[Federal Register Volume 69, Number 68 (Thursday, April 8, 2004)]
[Notices]
[Pages 18600-18613]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-7908]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Request for Applications for Cooperative Agreements for 
Ecstasy and Other Club Drugs Prevention Services (SP 04-004)

    Authority: Section 506B of the Public Health Service Act.

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

ACTION: Notice of request for applications for Cooperative Agreements 
for Ecstasy and Other Club Drugs Prevention Services (SP 04-004).

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SUMMARY: The United States Department of Health and Human Services 
(HHS), Substance Abuse and Mental Health Services Administration's 
(SAMHSA) Center for Substance Abuse Prevention (CSAP) is accepting 
applications for fiscal year (FY) 2004 Cooperative Agreements for 
Agreements for Ecstasy and Other Club Drugs Prevention Services (SP 04-
004). These cooperative agreements will expand and strengthen 
effective, culturally appropriate ecstasy and other club drugs 
prevention services at the State and local levels. The services 
implemented through these grants must incorporate the best objective 
information available regarding effectiveness and acceptability. 
SAMHSA/CSAP expects that the services funded through these grants will 
be sustained by the grantee beyond the term of the grant.

DATES: Applications are due on June 18, 2004.

FOR FURTHER INFORMATION CONTACT: For questions on program issues, 
contact: Tom DeLoe, Ph.D., SAMHSA/CSAP, 5600 Fishers Lane, Rockwall II, 
Suite 1075, Rockville, MD 20857, 301-443-9110, E-mail: 
[email protected].
    For questions on grants management issues, contact: Edna Frazier, 
Office of Program Services, Division of Grants Management, Substance 
Abuse and Mental Health Services Administration, 5600 Fishers Lane, 
Rockwall II, Suite 630, Rockville, MD 20857, (301) 443-6816, 
[email protected].

SUPPLEMENTARY INFORMATION: 

[[Page 18601]]

    Cooperative Agreement for Ecstasy and Other Club Drugs 
Prevention Services (Short Title: Ecstasy and Other Club Drugs 
Cooperative Agreements), SP 04-004 (Initial Announcement), Catalogue 
of Federal Domestic Assistance (CFDA) No.: 93.243

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

Table of Contents

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

I. Funding Opportunity Description

1. Introduction and Background

    As authorized by Section 506B of the Public Health Service Act, the 
Substance Abuse and Mental Health Services Administration (SAMHSA), 
Center for Substance Abuse Prevention (CSAP) announces the availability 
of funds for Cooperative Agreements for Ecstasy and Other Club Drugs 
Prevention Services. These grants will expand and strengthen effective, 
culturally appropriate ecstasy and other club drugs prevention services 
at the State and local levels. The services implemented through these 
grants must incorporate the best objective information available 
regarding effectiveness and acceptability. SAMHSA/CSAP expects that the 
services funded through these grants will be sustained by the grantee 
beyond the term of the grant.
    Ecstasy and Other Club Drugs are substances whose use can lead to 
serious health and behavioral problems, including memory loss, 
aggression, violence, psychotic behavior, and potential heart and/or 
neurological damage. Their use also contributes to increased 
transmission of infectious diseases, especially hepatitis and HIV/AIDS. 
Use is increasing among the general adolescent population as well as 
the following populations: men who have sex with men and use other 
drugs; young adults who attend ``raves'' or private clubs; homeless and 
runaway youth; and male and female commercial sex workers.

2. Expectations

    The Ecstasy and Other Club Drugs Cooperative Agreements program are 
one of SAMHSA/CSAP's Services Grants programs. Grantees must use the 
funds to expand and strengthen effective, culturally appropriate 
Ecstasy and Other Club Drugs prevention services at the State and local 
levels, and SAMHSA/CSAP expects that the services will be sustained 
beyond the term of the grant.
    SAMHSA/CSAP intends that its Services Grants, including the Ecstasy 
and Other Club Drugs Cooperative Agreements, will result in the 
delivery of services as soon as possible and encourages grantees to 
begin service delivery within 4 months of receiving the grant award. 
However, SAMHSA/CSAP recognizes that grantees may need to enhance their 
prevention system infrastructure in order to enhance/expand Ecstasy and 
Other Club Drugs prevention services. Therefore, grantees may propose 
an infrastructure development phase in year one of their grant 
projects. If a community is ready to provide services at the time of 
the award, service delivery may be implemented without this planning 
phase.
    These Ecstasy and Other Drugs Cooperative Agreements will be 
implemented over a project period of up to five years. During this same 
time period, SAMHSA/CSAP will be working with the States to conduct 
comprehensive needs assessments in order to develop strategic plans to 
prevent/reduce the use of alcohol, tobacco and other drugs through a 
new SAMHSA/CSAP initiative called the Strategic Prevention Framework 
(SPF). SAMHSA/CSAP recognizes that Ecstasy and Other Drugs Cooperative 
Agreements grantees may need to adjust their plans as their SPF plans 
unfold. Therefore, amendments to the Ecstasy and Other Drugs 
Cooperative Agreements may be made in Years 3, 4 or 5 in order to bring 
the Ecstasy and Other Drugs Cooperative Agreements project into 
alignment with the SPF plans.
2.1 Documenting the Evidence-Base for Services To Be Implemented
    The services implemented through the Ecstasy and Other Club Drugs 
Cooperative Agreements must incorporate the best objective information 
available regarding the effectiveness and acceptability of the services 
to be implemented. In general, the services implemented through the 
Ecstasy and Other Club Drugs Cooperative Agreements must have strong 
evidence of effectiveness. However, because the evidence base for 
Ecstasy and Other Club Drugs prevention is limited, SAMHSA/CSAP may 
fund services for which the evidence of effectiveness is based on 
formal consensus among recognized experts in the field and/or 
evaluation studies that have not been published in the peer reviewed 
literature.
    Applicants must document in their applications that the services/
practices they propose to implement are evidence-based services/
practices. In addition, applicants must justify use of the proposed 
services/practices for the target population along with any adaptations 
or modifications necessary to meet the unique needs of the target 
population or otherwise increase the likelihood of achieving positive 
outcomes. Further guidance on each of these requirements is provided 
below.

[[Page 18602]]

Documenting the Evidence-Based Practice/Service
    SAMHSA/CSAP has already determined that certain services/practices 
are solidly evidence-based services/practices. These include practices 
in SAMHSA/CSAP's National Registry of Effective Programs (NREP), and 
SAMHSA/CSAP encourages applicants to select services/practices from 
NREP.
    None of the models listed in NREP specifically addresses prevention 
of Ecstasy and Other Club Drug use. However, many of the NREP models do 
address similar risk and protective factors associated with the 
prevention of Ecstasy and Other Club Drug use. SAMHSA/CSAP encourages 
applicants to adapt/replicate a NREP model that is culturally and 
developmentally appropriate for the target population to be served. To 
review the NREP models, go to http://www.modelprograms.samhsa.gov/template.cfm.
    Applicants may propose other services/practices not listed in NREP, 
but the applicant must demonstrate evidence of effectiveness in order 
to receive funding. Such applicants must provide a narrative 
justification that summarizes the evidence for effectiveness and 
acceptability of the proposed service/practice. The preferred evidence 
of effectiveness and acceptability will include the findings from 
clinical trials, efficacy and/or effectiveness studies published in the 
peer-reviewed literature.
    If little or no research specific to the proposed target population 
or service delivery setting has been published in the peer-reviewed 
scientific literature, applicants may present evidence involving 
studies that have not been published in the peer-reviewed research 
literature and/or documents describing formal consensus among 
recognized experts. If consensus documents are presented, they must 
describe consensus among multiple experts whose work is recognized and 
respected by others in the field. Local recognition of an individual as 
a respected or influential person at the community level is not 
considered a ``recognized expert'' for this purpose.
    In presenting evidence in support of the proposed service/practice, 
applicants must show that the evidence presented is the best objective 
information available.
Justifying Selection of the Service/Practice for the Target Population
    Regardless of the strength of the evidence-base for the service/
practice, all applicants must show that the proposed service/practice 
is appropriate for the proposed target population. Ideally, this 
evidence will include research findings on effectiveness and 
acceptability specific to the proposed target population. However, if 
such evidence is not available, the applicant should provide a 
justification for using the proposed service/practice with the target 
population. This justification might involve, for example, a 
description of adaptations to the proposed service/practice based on 
other research involving the target population.
Justifying Adaptations/Modifications of the Proposed Service/Practice
    SAMHSA/CSAP has found that a high degree of faithfulness or 
``fidelity'' (see Glossary) to the original model for an evidence-based 
service/practice increases the likelihood that positive outcomes will 
be achieved when the model is used by others. Therefore, SAMHSA/CSAP 
encourages fidelity to the original evidence-based service/practice to 
be implemented.
    However, SAMHSA/CSAP recognizes that adaptations or modifications 
to the original model may be necessary for a variety of reasons:
     To allow implementers to use resources 
efficiently.
     To adjust for specific needs of the client 
population.
     To address unique characteristics of the local 
community where the service/practice will be implemented.
    All applicants must describe and justify any adaptations or 
modifications to the proposed service/practice that will be made.
2.2 Services Delivery
    SAMHSA/CSAP's Ecstasy and Other Club Drug Cooperative Agreement 
funds must be used primarily to support direct services, including the 
following types of activities:

0
Conducting outreach and pre-service strategies to expand access to 
prevention services to underserved populations. If you propose to 
provide only outreach and pre-service strategies, you must show that 
your organization is an effective and integral part of a network of 
service providers.
0
Purchasing or providing prevention services for populations at risk.
0
Purchasing or providing ``wrap-around'' services (see Glossary) (e.g., 
child care, transportation services) designed to improve access and 
retention.
0
Collecting data using specified tools to measure program effectiveness 
and standards to measure and monitor prevention services and costs. (No 
more than 20% of the total grant award may be used for data collection 
and evaluation.)
2.3 Infrastructure Development
    Although SAMHSA/CSAP expects that its Ecstasy and Other Club Drug 
Cooperative Agreement funds will be used primarily for direct services, 
SAMHSA/CSAP recognizes that applicants may need to enhance their 
prevention system infrastructure in order to enhance/expand Ecstasy and 
Other Club Drug prevention services. Therefore, applicants may (but are 
not required to) propose an infrastructure development phase in year 
one of their projects. Infrastructure development activities may 
include:
0
Planning.
0
Building partnerships to ensure the success of the project and entering 
into service delivery and other agreements.
0
Developing or changing the infrastructure to expand prevention 
services.
     Training of State and local law enforcement 
officials, prevention and education officials, members of anti-drug 
coalitions, and parents.
    Regardless of the infrastructure development activities proposed by 
the applicant, the infrastructure development phase must result in the 
development of a service implementation plan by the end of the first 
year of the project. This plan must be approved by CSAP before services 
may be implemented.
    After the infrastructure development phase is complete, 
infrastructure development activities necessary to support service 
expansion will be limited to 15% of the total grant award.
2.4 Data and Performance Measurement
    The Government Performance and Results Act of 1993 (Pub. L. 103-62, 
or ``GPRA'') requires all Federal agencies to set program performance 
targets and report annually on the degree to which the previous year's 
targets were met. Agencies are expected to evaluate their programs 
regularly and to use results of these evaluations to explain their 
successes and failures and justify requests for funding.
    To meet the GPRA requirements, SAMHSA/CSAP must collect performance 
data (i.e., ``GPRA data'') from grantees. Grantees are required to 
report these GPRA data to SAMHSA/CSAP on a timely basis. In your 
application, you must demonstrate your ability to collect and report on 
these measures, and you may be required to

[[Page 18603]]

provide some baseline data. The terms and conditions of the grant award 
also will specify the data to be submitted and the schedule for 
submission. Grantees will be required to adhere to these terms and 
conditions of award.
GPRA Requirements for the Infrastructure Development Phase
    Grantees with an infrastructure development phase will be required 
to report on the following systems outcome indicators as appropriate:

--Needs assessment
--Community awareness
--Relationship building, and
--Capacity building.

    CSAP is currently developing these systems outcome indicators and 
will seek the Office of Management and Budget approval for use of these 
indicators by the grantees. CSAP will then work with each grantee to 
determine appropriate indicators based on the activities being 
implemented.
GPRA Requirements for Service Delivery
    For all grantees, once service delivery begins, data must be 
collected for those ages 12 and older using CSAP's GPRA data tool. The 
CSAP GPRA data tool is posted with this Request for Applications (RFA) 
on SAMHSA/CSAP's Web site at http://www.samhsa.gov/grants. A hard copy 
of the CSAP GPRA data tool will be included in application kits 
distributed by the National Clearinghouse for Alcohol and Drug 
Information (NCADI).
    If services are being provided for individuals age 9-11, applicants 
must propose an approach and instrument for collecting data from these 
participants that is comparable to CSAP's GPRA data tool.
    In addition, if grantees are targeting any of the five domains of 
prevention-related human behaviors and attitudes [Alcohol, Tobacco, and 
Other Drug Use (ATOD); Individual/Peer; Family; School; or Community], 
they must use additional performance measures selected from CSAP's Core 
Measures. All applicants must: (1) Identify which core measures the 
applicant proposes to collect for their program, and (2) describe their 
ability to collect and report data on these measures. The grantee and 
the CSAP project officer will jointly finalize the selection of core 
measures based on the nature of the program model selected and the 
domain within which the program will be implemented. This will be 
accomplished following the notice of award.
    CSAP's Core Measures will be posted with this RFA on SAMHSA's Web 
site, http://www.SAMHSA.gov/grants. Applicants unable to access the 
document on-line should contact Beverlie Fallik at (301) 443-5827 or 
[email protected]; or Sue Fialkoff at (301)443-1248 or 
[email protected].
    The following documents should be consulted when planning for data 
collection and reporting:

------------------------------------------------------------------------
                                                       Where it can be
          Document                   Purpose                found
------------------------------------------------------------------------
CSAP GPRA Data Collection     Required data for     Posted with this RFA
 Tool.                         programs providing    on SAMHSA's Web
                               direct services to    site at http://
                               individuals age 12    www.SAMHSA.gov/
                               and over. Youth and   grants and included
                               adult versions in     in the application
                               English and Spanish   kit distributed by
                               available.            SAMHSA/CSAP's
                                                     clearinghouse.
Core Measures Guidance......  Describes how to use  Posted with this RFA
                               CSAP Core Measures.   on SAMHSA's Web
                                                     site at http://www.samhsa.gov/grants grants and included
                                                     in the application
                                                     kit distributed by
                                                     SAMHSA's
                                                     clearinghouse.
CSAP Core Measures Notebook.  Full description of   Posted with this RFA
                               CSAP Core Measures    on SAMHSA's Web
                               (200+pages).          site at http://www.samhsa.gov/grants grants If you are
                                                     unable to access
                                                     this document,
                                                     contact Beverlie
                                                     Fallik at (301) 443-
                                                     5827 or
                                                     [email protected];
                                                     or Sue Fialkoff at
                                                     (301) 443-1248 or
                                                     [email protected]
                                                     .
------------------------------------------------------------------------

    Applicants should be aware that SAMHSA/CSAP 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 
for this program may change. All grantees will be expected to comply 
with any changes in data collection requirements that occur during the 
grantee's project period.
2.5 Grantee Meetings
    You must plan to send a minimum of two people (including the 
Project Director) to at least one joint grantee meeting in each year of 
the grant, and you must include funding for this travel in your budget. 
At these meetings, grantees will present the results of their projects 
and Federal staff will provide technical assistance. Each meeting will 
be 3 days. These meetings will usually be held in the Washington, DC, 
area, and attendance is mandatory.
2.6 Evaluation
    Grantees must evaluate their projects, and you are required to 
describe your evaluation plans in your application. The evaluation 
should be designed to provide regular feedback to the project to 
improve services. The evaluation must include both process and outcome 
components. Process and outcome evaluations must measure change 
relating to project goals and objectives over time compared to baseline 
information. Control or comparison groups are not required. You must 
consider your evaluation plan when preparing the project budget.
    An ongoing goal for SAMHSA/CSAP is to assure that effective program 
models are developed and added to CSAP's National Registry of Effective 
Programs (NREP). Therefore, grantees will be strongly encouraged to 
adapt/replicate and evaluate their program models and submit them to 
NREP for review as the programs generate statistically significant 
findings in Years 3, 4, and 5.
    Process components should address issues such as:
    [ballot] How closely did implementation match the plan?
    [ballot] What types of deviation from the plan occurred?
    [ballot] What led to the deviations?
    [ballot] What effect did the deviations have on the planned 
intervention and evaluation?
    [ballot] Who provided (program, staff) what services (modality, 
type, intensity, duration), to whom (individual characteristics), in 
what context (system, community), and at what cost (facilities, 
personnel, dollars)?
    Outcome components should address issues such as:
    [ballot] What was the effect of intervention on participants?
    [ballot] What program/contextual factors were associated with 
outcomes?

[[Page 18604]]

    [ballot] What individual factors were associated with outcomes?
    [ballot] How durable were the effects?
    No more than 20% of the total grant award may be used for 
evaluation and data collection, including GPRA.

II. Award Information

1. Award Amount

    It is expected that $4.5 million will be available to fund up to 15 
Ecstasy and Other Club Drug Prevention Services awards in FY 2004. The 
awards will be up to $300,000 in total costs (direct and indirect) per 
year. The actual amount available for the awards may vary, depending on 
unanticipated program requirements and the number and quality of the 
applications received.
    Awards will be made for project periods of up to five years. 
Proposed budgets cannot exceed $300,000 in any year of the proposed 
project. Annual continuations will depend on the availability of funds, 
grantee progress in meeting program goals and objectives, and timely 
submission of required data and reports. Applicants proposing an 
infrastructure development phase in year one must have their service 
implementation plan approved before service delivery may begin.

2. Funding Mechanism

    The Ecstasy and Other Club Drug Prevention Services awards will be 
made as cooperative agreements.
    Role of Federal Agency: The CSAP project officer will actively 
participate in the program planning and program decision-making 
processes throughout the length of the Cooperative Agreement. In 
addition to the provision of program monitoring and technical 
assistance to the awardee, the CSAP project officer, in cooperation 
with the awardee, will: (1) Approve the development and selection of 
the service model and the services implementation plan; (2) assist with 
development/refinement of infrastructure development activities, if 
appropriate; (3) select system outcome and core measure outcomes based 
on the services model selected and; (4) approve the program services 
sustainability plan.
    Role of the Awardee: Awardees will: (1) Collaborate with CSAP staff 
in the implementation, monitoring of all aspects of the cooperative 
agreement and; (2) provide CSAP (and its Program Coordinating Center) 
with required reporting data.

III. Eligibility Information

1. Eligible Applicants

    Eligible applicants are States, Territories, the District of 
Columbia, and Native American Tribal Governments. Eligibility is 
limited to these entities for two reasons: (1) To facilitate State and 
community planning and coordination, and assure that program 
infrastructure development and selection of ecstasy and other club drug 
service models are consistent with the State/Territory Strategic 
Prevention Framework for substance abuse prevention, and (2) to enhance 
program sustainability.
    Although eligibility is limited to these governmental entities, 
these governmental entities must partner with local community 
organizations (public or private) in developing and implementing the 
grant project. Eligible applicants may submit more than one 
application, but only one community may be targeted in each 
application. States, tribes, and territories may retain up to 10% per 
year of the total grant award for costs associated with the 
administration and management of each grant submitted. At least 90% of 
the total grant award each year must be allocated to the community 
partner for implementation of services/infrastructure development at 
the community level.

2. Cost Sharing

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

3. Other

3.1 Additional Eligibility Requirements
    Applications must comply with the following requirements, or they 
will be screened out and will not be reviewed: Use of the PHS 5161-1 
application; application submission requirements in Section IV-3 of 
this document; and formatting requirements provided in Section IV-2.3 
of this document.
3.2 Evidence of Experience and Credentials
    SAMHSA/CSAP believes that only existing, experienced, and 
appropriately credentialed organizations with demonstrated 
infrastructure and expertise will be able to provide required services 
quickly and effectively. Therefore, in addition to the basic 
eligibility requirements specified in this announcement, applicants 
must meet three additional requirements related to the provision of 
prevention services.
    The three requirements are:
     A provider organization for direct client 
services (e.g., substance abuse prevention services) appropriate to the 
grant must be involved in each application. More than one provider 
organization may be involved;
     Each direct service provider organization must 
have at least 2 years experience providing services in the geographic 
area(s) covered by the application, as of the due date of the 
application; and
     Each direct service provider organization must 
comply with all applicable local (city, county) and State/tribal 
licensing, accreditation, and certification requirements, as of the due 
date of the application.

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

    In Appendix 1 of the application, you must: (1) Identify at least 
one experienced, licensed service provider organization; (2) include a 
list of all direct service provider organizations that have agreed to 
participate in the proposed project, including the applicant agency if 
the applicant is a treatment or prevention service provider 
organization; and (3) include the Statement of Assurance (provided in 
Appendix F of this announcement), signed by the authorized 
representative of the applicant organization identified on the face-
page of the application, that all participating service provider 
organizations:
     Meet the 2-year experience requirement
     Meet applicable licensing, accreditation, and 
certification requirements, and,
     If the application is within the funding range, 
will provide the Government Project Officer (GPO) with the required 
documentation within the time specified.
    If Appendix 1 of the application does not contain items (1)-(3), 
the application will be considered ineligible and will not be reviewed.
    In addition, if, following application review, an application's 
score is within the fundable range for a grant award, the GPO will call 
the applicant and request that the following documentation be sent by 
overnight mail:
     A letter of commitment that specifies the nature 
of the participation and what service(s) will be provided from every 
service provider organization

[[Page 18605]]

that has agreed to participate in the project;
     Official documentation that all participating 
organizations have been providing relevant services for a minimum of 2 
years before the date of the application in the area(s) in which the 
services are to be provided; and
     Official documentation that all participating 
service provider organizations comply with all applicable local (city, 
county) and State/tribal requirements for licensing, accreditation, and 
certification or official documentation from the appropriate agency of 
the applicable State/tribal, county, or other governmental unit that 
licensing, accreditation, and certification requirements do not exist.
    If the GPO does not receive this documentation within the time 
specified, the application will be removed from consideration for an 
award and the funds will be provided to another applicant meeting these 
requirements.

IV. Application and Submission Information

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

1. Address To Request Application Package

    You may request a complete application kit by calling the National 
Clearinghouse for Alcohol and Drug Information (NCADI) at 1-800-729-
6686.
    You also may download the required documents from the SAMHSA/CSAP 
Web site at http://www.samhsa.gov. Click on ``grant opportunities.''
    Additional materials available on this Web site include:
     A technical assistance manual for potential 
applicants;
     Standard terms and conditions for SAMHSA grants;
     Guidelines and policies that relate to SAMHSA 
grants (e.g., guidelines on cultural competence, consumer and family 
participation, and evaluation); and
     Enhanced instructions for completing the PHS 
5161-1 application.

2. Content and Form of Application Submission

2.1 Required Documents
    SAMHSA application kits include the following documents:
    [squ] PHS 5161-1 (revised July 2000)--Includes the face page, 
budget forms, assurances, certification, and checklist. Applications 
that are not submitted on the 5161-1 application form will be screened 
out and will not be reviewed.
    [squ] Request for Applications (RFA)--Includes instructions for the 
grant application. This document is the RFA.
    You must use all of the above documents in completing your 
application.
2.2 Required Application Components
    To ensure equitable treatment of all applications, applications 
must be complete. In order for your application to be complete, it must 
include the required ten application components (Face Page, Abstract, 
Table of Contents, Budget Form, Project Narrative and Supporting 
Documentation, Appendices, Assurances, Certifications, Disclosure of 
Lobbying Activities, and Checklist).
    [squ] Face Page--Use Standard Form (SF) 424, which is part of the 
PHS 5161-1. [Note: Beginning October 1, 2003, applicants will need to 
provide a Dun and Bradstreet (DUNS) number to apply for a grant or 
cooperative agreement from the Federal Government. SAMHSA applicants 
will be required to provide their DUNS number on the face page of the 
application. Obtaining a DUNS number is easy and there is no charge. To 
obtain a DUNS number, access the Dun and Bradstreet Web site at 
http.www.dunandbradstreet.com or call 1-866-705-5711. To expedite the 
process, let Dun and Bradstreet know that you are a public/private 
nonprofit organization getting ready to submit a Federal grant 
application.]
    [squ] 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.
    [squ] Table of Contents--Include page numbers for each of the major 
sections of your application and for each appendix.
    [squ] Budget Form--Use SF 424A, which is part of the PHS 5161-1. 
Fill out Sections B, C, and E of the SF 424A.
    [squ] 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.
    [squ] Section F--Literature Citations. This section must contain 
complete citations, including titles and all authors, for any 
literature you cite in your application.
    [squ] 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:
    [cir] No more than 10% of the total award is retained by the 
applicant to cover costs of administering the grant;
    [cir] At least 90% of the total grant award is allocated to the 
community partner to implement the project;
    [cir] No more than 15% of the total grant award will be used for 
infrastructure development, except during the allowable infrastructure 
development phase in the first year of the project; and
    [cir] more than 20% of the total grant award will be used for data 
collection and evaluation (including GPRA).
    The infrastructure development, data collection and evaluation 
costs may be shared by the State and the community partner.
    [squf] Section H--Biographical Sketches and Job Descriptions.
    [cir] 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.
    [cir] Include job descriptions for key personnel. Job descriptions 
should be no longer than 1 page each.
    [cir] Sample sketches and job descriptions are listed on page 22, 
Item 6 in the Program Narrative section of the PHS 5161-1.
    [squf] Section I--Confidentiality and SAMHSA Participant 
Protection/Human Subjects. Section IV-2.4 of this document describes 
requirements for the protection of the confidentiality, rights and 
safety of participants in SAMHSA/CSAP-funded activities. This section 
also includes guidelines for completing this part of your application.
    [squ] Appendices 1 through 3--Use only the appendices listed below. 
Do not use more than 30 pages for Appendices 1 and 3. There is no page 
limit for Appendix 2. Do not use appendices to extend or replace any of 
the sections of

[[Page 18606]]

the Project Narrative. Reviewers will not consider them if you do.
    [squf] Appendix 1: Letters of commitment/support. Identification of 
at least one experienced, licensed service provider organization. A 
list of all direct service provider organizations that have agreed to 
participate in the proposed project, including the applicant agency, if 
it is a treatment or prevention service provider organization. The 
Statement of Assurance (provided in Appendix F of this announcement) 
signed by the authorized representative of the applicant organization 
identified on the face page of the application, that assures SAMHSA 
that all listed providers meet the 2-year experience requirement, are 
appropriately licensed, accredited, and certified, and that if the 
application is within the funding range for an award, the applicant 
will send the GPO the required documentation within the specified time.
    [squf] Appendix 2: Data Collection Instruments/Interview Protocols
    [squf] Appendix 3: Sample Consent Forms
    [squ] 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.
    [squ] Certifications--Use the ``Certifications'' forms found in PHS 
5161-1.
    [squ] 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.
    [squ] 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.
    [squ] Information provided must be sufficient for review.
    [squ] 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.
    [squ] Paper must be white paper and 8.5 inches by 11.0 inches in 
size.
    [squ] To ensure equity among applications, the amount of space 
allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least one inch each, 
and adhering to the 30-page limit for the Project Narrative.
     Should an application not conform to these 
margin or page limits, SAMHSA will use the following method to 
determine compliance: The total area of the Project Narrative 
(excluding margins, but including charts, tables, graphs and footnotes) 
cannot exceed 58.5 square inches multiplied by 30. This number 
represents the full page less margins, multiplied by the total number 
of allowed pages.
     Space will be measured on the physical page. 
Space left blank within the Project Narrative (excluding margins) is 
considered part of the Project Narrative, in determining compliance.
    [squ] The 30-page limit for Appendices 1 and 3.
    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.
    [squ] Pages should be typed single-spaced with one column per page.
    [squ] Pages should not have printing on both sides.
    [squ] 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.
    [squ] Send the original application and two copies to the mailing 
address in Section IV-6.1 of this document. Please do not use staples, 
paper clips, and fasteners. Nothing should be attached, stapled, 
folded, or pasted. Do not use heavy or lightweight paper or any 
material that cannot be copied using automatic copying machines. Odd-
sized and oversized attachments such as posters will not be copied or 
sent to reviewers. Do not include videotapes, audiotapes, or CD-ROMs.

2.4 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations

    Applicants must describe procedures relating to Confidentiality, 
Participant Protection and the Protection of Human Subjects Regulations 
in Section I of the application, using the guidelines provided below. 
Problems with confidentiality, participant protection, and protection 
of human subjects identified during peer review of the application may 
result in the delay of funding.
    Confidentiality and Participant Protection: All applicants must 
describe how they will address requirements for each of the following 
elements relating to confidentiality and participant protection.
1. Protect Clients and Staff from Potential Risks
    [squf] Identify and describe any foreseeable physical, medical, 
psychological, social and legal risks or potential adverse effects as a 
result of the project itself or any data collection activity.
    [squf] Describe the procedures you will follow to minimize or 
protect participants against potential risks, including risks to 
confidentiality.
    [squf] Identify plans to provide guidance and assistance in the 
event there are adverse effects to participants.
    [squf] 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
    [squf] 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.
    [squf] Explain the reasons for including groups of pregnant women, 
children, people with mental disabilities, people

[[Page 18607]]

in institutions, prisoners, and individuals who are likely to be 
particularly vulnerable to HIV/AIDS.
    [squf] Explain the reasons for including or excluding participants.
    [squf] Explain how you will recruit and select participants. 
Identify who will select participants.
3. Absence of Coercion
    [squf] 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.
    [squf] If you plan to compensate participants, state how 
participants will be awarded incentives (e.g., money, gifts, etc.).
    [squf] 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
    [squf] 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.
    [squf] 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.
    [squf] 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
    [squf] Explain how you will ensure privacy and confidentiality. 
Include who will collect data and how it will be collected.
    [squf] Describe:
    [cir] How you will use data collection instruments.
    [cir] Where data will be stored.
    [cir] Who will or will not have access to information.
    [cir] 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
    [squf] 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.
    [squf] State:
    [cir] Whether or not their participation is voluntary.
    [cir] Their right to leave the project at any time without 
problems.
    [cir] Possible risks from participation in the project.
    [cir] Plans to protect clients from these risks.
    [squf] 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.

    [squf] 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?
    [squf] Include, as appropriate, sample consent forms that provide 
for: (1) Informed consent for participation in service intervention; 
(2) informed consent for participation in the data collection component 
of the project; and (3) informed consent for the exchange (releasing or 
requesting) of confidential information. The sample forms must be 
included in Appendix 3, ``Sample Consent Forms'', of your application. 
If needed, give English translations.

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

    [squf] 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?
    [squf] Additionally, if other consents (e.g., consents to release 
information to others or gather information from others) will be used 
in your project, provide a description of the consents. Will 
individuals who do not consent to having individually identifiable data 
collected for evaluation purposes be allowed to participate in the 
project?
7. Risk/Benefit Discussion
    Discuss why the risks are reasonable compared to expected benefits 
and importance of the knowledge from the project.
    Protection of Human Subjects Regulations: Depending on the 
evaluation design you propose in your application, you may have to 
comply with the Protection of Human Subjects Regulations (45 CFR part 
46).
    Applicants whose projects must comply with the Protection of Human 
Subjects Regulations must describe the process for obtaining 
Institutional Review Board (IRB) approval fully in their applications. 
While IRB approval is not required at the time of grant award, these 
applicants will be required, as a condition of award, to provide the 
documentation that an Assurance of Compliance is on file with the 
Office for Human Research Protections (OHRP) and the IRB approval has 
been received prior to enrolling any clients in the proposed project.
    Additional information about Protection of Human Subjects 
Regulations can be obtained on the web at http://ohrp.osophs.dhhs.gov. 
You may also contact OHRP by e-mail ([email protected]) or by phone 
(301/496-7005).

3. Submission Dates and Times

    Applications are due by June 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

[[Page 18608]]

included in the application kit and can be downloaded from the Office 
of Management and Budget (OMB) Web site at http://www.whitehouse.gov/omb/grants/spoc.html.
    [squf] 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.
    [squf] 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.
    [squf] For proposed projects serving more than one State, you are 
advised to contact the SPOC of each affiliated State.
    [squf] 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. SP-04-004.

5. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
    [squf] Institutions of Higher Education: OMB Circular A-21
    [squf] State and Local Governments: OMB Circular A-87
    [squf] Nonprofit Organizations: OMB Circular A-122
    [squf] Appendix E Hospitals: 45 CFR Part 74
    In addition, SAMHSA Services Grant recipients must comply with the 
following funding restrictions:
    [squf] No more than 15% of the total grant award may be used for 
developing the infrastructure necessary for expansion of services, 
except during the allowable infrastructure development phase in year 
one of the project. (There is no limit on expenditure for 
infrastructure development during this phase of the project.)
    [squf] No more than 20% of the total grant award may be used for 
evaluation and data collection (including GPRA). These costs may be 
shared by the applicant and the community partner.
    [squf] No more than 10% of the total grant award may be retained by 
the applicant for costs associated with the administration and 
management of the grant.
    [squf] At least 90% of the total grant award must be allocated to 
the community partner for implementation of services/infrastructure 
development at the community level.
    Grant funds must be used for purposes supported by the program and 
may not be used to:
    [squf] Pay for any lease beyond the project period.
    [squf] 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).
    [squf] 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.)
    [squf] Pay for incentives to induce individuals to enter services. 
However, a grantee or service provider may provide up to $20 or 
equivalent (coupons, bus tokens, gifts, child care, and vouchers) to 
individuals as incentives to participate in required data collection 
follow-up. This amount may be paid for participation in each required 
interview.
    [squf] Implement syringe exchange programs, such as the purchase 
and distribution of syringes and/or needles.
    [squf] Pay for pharmacologies for HIV antiretroviral therapy, 
sexually transmitted diseases (STD)/sexually transmitted illnesses 
(STI), TB, and hepatitis B and C, or for psychotropic drugs.

6. Other Submission Requirements

6.1 Where To Send Applications
    Send applications to the following address: Substance Abuse and 
Mental Health Services Administration, Office of Program Services, 
Review Branch, 5600 Fishers Lane, Room 17-89, Rockville, Maryland, 
20857.
    Be sure to include the funding announcement number (SP 04-004) 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.
    [squf] 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.
    [squf] The Project Narrative (Sections A-E) together may be no 
longer than 30 pages.
    [squf] 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.
    [squf] Reviewers will be looking for evidence of cultural 
competence in each section of the Project Narrative. Points will be 
assigned based on how well you address the cultural competence aspects 
of the evaluation criteria. SAMHSA guidelines for cultural competence 
can be found on the SAMHSA Web site at http://www.samhsa.gov/grants.
    [squf] The Supporting Documentation you provide in Sections F-I and 
Appendices 1-5 will be considered by reviewers in assessing your 
response, along with the material in the Project Narrative.
    [squf] 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)
    [squf] Describe the target population (see Glossary) as well as the 
geographic area to be served, and justify the selection of both. 
Include the numbers to be served and demographic information. Clearly 
identify the target community that is partnering with the applicant 
organization in developing and implement the proposed project. Discuss 
the target population's language, beliefs, norms and values, as well as 
socioeconomic factors that must be considered in delivering programs to 
this population.

[[Page 18609]]

    [squf] Describe the nature of the problem and extent of the need 
for the target population based on data. The statement of need should 
include a clearly established baseline for the project. Documentation 
of need may come from a variety of qualitative and quantitative 
sources. The quantitative data could come from local data or trend 
analyses, State data (e.g., from State Needs Assessments), and/or 
national data (e.g., from SAMHSA's National Household Survey on Drug 
Abuse and Health or from National Center for Health Statistics/Centers 
for Disease Control reports). For data sources that are not well known, 
provide sufficient information on how the data were collected so 
reviewers can assess the reliability and validity of the data.
    [squf] Describe how the proposed project is guided by the Drug 
Enforcement Agency's (DEA) assessment of the incidence, disposition, 
and prevalence of ecstasy and other club drug use within the State, 
Tribal area, or Territory. (Information in the DEA assessments is 
available on the DEA Web site at www.dea.gov/pubs/state_factsheets.html.)
    [squf] Applicants proposing an infrastructure development phase 
must document the need for infrastructure development to improve 
effective Ecstasy and Other Club Drug Use prevention services 
implementation in the target community. This documentation should 
include a description of the service gaps, barriers and other problems 
related to need for infrastructure development and how they will be 
overcome.
Section B: Proposed Evidence-Based Service/Practice (30 Points)
    [squf] Clearly state the purpose, goals and objectives of your 
proposed project. Describe how achievement of goals will produce 
meaningful and relevant results (e.g., increase access, availability, 
prevention, outreach, pre-services, and/or intervention).
    [squf] Identify the evidenced based service/practice that you 
propose to implement. Describe the evidence-base for the proposed 
service/practice and show that it incorporates the best objective 
information available regarding effectiveness and acceptability. Follow 
the instructions provided in 1, 2 or 3 
below, as appropriate:
    1. If you are proposing to implement a service/practice included in 
NREP (see Appendix C), simply identify the practice and state the 
source from which it was selected. You do not need to provide further 
evidence of effectiveness.
    2. If you are providing evidence that includes scientific studies 
published in the peer-reviewed literature or other studies that have 
not been published, describe the extent to which:

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

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

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

    [squf] Justify the use of the proposed service/practice for the 
target population. Describe and justify any adaptations necessary to 
meet the needs of the target population as well as evidence that such 
adaptations will be effective for the target population.
    [squf] Identify and justify any additional adaptations or 
modifications to the proposed service/practice.
    [squf] Describe how the proposed project will address issues of 
age, race, ethnicity, culture, language, sexual orientation, 
disability, literacy, and gender in the target population, while 
retaining fidelity to the chosen practice.
    [squf] Demonstrate how the proposed service/practice will meet your 
goals and objectives. Provide a logic model (see Glossary) that links 
need, the services or practice to be implemented, and outcomes.
Section C: Proposed Implementation Approach (25 Points)
    [squf] Describe how the proposed service or practice will be 
implemented. Provide a realistic time line for the project (chart or 
graph) showing key activities, milestones, and responsible staff. 
[Note: The time line should be part of the Project Narrative. It should 
not be placed in an appendix.]
    [squf] If applicable, describe the infrastructure development phase 
and how it will be implemented. Discuss how the infrastructure 
development phase will lay the groundwork for implementation of the 
proposed service or practice. Show that the infrastructure development 
phase will be completed by the end of the first year of the project.
    [squf] Describe how the community partner has been involved in 
developing the grant project and how it will be involved in 
implementing the evidence-based practice and infrastructure development 
activity(ies), if appropriate.
    [squf] Clearly state the unduplicated number of individuals you 
propose to serve (annually and over the entire project period) with 
grant funds, including the types and numbers of services to be provided 
and anticipated outcomes. Describe how the target population will be 
identified, recruited, and retained.
    [squf] Describe how members of the target population helped prepare 
the application, and how they will help plan, implement, and evaluate 
the project.
    [squf] Describe how the project components will be embedded within 
the existing service delivery system, including other SAMHSA-funded 
projects, if applicable. Identify any other organizations that will 
participate in the proposed project. Describe their roles and 
responsibilities and demonstrate their commitment to the project. 
Include letters of commitment from community organizations supporting 
the project in Appendix 1. Identify any cash or in-kind contributions 
that will be made to the project by the applicant or other partnering 
organizations.

[[Page 18610]]

    [squf] For applicants that are not proposing an infrastructure 
development phase, show that the necessary groundwork (e.g., planning, 
consensus development, development of memoranda of agreement, 
identification of potential facilities) has been completed or is near 
completion so that the project can be implemented and service delivery 
can begin as soon as possible and no later than 4 months after grant 
award.
    [squf] Describe the potential barriers to successful conduct of the 
proposed project and how you will overcome them.
    [squf] Provide a plan to secure resources to sustain the proposed 
project when Federal funding ends.
Section D: Staff and Organizational Experience (20 Points)
    [squf] Discuss the capability and experience of the applicant 
organization and other participating organizations with similar 
projects and populations, including experience in providing culturally 
appropriate/competent services and implementing effective prevention 
interventions.
    [squf] Provide a list of staff who will participate in the project, 
showing the role of each and their level of effort and qualifications. 
Include the Project Director and other key personnel, such as the 
evaluator and treatment/prevention personnel.
    [squf] Describe the racial/ethnic characteristics of key staff and 
indicate if any are members of the target population/community. If the 
target population is multi-linguistic, indicate if the staffing pattern 
includes bilingual and bicultural individuals.
    [squf] 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.
    [squf] Describe how the applicant has worked with local communities 
to plan, coordinate and implement effective prevention activities.
    [squf] Describe the applicant's ability to utilize data to monitor 
services and costs.
Section E: Evaluation and Data (15 Points)
    [squf] Document your ability to collect and report on the required 
performance measures.
    [squf] Identify and justify the Core Measures appropriate to your 
project and document your ability to collect and report those measures.
    [squf] Describe plans for data collection, management, analysis, 
interpretation and reporting. Describe the existing approach to the 
collection of data, along with any necessary modifications. Be sure to 
include data collection instruments/interview protocols in Appendix 2.
    [squf] Discuss the reliability and validity of evaluation methods 
and instrument(s) in terms of the gender/age/culture of the target 
population.
    [squf] Describe the process and outcome evaluation, including 
assessments of implementation and individual outcomes. Show how the 
evaluation will be integrated with requirements for collection and 
reporting of performance data, including data required by SAMHSA to 
meet GPRA requirements.
    [squf] Describe how the evaluation will be used to ensure the 
fidelity to the practice.
    [squf] Provide a per-person or unit cost of the project to be 
implemented, based on the applicant's actual costs and projected costs 
over the life of the project.

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

VI. Award Administration Information

1. Award Notices

    After your application has been reviewed, you will receive a letter 
from SAMHSA through postal mail that describes the general results of 
the review, including the score that your application received.
    If you are approved for funding, you will receive an additional 
notice, the Notice of Grant Award, signed by SAMHSA's Grants Management 
Officer. The Notice of Grant Award is the sole obligating document that 
allows the grantee to receive Federal funding for work on the grant 
project. It is sent by postal mail and is addressed to the contact 
person listed on the face page of the application.
    If you are not funded, you can re-apply if there is another receipt 
date for the program.

2. Administrative and National Policy Requirements

    [squf] You must comply with all terms and conditions of the grant 
award. SAMHSA's standard terms and conditions are available on the 
SAMHSA Web site at www.samhsa.gov/grants/2004/useful_info.asp.
    [squf] Depending on the nature of the specific funding opportunity 
and/or the proposed project as identified during review, additional 
terms and conditions may be identified negotiated with the grantee 
prior to grant award. These may include, for example:
    [cir] Actions required to be in compliance with human subjects 
requirements;
    [cir] Requirements relating to additional data collection and 
reporting;
    [cir] Requirements relating to participation in a cross-site 
evaluation; or
    [cir] Requirements to address problems identified in review of the 
application.
    [squf] 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

[[Page 18611]]

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.
    [squf] 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
    [squf] Grantees must provide annual and final progress reports. The 
final report must summarize information from the annual reports, 
describe the accomplishments of the project, and describe next steps 
for implementing plans developed during the grant period.
    [squf] Grantees must provide annual and final financial status 
reports. These reports may be included as separate sections of annual 
and final progress reports or can be separate documents. Because SAMHSA 
is extremely interested in ensuring that treatment or prevention 
services can be sustained, your financial reports should explain plans 
to ensure the sustainability (see Glossary) of efforts initiated under 
this grant. Initial plans for sustainability should be described in 
year 01. In each subsequent year, you should describe the status of 
your project, as well as the successes achieved and obstacles 
encountered in that year.
    [squf] SAMHSA will provide guidelines and requirements for these 
reports to grantees at the time of award and at the initial grantee 
orientation meeting after award. SAMHSA staff will use the information 
contained in the reports to determine the grantee's progress toward 
meeting its goals.
3.2 Government Performance and Results Act (GPRA)
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. To 
meet the GPRA requirements, SAMHSA must collect performance data (i.e., 
``GPRA data'') from grantees. These requirements are specified in 
Section I-2.4 (Data and Performance Measurement) of this document.
3.3 Publications
    If you are funded under this grant program, you are required to 
notify the Government Project Officer (GPO) and SAMHSA's Publications 
Clearance Officer (301-443-8596) of any materials based on the SAMHSA-
funded grant project that are accepted for publication.
    In addition, SAMHSA requests that grantees:
    [squf] Provide the GPO and SAMHSA Publications Clearance Officer 
with advance copies of publications.
    [squf] Include acknowledgment of the SAMHSA grant program as the 
source of funding for the project.
    [squf] Include a disclaimer stating that the views and opinions 
contained in the publication do not necessarily reflect those of SAMHSA 
or the U.S. Department of Health and Human Services, and should not be 
construed as such.
    SAMHSA reserves the right to issue a press release about any 
publication deemed by SAMHSA to contain information of program or 
policy significance to the substance abuse treatment/substance abuse 
prevention/mental health services community.

VII. Agency Contacts

    For questions about program issues, contact: Tom DeLoe, Ph.D., 
SAMHSA/CSAP, 5600 Fishers Lane, Rockwall II, Suite 1075, Rockville, MD 
20857, 301-443-9110, E-mail: [email protected].
    For questions on grants management issues, contact: Edna Frazier, 
Office of Program Services, Division of Grants Management, Substance 
Abuse and Mental Health Services Administration, 5600 Fishers Lane, 
Rockwall II, Suite 630, Rockville, MD 20857, (301) 443-6816, 
[email protected].

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

    SAMHSA's goal is to review all applications submitted for grant 
funding. However, this goal must be balanced against SAMHSA's 
obligation to ensure equitable treatment of applications. For this 
reason, SAMHSA has established certain formatting requirements for 
its applications. If you do not adhere to these requirements, your 
application will be screened out and returned to you without review. 
In addition to these formatting requirements, programmatic 
requirements (e.g., relating to eligibility) may be stated in the 
specific funding announcement. Please check the entire funding 
announcement before preparing your application.
    [squ] Use the PHS 5161-1 application.
    [squ] 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.
    [squ] Information provided must be sufficient for review.
    [squ] 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.
    [squ] Paper must be white paper and 8.5 inches by 11.0 inches in 
size.
    [squ] To ensure equity among applications, the amount of space 
allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least one inch 
each, and adhering to the page limit for the Project Narrative 
stated in the specific funding announcement.
     Should an application not conform to these 
margin or page limits, SAMHSA will use the following method to 
determine compliance: The total area of the Project Narrative 
(excluding margins, but including charts, tables, graphs and 
footnotes) cannot exceed 58.5 square inches multiplied by the page 
limit. This number represents the full page less margins, multiplied 
by the total number of allowed pages.
     Space will be measured on the physical page. 
Space left blank within the Project Narrative (excluding margins) is 
considered part of the Project Narrative, in determining compliance.
    [squ] 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.
    [squ] 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).

[[Page 18612]]

    [squ] Applications should comply with the following 
requirements:
     Provisions relating to confidentiality, 
participant protection and the protection of human subjects 
specified in Section IV-2.4 of the FY 2004 standard funding 
announcements.
     Budgetary limitations as specified in Section 
I, II, and IV-5 of the FY 2004 standard funding announcements.
     Documentation of nonprofit status as required 
in the PHS 5161-1.
    [squ] Pages should be typed single-spaced with one column per 
page.
    [squ] Pages should not have printing on both sides.
    [squ] 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.
    [squ] Send the original application and two copies to the 
mailing address in the funding announcement. Please do not use 
staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be 
copied or sent to reviewers. Do not include videotapes, audiotapes, 
or CD-ROMs.

Appendix B--Glossary

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

Appendix C--National Registry of Effective Programs

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

[[Page 18613]]

    Programs that have met the NREP standards for each category can 
be identified by accessing the NREP Model Programs Web site at 
www.modelprograms.samhsa.gov.

Appendix F--Statement Of Assurance

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

Appendix G--Logic Model Resources

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

    Dated: April 2, 2004.
Daryl Kade,
Director, Office of Policy, Planning and Budget, Substance Abuse and 
Mental Health Services Administration.

[FR Doc. 04-7908 Filed 4-7-04; 8:45 am]
BILLING CODE 4162-20-P