community-
based delivery, and provision by peers rather than experts, these 
services can be viewed as promoting self-efficacy, community 
connectedness, and quality of life, all important factors in 
sustained recovery.
    Previous efforts among CSAT's RCSP grantees have pointed to the 
importance of five core values in recovery community organizing, 
including organizing to provide peer services. These values are:
     Keeping recovery first--placing recovery at 
the center of the effort, grounding peer-to-peer services in the 
strengths and innate resiliency that recovery represents;
     Participatory process--involving the recovery 
community in all aspects of project design, implementation, and 
evaluation;
     Authenticity--ensuring that the program has a 
clearly defined method for enabling the targeted recovery community 
to identify its strengths, interests, and needs, and to design and 
deliver peer-to-peer services program around the self-identified 
strengths and needs;
     Leadership development--building leadership 
among members of the recovery community so that they are able to 
guide and direct the service program and deliver support services to 
their peers; and
     Cultural diversity and inclusion--developing 
a recovery community peer support services program that is inclusive 
of various groups and that honors differing routes to recovery, 
including medication-assisted recovery.

Appendix E: Sample Consent Form for Participation in Peer-to-Peer 
Recovery Support Services

    I, ------------------------, (participant's name--printed) 
consent to participate in peer recovery support services offered by 
[grantee: insert name of grantee organization] (hereafter referred 
to as ``the organization.''
    I understand that these are peer-to-peer services, offered to 
support my recovery, help me avoid relapse, and promote my overall 
functioning and well-being. I understand that these are not 
professional services by a treatment provider, mental health 
counselor, or other professional, and that I may seek professional 
services elsewhere should I choose to do so.
    The specific service I will be receiving is:
-----------------------------------------------------------------------
[grantee: insert name of recovery support service]
-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------

    I expect to be receiving this service from ---------------- to 
----------------.
    I understand that my participation in this service is voluntary, 
and I have the right to terminate my participation in the service at 
any time without negative consequences.
    I understand that I may be subject to certain risks as a 
consequence of my participation in this service, including:

[grantee: list potential risks for the recovery support service--see 
Appendix F for some examples]
-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------

    I also understand that the organization is taking the following 
steps to help protect me from those risks:

[grantee: list protections for risks identified above--see Appendix 
F for some examples]
-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------

    If I have any questions about this peer-to-peer recovery support 
services, I understand that I may contact:

[grantee: insert name of RCSP project director with phone number and 
e-mail address]
-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------

Signed:----------------------------------------------------------------
Date:------------------------------------------------------------------

    (Print name of participant or, if applicable, legal guardian)
-----------------------------------------------------------------------
    (Signature)


Witnessed:-------------------------------------------------------------
Date:------------------------------------------------------------------

    (Print name of program staff)

-----------------------------------------------------------------------
    (Signature)

    This consent is effective as of the date of signing. It may be 
revoked in writing at any time. This consent will expire 15 months 
after the date of signing if not revoked before then.

Appendix F: Analysis of Examples of Risks and Protections for Peer 
Recovery Support Services

[[Page 13576]]



               Recovery Community Services Program--Protections for Participants in Peer Services
----------------------------------------------------------------------------------------------------------------
                                          Sample Framework for Analysis
-----------------------------------------------------------------------------------------------------------------
      SAMHSA guidelines                        Examples of risks                      Examples of protections
----------------------------------------------------------------------------------------------------------------
Client & Staff Protection     Participant's issues/problems beyond expertise of   Provide verbal and written
 from Risk.                    peer provider.                                      notification of potential
                              Potential for mental anguish and/or reoccurence of   risks associated with
                               a mental condition (e.g., PTSD).                    participation.
                              Potential for relapse and/or destabilization.       Obtain informed consent forms
                              Public disclosure may expose prograrm participants/  that specify potential risks.
                               volunteers to stigma & discrimination.             Maintain referral network and
                                                                                   be capable of providing
                                                                                   referrals to professional
                                                                                   service organizations for
                                                                                   help when necessary.
                                                                                  Establish and continually
                                                                                   promote norms that support
                                                                                   self-care.
                                                                                  Provide ongoing training,
                                                                                   supervision, and support for
                                                                                   peer leaders who provide
                                                                                   recovery support services.
                                                                                  Use mentors or coaches.
                                                                                  Provide ongoing written
                                                                                   communication about voluntary
                                                                                   participation.
                                                                                  Provide opportunities to
                                                                                   participate without self-
                                                                                   disclosure.
                                                                                  Maintain anonymity in
                                                                                   publications and public
                                                                                   arenas.
----------------------------------------------------------------------------------------------------------------

Appendix G: Potential Participant Protection Challenges in Peer 
Services and Strategies to Address

----------------------------------------------------------------------------------------------------------------
 
----------------------------------------------------------------------------------------------------------------
Fair Selection of             Exclusion from program and/or services based on     Describe the diversity of
 Participants.                 physical ability, gender, sexuality, age, race/     potential participants from
                               ethnicity.                                          program target community.
                              Unfair ``targeting'' of population for              Develop program leadership
                               participation based on physical ability, gender,    that reflects diversity of
                               sexuality, age, race/ethnicity.                     target community.
                                                                                  Provide diversity and cultural
                                                                                   competency training for
                                                                                   staff, volunteers and
                                                                                   participants.
                                                                                  Increase cultural competency
                                                                                   through hiring and volunteer
                                                                                   recruitment procedures.
                                                                                  Utilize peers in outreach
                                                                                   efforts.
                                                                                  Continue to assess
                                                                                   participation barriers and
                                                                                   develop strategies to
                                                                                   address.
Absence of Coercion.........  Coerced participation.                              Provide on-going written and
                              Peer pressure to participate.                        verbal communication about
                              Access to program ``benefits'' primarily based on    voluntary nature of
                               level of participation.                             participation.
                              Monetary compensation for participation.            Provide range of opportunities
                              Mandatory participation attached to continued        for participation from high
                               access to program or agency services.               to low visibility (i.e. some
                                                                                   involving no disclosure of
                                                                                   recovery status).
                                                                                  Obtain written consent to
                                                                                   participate.
                                                                                  Establish feedback & grievance
                                                                                   procedures that can be
                                                                                   utilized by program
                                                                                   participants to communicate
                                                                                   perceived problem areas.
                                                                                  Provide appropriate monetary
                                                                                   and non-monetary incentives
                                                                                   in fair and equitable manner.
Methods of Data Collection..  Coerced participation in data collection effort.    Maintain confidential
                              Participant mandated to provide data.                information separately, and
                              Participant unable to give informed consent.         in locked cabinet.
                              Properly maintaining confidential information       Train all project staff and
                               (e.g., information not properly stored in locked    volunteers in project's
                               file cabinet, or electronically stored              policy for maintaining
                               information not protected by user name, password,   confidentiality of
                               firewall, etc.).                                    participants' information.
                              Unauthorized access by program staff/volunteers to  Consistently safeguard
                               confidential information (i.e. names, contact       confidentiality of
                               information, etc.).                                 participant information.
                              Staff and/or volunteers not adhering to data        Utilize user names, passwords,
                               collection & instrument protocol.                   etc. when confidential
                                                                                   information is stored
                                                                                   electronically.
                                                                                  Ensure that staff/volunteers
                                                                                   adhere to data collection
                                                                                   policies and procedures
                                                                                   (including collecting only
                                                                                   that information that is
                                                                                   absolutely necessary)
                                                                                  Establish a feedback and
                                                                                   grievance procedure for
                                                                                   program participants to
                                                                                   report problem areas.
Privacy and Confidentiality.  Same as 1 thru 4 above.                             Same as 1 thru 4 above.

[[Page 13577]]

 
Consent Procedures..........  Lack of knowledge of consent procedure.             Emphasize voluntary
                              Low reading & comprehension skills.                  participation in all
                              Complicated language & terminology in consent        activities, including data
                               form.                                               gathering, and provide
                              Peer pressure to consent to participate.             opportunities in activities
                                                                                   that do not require
                                                                                   disclosure.
                                                                                  Provide explanation of consent
                                                                                   forms at events.
                                                                                  Read consent form to
                                                                                   participants to clarify
                                                                                   content.
                                                                                  Translate consent forms in the
                                                                                   appropriate language (use
                                                                                   only CSAT-approved
                                                                                   translation).
                                                                                  Provide translation at project
                                                                                   events when informing
                                                                                   participants of consent
                                                                                   procedures.
Additional Consideration:     Distinguishing between Peer-to-Peer and             Implement a ``Do No Harm''
 Peer vs. Professional         Professional Services.                              approach.
 Support Services.            Addressing specific issues when program             Provide training for project
                               participants that are professionals and peers.      staff/volunteers on nature
                              Addressing ``turf'' issues with other substance      and boundaries of peer
                               abuse treatment service agencies.                   services.
                                                                                  Have an ethics policy and
                                                                                   plan, and train project staff/
                                                                                   volunteers in ethics for peer
                                                                                   services.
                                                                                  Provide training for project
                                                                                   staff on referral to other
                                                                                   community (peer and
                                                                                   professional) services.
                                                                                  Develop and communicate
                                                                                   guidelines for individuals
                                                                                   who are both peers and
                                                                                   professionals.
                                                                                  Reach out to professional
                                                                                   service organizations to
                                                                                   inform them of peer services
                                                                                   and opportunities for
                                                                                   collaboration.
----------------------------------------------------------------------------------------------------------------

Appendix H: Glossary

    Cost-Sharing or Matching: Cost-sharing refers to the value of 
allowable non-Federal contributions toward the allowable costs of a 
Federal grant project or program. Such contributions may be cash or 
in-kind contributions. For SAMHSA grants, cost-sharing or matching 
is not required, and applications will not be screened out on the 
basis of cost-sharing. However, applicants often include cash or in-
kind contributions in their proposals as evidence of commitment to 
the proposed project. This is allowed, and this information may be 
considered by reviewers in evaluating the quality of the 
application.
    Grant: A grant is the funding mechanism used by the Federal 
Government when the principal purpose of the transaction is the 
transfer of money, property, services, or anything of value to 
accomplish a public purpose of support or stimulation authorized by 
Federal statute. The primary beneficiary under a grant or 
cooperative agreement is the public, as opposed to the Federal 
Government.
    In-Kind Contribution: In-kind contributions toward a grant 
project are non-cash contributions (e.g., facilities, space, 
services) that are derived from non-Federal sources, such as State 
or sub-State non-Federal revenues, foundation grants, or 
contributions from other non-Federal public or private entities.
    Peer: An individual who shares the experience of addiction and 
recovery, either directly or as a family member or significant 
other.
    Peer-to-Peer Recovery Support Services: Recovery support 
services designed and delivered by peers to assist others in or 
seeking recovery, and/or their family members and significant 
others, to initiate and/or sustain recovery from alcohol and drug 
use disorders and closely related consequences.
    Recovery Support Services: Supportive services designed to 
assist people in or seeking recovery and their family members and 
significant others initiate and/or sustain recovery by providing 
supports in four major areas: emotional, informational, 
instrumental, and companion support. Recovery support services are 
based, philosophically, on the notion that recovery is a larger 
construct than sobriety or abstinence and embraces a full 
reengagement with the community based on resilience, health, and 
hope. Therefore, recovery support services are designed to focus 
less on the pathology of substance use disorders and more on 
maximizing opportunities to create lifetime of recovery and wellness 
for self, family, and community.
    Recovery Community: Persons having a history of alcohol and drug 
problems who are in or seeking recovery or recovered, including 
those currently in treatment, as well as family members, significant 
others, and other supporters and allies.
    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.

    Dated: March 17, 2004.
Margaret M. Gilliam,
Acting Director, Office of Policy, Planning and Budget, Substance Abuse 
and Mental Health Services Administration.

[FR Doc. 04-6378 Filed 3-22-04; 8:45 am]
BILLING CODE 4162-20-P