[Federal Register Volume 69, Number 83 (Thursday, April 29, 2004)]
[Notices]
[Pages 23518-23532]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-9656]


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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Request for Applications for Strategic Prevention 
Framework State Incentive Grants (SPF SIG) (SP 04-002)

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

ACTION: Notice of Request for Applications for Strategic Prevention 
Framework State Incentive Grants (SPF SIG) (SP 04-002).

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

    Authority: Section 516 of the Public Health Service Act.

SUMMARY: The Substance Abuse and Mental Health Services Administration 
(SAMHSA) Center for Substance Abuse Prevention (CSAP) announces the 
availability of grant funds for Strategic Prevention Framework State 
Incentive Grants (SPF SIGs). SPF SIG program is one of SAMHSA's 
Infrastructure Grant programs. SAMHSA's Infrastructure Grant programs 
support an array of activities to help grantees build a solid 
foundation for delivering and sustaining effective substance abuse and/
or mental health services. The SPF SIGs, in particular, will provide 
funding to States to implement SAMHSA's Strategic Prevention Framework 
in order to:
     Prevent the onset and reduce the progression of 
substance abuse, including childhood and underage drinking,
     Reduce substance abuse-related problems in 
communities, and
     Build prevention capacity and infrastructure at 
the State and community levels.
    The Strategic Prevention Framework is built on a community-based 
risk and protective factors approach to prevention and a series of 
guiding principles that can be operationalized at the Federal, State 
and community levels. Although the direct recipients of SPF SIG funds 
will be the States, SAMHSA envisions the SPF SIGs being implemented 
through partnerships between the States and communities. The SPF SIG 
grantees may retain 15 percent of the total grant award to provide 
leadership and coordination of the SPF project in the State, hire SPF 
SIG project staff, and implement the following State-level activities:

 Conduct a statewide needs assessment.
 Establish and maintain a State Epidemiological 
Workgroup

    Note: SAMHSA expects that an average of $200,000 per year will 
be needed to support the needs assessment and State Epidemiological 
Workgroup activities.

 Develop a statewide Strategic Plan
 Conduct on-going monitoring and oversight of the SPF 
SIG project
 Conduct a State-level evaluation of the SPF SIG 
project
 Provide training and technical assistance to support 
the SPF SIG project

    States must allocate a minimum of 85 percent of the total grant 
award to community-level organizations, or through sub State mechanisms 
to community-level organizations.

DATES: Applications are due on July 2, 2004.

FOR FURTHER INFORMATION CONTACT: For questions on program issues, 
contact: Mike Lowther, SAMHSA/CSAP, 5600 Fishers Lane, Rockwall II, 
Suite 930, Rockville, MD 20857, Phone: (301) 443-0369, E-Mail: 
[email protected], or Dave Robbins, SAMHSA/CSAP, 5600 Fishers Lane, 
Rockwall II, Suite 930, Rockville, MD 20857, Phone: (301) 443-0369, E-
Mail: [email protected].
    For questions on grants management issues, contact: Edna Frazier, 
Division of Grants Management, Substance Abuse and Mental Health 
Services Administration/OPS, 5600 Fishers Lane, Rockwall II, Suite 630, 
Rockville, MD 20857, Phone: (301) 443-443-6816, E-mail: 
[email protected].

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


                                Key Dates
------------------------------------------------------------------------
                                          Application deadline: July 2,
          Application deadline                         2004
------------------------------------------------------------------------
Intergovernmental Review (E.O. 12372)..  Letters from State Single Point
                                          of Contact (SPOC) are due no
                                          later than 60 days after
                                          application deadline.
------------------------------------------------------------------------

Table of Contents

I. Funding Opportunity Description
    1. Introduction
    2. Expectations
II. Award Information
    1. Award Amount
    2. Funding Mechanism
III. Eligibility Information
    1. Eligible Applicants
    2. Cost Sharing
    3. Other
IV. Application and Submission Information
    1. Address to Request Application Package
    2. Content and Form of Application Submission
    3. Submission Dates and Times
    4. Intergovernmental Review (E.O. 12372) Requirements
    5. Funding Restrictions/Limitations
    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 Prevention Programs
Appendix D: Performance Measures for the SPF SIG Program

I. Funding Opportunity Description

1. Introduction

    As authorized under Section 516 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

[[Page 23519]]

grant funds for Strategic Prevention Framework State Incentive Grants 
(SPF SIGs).
    The SPF SIG program is one of SAMHSA's Infrastructure Grant 
programs. SAMHSA's Infrastructure Grant programs support an array of 
activities to help grantees build a solid foundation for delivering and 
sustaining effective substance abuse and/or mental health services. The 
SPF SIGs, in particular, will provide funding to States to implement 
SAMHSA's Strategic Prevention Framework in order to:

     prevent the onset and reduce the progression of 
substance abuse, including childhood and underage drinking,
     reduce substance abuse-related problems in 
communities, and
     build prevention capacity and infrastructure at 
the State and community levels.

    The Strategic Prevention Framework is built on a community-based 
risk and protective factors approach to prevention and a series of 
guiding principles that can be operationalized at the Federal, State 
and community levels. Although the direct recipients of SPF SIG funds 
will be the States, SAMHSA envisions the SPF SIGs being implemented 
through partnerships between the States and communities.

2. Expectations

    The Strategic Prevention Framework provides an effective prevention 
process, a direction and a common set of goals, expectations and 
accountabilities to be adopted and integrated at all levels. Through 
the SPF SIGs, States will be funded for up to five years to implement 
the Strategic Prevention Framework in partnership with community-level 
organizations in their States. The SPF SIG grantees may retain 15 
percent of the total grant award to provide leadership and coordination 
of the SPF project in the State, hire SPF SIG project staff, and 
implement the following State-level activities:

     Conduct a statewide needs assessment
     Establish and maintain a State Epidemiological 
Workgroup

    Note: Note: SAMHSA expects that an average of $200,000 per year 
will be needed to support the needs assessment and State 
Epidemiological Workgroup activities.

     Develop a statewide Strategic Plan
     Conduct on-going monitoring and oversight of the 
SPF SIG project
     Conduct a State-level evaluation of the SPF SIG 
project
     Provide training and technical assistance to 
support the SPF SIG project
    States must allocate a minimum of 85 percent of the total grant 
award to community-level organizations, or through sub State mechanisms 
to community-level organizations.
2.1 Guiding Principles for the Strategic Prevention Framework
    The Strategic Prevention Framework is grounded in the public health 
approach and based on six key principles. SPF SIG grantees are required 
to base their SPF SIG projects on these six principles:
    1. Prevention is an ordered set of steps along a continuum to 
promote individual, family, and community health, prevent mental and 
behavioral disorders, support resilience and recovery, and prevent 
relapse. Prevention activities range from deterring diseases and 
behaviors that contribute to them, to delaying the onset of disease and 
mitigating the severity of symptoms, to reducing the related problems 
in communities. This concept is based on the Institute of Medicine 
model that recognizes the importance of a whole spectrum of 
interventions.
    2. Prevention is prevention is prevention. That is, the common 
components of effective prevention for the individual, family or 
community within a public health model are the same--whether the focus 
is on preventing or reducing the effects of cancer, cardiovascular 
disease, diabetes, substance abuse or mental illness.
    3. Common risk and protective factors exist for many substance 
abuse and mental health problems. Good prevention focuses on these 
common risk factors that can be altered. For example, family conflict, 
low school readiness, and poor social skills increase the risk for 
conduct disorders and depression, which in turn increase the risk for 
adolescent substance abuse, delinquency, and violence. Protective 
factors such as strong family bonds, social skills, opportunities for 
school success, and involvement in community activities can foster 
resilience and mitigate the influence of risk factors. Risk and 
protective factors exist in the individual, the family, the community, 
and the broader environment.
    4. Resilience is built by developing assets in individuals, 
families, and communities through evidenced-based health promotion and 
prevention strategies. For example, youth who have relationships with 
caring adults, good schools, and safe communities develop optimism, 
good problem-solving skills, and other assets that enable them to 
rebound from adversity and go on with life with a sense of mastery, 
competence, and hope.
    5. Systems of prevention services work better than service silos. 
Working together, researchers and communities have produced a number of 
highly effective prevention strategies and programs. Implementing these 
strategies within a broader system of services increases the likelihood 
of successful, sustained prevention activities. Collaborative 
partnerships enable communities to leverage scarce resources and make 
prevention everybody's business. National prevention efforts are more 
likely to succeed if partnerships with States, communities, and 
practitioners focus on building capacity to plan, implement, monitor, 
evaluate, and sustain effective prevention.
    6. Baseline data, common assessment tools, and outcomes shared 
across service systems can promote accountability and effectiveness of 
prevention efforts. A Strategic Prevention Framework can facilitate 
Federal agencies, States, and communities to identify common needs and 
risk factors, adopt assessment tools to measure and track results, and 
target outcomes to be achieved. A data-driven strategic approach, 
adopted across service systems at the Federal, State, community, and 
service delivery levels, maximizes the chances for future success and 
achieving positive outcomes.
2.2 Strategic Prevention Framework Process
    Moving SAMHSA's Strategic Prevention Framework from vision to 
practice is a strategic process that State and community stakeholders 
must undertake in partnership. Through the SPF SIG, States will provide 
the requisite leadership, technical support and monitoring to ensure 
that identified communities are successful in implementing the five 
steps of the framework listed below. These steps are required, and all 
targeted communities must implement all five steps. States and 
communities are encouraged to build on existing infrastructure/
activity, where appropriate. States are expected to use the SPF 
framework to guide all prevention activity through-out the State, 
whether funded though the SPF SIG grant or through other sources.
    (1) Profile population needs, resources, and readiness to address 
the problems and gaps in service delivery.
    State Role: SPF SIG grantees must conduct a statewide needs 
assessment, through collection and analysis of

[[Page 23520]]

epidemiological data, that includes the following:
     Assessment of the magnitude of substance abuse 
and related mental health disorders in the State,
     Assessment of risk and protective factors 
associated with substance abuse and related mental health disorders in 
the state,
     Assessment of community assets and resources,
     Identification of gaps in services and capacity,
     Assessment of readiness to act,
     Identification of priorities based on the 
epidemiological analyses, including the identification of target 
communities to implement the Strategic Prevention Framework, and
     Specification of baseline data against which 
progress and outcomes of the Strategic Prevention Framework can be 
measured.
    In order to complete the statewide assessment, SPF SIG grantees 
will be required to form and manage a State Epidemiological Workgroup 
(or work with an existing Epidemiological Workgroup). If the State is 
already engaged in needs assessment efforts, it should use the 
Epidemiological Workgroup to enhance and supplement the current process 
and its findings. SAMHSA expects that these data collection efforts 
will support on-going monitoring and evaluation throughout the five-
year project period, as described in Step 5, below.
    Community Role: Communities must accurately assess their substance 
abuse-related problems using epidemiological data provided by the State 
as well as other local data. The epidemiological data must identify the 
magnitude of the problem to be addressed, where the problem is 
greatest, and risk and protective factors associated with the problem. 
Communities must also assess community assets and resources, gaps in 
services and capacity and readiness to act.
    (2) Mobilize and/or build capacity to address needs.
    State Role: The SPF SIG grantees must engage stakeholders across 
the States, as a complement to parallel engagement activities occurring 
within the target communities that are selected for implementation 
activities.
    Community Role: Engagement of key stakeholders at the State and 
community levels is critical to plan and implement successful 
prevention activities that will be sustained over time. Key tasks may 
include, but are not limited to, convening leaders and stakeholders; 
building coalitions; training community stakeholders, coalitions, and 
service providers; organizing agency networks; leveraging resources; 
and engaging stakeholders to help sustain the activities.
    (3) Develop a Comprehensive Strategic Plan.
    State Role: Using data from the statewide needs assessment, SPF SIG 
grantees must develop a State strategic plan that:

--Identifies the priorities that will be targeted in the State's 
Strategic Prevention Framework,
--Articulates a vision for prevention activities to address critical 
needs,
--Describes necessary infrastructure development and/or evidence-based 
policies, programs and practices (or a process for selection) to be 
implemented within the broader service system and specifies timelines 
for implementation,
--Identifies/coordinates/allocates resources and sources of funding for 
the plan,
--Identifies appropriate funding mechanism(s) to allocate resources to 
targeted communities,
--Identifies any training required,
--Includes key policies and relationships among stakeholders,
--Involves public and private service systems in creating a seamless 
continuum of planning and services,
--Includes plans for sustaining the infrastructure and services that 
are implemented,
--Identifies key milestones and outcomes against which to gauge 
performance, thereby allowing for system improvement and accountability 
of all parties involved, and
--Includes plans for making adjustments, based on on-going needs 
assessment activities.

    Community Role: Communities must develop a strategic plan that 
articulates not only a vision for the prevention activities, but also 
strategies for organizing and implementing prevention efforts. The 
strategic plan must be based on documented needs, build on identified 
resources/strengths, set measurable objectives and include the 
performance measures and baseline data against which progress will be 
monitored. Plans must be adjusted as the result of ongoing needs 
assessment and monitoring activities. The issue of sustainability 
should be a constant throughout each step of planning and 
implementation and should lead to the creation of a long-term strategy 
to sustain policies, programs and practices.
    The strategic plans must be data-driven and focused on addressing 
the most critical needs in the State. The State Strategic Plan must be 
approved by the SAMHSA/CSAP Government Project Officer before 
implementation activities can begin.
    (4) Implement evidence-based prevention programs and infrastructure 
development activities.
    State Role: Once the State's Strategic Plan is approved by the 
SAMHSA/CSAP Government Project Officer, implementation may begin. SPF 
SIG grantees must provide the infrastructure and other necessary 
support to local stakeholders in selecting and implementing policies, 
programs, and practices proven to be effective in research settings and 
communities. States must ensure that community implementers make 
culturally competent adaptations without sacrificing the core elements 
of the program.
    Community Role: Similarly, local stakeholders will use the findings 
of their needs assessments to guide selection and implementation of 
policies, programs and practices proven to be effective in research 
settings and communities. Community implementers must ensure that 
culturally competent adaptations are made without sacrificing the core 
elements of the program. SAMHSA especially encourages the selection and 
adaptation of programs contained in the National Registry of Effective 
Programs (NREP), though this is not a requirement of the SPF SIG. (See 
Appendix C for information about NREP.)
    (5) Monitor process, evaluate effectiveness, sustain effective 
programs/activities, and improve or replace those that fail.
    State Role: SPF SIG grantees will be accountable for the results of 
the SPF SIG grant projects. SPF SIG grantees are, therefore, expected 
to play a critical role in providing on-going monitoring and evaluation 
of all SPF SIG activities, as well as training and technical assistance 
regarding evaluation and performance measurement to local communities. 
Through these efforts, the SPF SIG grantees will assess program 
effectiveness, ensure service delivery quality, identify successes, 
encourage needed improvement, and promote sustainability of effective 
policies, programs, and practices. The SPF SIG grantees will be 
expected to provide performance data to SAMHSA on a regular basis, as 
described in Section I-2.5, Data and Performance Measurement, of this 
announcement. SPF SIG grantees must be prepared to adjust their 
implementation plans based on the results of monitoring/evaluation 
activities.
    Community Role: Ongoing monitoring and evaluation are essential to

[[Page 23521]]

determine if the outcomes desired are achieved and to assess program 
effectiveness and service delivery quality. Communities must provide 
performance data to the SPF SIG States on a regular basis, so that the 
States can monitor, evaluate, sustain and improve the Strategic 
Prevention Framework activities in the State.
    Although the first three steps of the Strategic Prevention 
Framework will continue at some level throughout the course of the 
project, SAMHSA expects that the SPF SIG grantees will be ready to 
begin implementing steps 4 and 5 by the end of the first year of the 
project.
2.3 Inclusion of Underage Drinking
    Recent studies--including a major undertaking by the National 
Academy of Science--indicates a severe and persistent problem with the 
use of alcohol by children and youth under the age of 21. The 
Department of Health and Human Services, through SAMHSA/CSAP, is 
committed to bringing down the rates of underage drinking and is 
working toward a target of $30 million in FY 2004 funding for 
communities to address this problem. The SPF SIG grant offers an 
excellent vehicle for supporting the goals of this underage drinking 
initiative. State applicants must therefore include the prevention of 
underage alcohol consumption as part of their SPF SIG project and 
provide a comprehensive strategy that addresses this problem, along 
with other SPF SIG priorities. (This will mean addressing underage 
drinking and other substance abuse.) Underage drinking must be included 
in all five steps of the Strategic Prevention Framework implemented by 
each SPF SIG grantee.
2.4 Strategic Prevention Framework Advisory Council
    In implementing the SPF SIG, States are required to form a 
Strategic Prevention Framework Advisory Council (SPF Advisory Council) 
that includes a representative(s) from each of the following:
    (1) The Office of the Governor;
    (2) A core group of drug and alcohol-related agencies identified by 
the State (including but not limited to public health, education, 
criminal justice, behavioral/mental health);
    (3) A Demand Reduction Coordinator from the Drug Enforcement 
Administration who has responsibility for the State;
    (4) The State agency identified by the applicant as the lead agency 
on underage drinking. (SAMHSA/CSAP encourages Governors to designate a 
lead agency for preventing underage drinking if one does not currently 
exist); and
    (5) SAMHSA/CSAP.
    Representatives from other State, community and non-profit 
organizations that work in substance abuse prevention and mental health 
promotion/early intervention are also encouraged to be part of the SPF 
Advisory Council.
    The Chair of the SPF Advisory Council is to be appointed by the 
Governor.
    The SPF Advisory Council should provide ongoing advice and guidance 
to the SPF SIG project and is encouraged to create workgroups to 
monitor progress and accomplish each of the required steps of the 
Strategic Prevention Framework.
2.5 Data and Performance Measurement
    The Government Performance and Results Act of 1993 (Pub. L. 103-62, 
or ``GPRA'') requires all Federal agencies to:
     develop strategic plans that specify what they 
will accomplish over a 3- to 5-year period;
     set performance targets annually related to 
their strategic plan; and
     report annually on the degree to which the 
previous year's targets were met.

    The law further requires agencies to link their performance to 
their budgets. Agencies are expected to evaluate their programs 
regularly and to use results of these evaluations to explain their 
successes and failures.
    To meet these requirements, SAMHSA must collect performance data 
(i.e., ``GPRA data'') from grantees. Grantees are required to report 
these performance data to SAMHSA on a timely basis so that results are 
available to support budgetary decisions.
    In collaboration with States and other stakeholders, SAMHSA has 
reviewed its discretionary and block grant programs, examining their 
ability to capture and assess performance data on treatment and 
prevention outcomes. The result has been the identification of seven 
key National Outcome domains.
     Four domains apply to both prevention and 
recovery and will be addressed by the SPF SIG: (1) Abstinence from 
illicit drug use and alcohol abuse, (2) increased employment/return to 
school, (3) prevented or decreased criminal justice involvement, and 
(4) increased stabilization of family and living conditions.
     Two of the three remaining domains--increased 
access to services and increased social supports and connectedness--
relate directly to the prevention services process itself and will be 
addressed by the SPF SIG.
     The seventh domain (increased retention in 
treatment) is not relevant to prevention and will not be addressed by 
the SPF.
    The SPF SIG grantees also will be required to collect and report 
data on two additional domains--Cost Effectiveness and Use of Evidence-
Based Practices--as a result of the Office of Management and Budget 
(OMB) Program Assessment and Review Tool (PART) review of SAMHSA's 
block grants.
    SPF SIG grantees must include performance measures in the National 
Outcome domains in the needs assessments and on-going monitoring and 
evaluation activities that will be conducted through the SPF SIGs. By 
using these same outcome domains and their measures over time to assess 
progress, States and SAMHSA can foster continuous program and policy 
improvement.
    The performance measures in each of the domains relevant to the 
Strategic Prevention Framework are listed below and specific data 
elements to be used for each of the performance measures are provided 
in Appendix D of this announcement. SPF SIG States will be expected to 
collect and aggregate these data from the target communities for the 
SPF SIG. Comparable statewide data will be collected through the 
prevention portion of the States Substance Abuse Prevention and 
Treatment Block Grant (SAPTBG) allotment.
    Applicants for the SPF SIG should describe their current ability to 
collect and report data on these measures in their applications, but 
should understand that the specific requirements for doing so may 
change. In particular, data elements for some of the performance 
measures are currently under development. Applicants for the SPF SIG 
must propose an approach to collecting and reporting data on the 
developmental performance measures in their applications. A meeting of 
the SPF SIG grantees and State officials working on the prevention 
portion of the SAPTBG will be convened 3 to 6 months after award to 
finalize an approach to collecting and reporting these measures. 
Ultimately, OMB approval will be required. SAMHSA/CSAP will provide the 
final set of measures, data collection tools and approved methodology 
to the SPF SIG grantees after OMB approval has been obtained.

[[Page 23522]]



------------------------------------------------------------------------
         Desired outcome/domain                Performance measure
------------------------------------------------------------------------
Abstinence from Drug...................  30-day substance use (non-use/
                                          reduction in use).
Use/Alcohol Abuse......................  Availability of alcohol,
                                          tobacco and other drugs.
                                         Perception of drug use as
                                          harmful.
                                         Attitude toward use (Perception
                                          of drug use as wrong).
Increased/Retained Employment or Return  School attendance, ATOD-related
 to/Stay in School.                       suspensions/expulsions, Drug-
                                          related workplace injuries.
Decreased Criminal Justice Involvement.  Drug-related crime.
Increased Stability in Family and        Parent participation in
 Living Conditions.                       prevention activities.
Increased Access to Services (Service    Number of persons served by
 Capacity).                               age, gender, race, and
                                          ethnicity.
Increased Social Supports/Social         Under development.
 Connectedness.
------------------------------------------------------------------------


------------------------------------------------------------------------
      OMB required outcome/domain              Performance measure
------------------------------------------------------------------------
Cost Effectiveness.....................  Increase services provided
                                          within cost bands.
Use of Evidence-Based Practices........  Total number of evidence-based
                                          programs and strategies funded
                                          by SPF SIG.
------------------------------------------------------------------------

    In addition to the required performance data, SPF SIG States will 
be required to identify and report the amount of funding focused on 
underage drinking for each year of the project. Finally, grantees may 
choose to collect additional data to monitor progress in addressing 
state-specific needs identified in the statewide needs assessment. 
Applicants should specify and justify any additional measures they plan 
to collect in their applications.
2.6 Evaluation
    Grantees must conduct on-going monitoring and evaluation of their 
projects to determine if the outcomes desired are achieved and to 
assess program effectiveness and service delivery quality, encourage 
needed improvement, and promote sustainability of effective programs. 
Grantees must be prepared to adjust their implementation plans based on 
the results of their monitoring/evaluation activities. The evaluation 
must include the required performance measures described above and must 
enable the State to track progress in achieving SPF SIG Project Goals. 
The evaluation must include both process and outcome components. 
Although control groups are not required, the State must identify 
potential sources of comparison data at the state and community level. 
The evaluation plan must be considered when preparing the project 
budget.
    The process evaluation must address the implementation of the 
Strategic Prevention Framework:
     How closely did implementation match the plan?
     What types of deviation from the plan occurred?
     What led to the deviations?
     What impact did the deviations have on the 
intervention and evaluation?
    The outcome evaluation must provide data and measurement to 
determine changes in the seven National Outcome domains described 
above. To the extent possible, the outcome evaluation should 
investigate the relationship between changes in the domains and the 
implementation of the Strategic Prevention Framework:

     What was the effect of the Strategic Prevention 
Framework project on service capacity and other system outcomes?
     Did the Strategic Prevention Framework project 
achieve the intended Project Goals?
     What program/contextual factors were associated 
with outcomes?
     What individual factors were associated with 
outcomes?
     How durable were the effects?

    Following award, SPF SIG States will be required to submit 
revisions to their data collection and evaluation plans based on the 
results of needs assessment activities, the on-going work of the 
Epidemiological Workgroup, and development of the SPF SIG strategic 
plan.
    In addition to conducting a project-specific evaluation, SPF SIG 
grantees must participate in a SPF SIG cross-site evaluation to be 
conducted by CSAP and the National Institute on Drug Abuse (NIDA). This 
cross-site evaluation will be designed to measure the impact of the SPF 
SIG program as a whole in terms of establishing and sustaining an 
infrastructure at the State and community-levels to allow data-based 
decision-making and improving client outcomes as well as environmental 
factors that affect substance abuse. SPF SIG grantees must explicitly 
state their willingness to participate in this cross-site evaluation in 
their applications, including their willingness to provide required 
forms, data and reports related to the cross-site evaluation.
2.7 Grantee Meetings
    Grantees 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 must include funding for this travel in the grant budget. 
At these meetings, grantees will present the results of their projects 
and Federal staff will provide technical assistance. Each meeting will 
be up to 3 days. These meetings will usually be held in the Washington, 
DC, area, and attendance is mandatory.
2.8 Technical Assistance From SAMHSA
    Due to the unique nature of this grant program, SAMHSA recognizes 
that applicants may wish to entertain an array of program and 
administrative options. To respond, SAMHSA will make available both 
pre-application and post-award technical assistance. Examples of topics 
for which technical assistance may be provided include, but are not 
limited to:

     Conducting needs assessments,
     Forming and working with Epidemiological 
Workgroups, including establishment of initial data bases to support 
collection and analysis of epidemiological data,
     Identification and selection of evidence-based 
practices,
     Fiscal/cost accounting mechanisms that can track 
program expenditures,
     Management of information systems to track 
performance and outcomes,
     Development of quality improvement activities, 
including technical assistance and training to support implementation 
of evidence-based practices, and
     Outreach to entities unknown to the State.

[[Page 23523]]

II. Award Information

1. Award Amount

    It is expected that approximately $45 million will be available to 
fund up to 20 awards in Fiscal Year (FY) 2004. Annual awards are 
expected to be $3.0 million or less per year in total costs (direct and 
indirect). Applicants may request a project period of up to five years.
    Based on the President's budget request for FY 2005, SAMHSA expects 
to have additional funds available for a small number of new awards in 
2005. The amount available for new awards in FY 2005 will be determined 
by the final appropriation. Because the number of new awards to be made 
is expected to be small, SAMHSA does not currently plan to republish 
the SPF SIG announcement for 2005. Instead, SAMHSA plans to make FY 
2005 awards to applicants who submit applications under this grant 
announcement but do not receive funding in FY 2004. All States are 
strongly encouraged to apply for an SPF SIG grant in FY 2004.
    Proposed budgets may be less than, but may not exceed, $3 million 
in any year of the proposed project. Annual continuation awards will 
depend on the availability of funds, grantee progress in meeting 
project goals and objectives, and timely submission of required data 
and reports.
    Because the SPF SIG is intended to be implemented through a 
partnership between the State and community-level organizations, and 
because much of the Strategic Prevention Framework involves activity 
that must be implemented at the community level, State applicants for 
the SPF SIG may retain up to 15 percent of the total grant award for 
activities to be implemented at the State level. A minimum of 85 
percent of the total grant award must be allocated to community-level 
organizations for activities to be implemented at the community level. 
Both State and community-level recipients of funds are expected to be 
involved in all five required steps of the Strategic Prevention 
Framework.

2. Funding Mechanism

    Awards will be made as Cooperative Agreements.
Role of the State Awardee
    The SPF SIG State awardee must comply with the terms of the SPF SIG 
Cooperative Agreement, including implementation of all required SPF SIG 
activities described in Section I-2, Expectations, in this grant 
announcement. The SPF SIG awardee must agree to provide SAMHSA with all 
required performance data, collaborate with SAMHSA/CSAP staff in all 
aspects of the SPF SIG Cooperative Agreement, and participate in the 
SIG Cross Site Evaluation (including submission of all required forms, 
data and reports).
Role of Federal Staff
    The Government Project Officer (GPO) will serve as an active member 
of the State's SPF Advisory Council. Through participation on the 
Advisory Council, the GPO will provide guidance and technical 
assistance to help awardees achieve SPF SIG goals. The GPO also will 
participate on policy, steering, advisory or other workgroups; assure 
that SPF SIG projects are responsive to SAMHSA's mission and implement 
the SAMHSA Strategic Prevention Framework; monitor and review progress 
of SPF SIG projects; monitor development and collection of process and 
outcome data from SPF SIG grantees; ensure compliance with Government 
Performance and Results Act (GPRA) and Core Measures data requirements; 
ensure the SPF SIG's collaboration with the SPF SIG State 
Epidemiological Workgroup; and review and approve the State's Strategic 
Plan and relevant subrecipient funding mechanisms.

III. Eligibility Information

1. Eligible Applicants

    This program is intended to help States enhance the prevention 
infrastructure and service delivery system throughout the State. 
Applicants for the SPG SIG must have the ability to leverage and 
coordinate all prevention-related sources of funding and other 
resources in order to achieve the goals of the Strategic Prevention 
Framework. Therefore, eligibility for the SPF SIG is limited to the 
immediate office of the Governor in those States and Territories that 
currently receive the SAPT Block Grant. Governors are strongly 
encouraged to designate administration and oversight of the SPF SIG to 
the agency in the State that manages the 20 percent prevention set-
aside of the SAPT Block Grant.

2. Cost Sharing

    Cost sharing 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 in your proposal as evidence of 
commitment to the proposed project. Reviewers may consider this 
information in evaluating the quality of the application.

3. Other

    Applications must comply with the following requirements, or they 
will be screened out and will not be reviewed: use of the PHS 5161-1 
application; application submission requirements in Section IV-3 of 
this document; and formatting requirements provided in Section IV-2.3 
of this document.

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 Web 
site at www.samhsa.gov. Click on ``grant opportunities.''
    Additional materials available on this Web site include:

     A technical assistance manual for potential 
applicants;
     Standard terms and conditions for SAMHSA grants;
     Guidelines and policies that relate to SAMHSA 
grants (e.g., guidelines on cultural competence, consumer and family 
participation, and evaluation); and
     Enhanced instructions for completing the PHS 
5161-1 application.

2. Content and Form of Application Submission

2.1 Required Documents
    SAMHSA application kits include the following documents:

     PHS 5161-1 (revised July 2000)--Includes the 
face page, budget forms, assurances, certification, and checklist. You 
must use the PHS 5161-1. Applications that are not submitted on the PHS 
5161-1 will be screened out and will not be reviewed.
     Request for Application (RFA)--Provides specific 
information about the availability of funds along with instructions for 
completing the grant application. This document is the RFA. The RFA 
will be available on the SAMHSA Web site (http://www.samhsa.gov) and on 
the Federal grants Web site (http://www.grants.gov). The RFA also will 
be published in the Federal Register.

    You must use all of the above documents in completing your 
application.

[[Page 23524]]

2.2 Required Application Components
    To ensure equitable treatment of all applications, applications 
must be complete. In order for your application to be complete, it must 
include the required ten application components (Face Page, Abstract, 
Table of Contents, Budget Form, Project Narrative and Supporting 
Documentation, Appendices, Assurances, Certifications, Disclosure of 
Lobbying Activities, and Checklist).

     Face Page--Use Standard Form (SF) 424, which is 
part of the PHS 5161-1. [Note: Beginning October 1, 2003, applicants 
will need to provide a Dun and Bradstreet (DUNS) number to apply for a 
grant or cooperative agreement from the Federal Government. SAMHSA 
applicants will be required to provide their DUNS number on the face 
page of the application. Obtaining a DUNS number is easy and there is 
no charge. To obtain a DUNS number, access the Dun and Bradstreet Web 
site at http://www.dunandbradstreet.com or call 1-866-705-5711. To 
expedite the process, let Dun and Bradstreet know that you are a 
public/private nonprofit organization getting ready to submit a Federal 
grant application.]
     Abstract--Your total abstract should not be 
longer than 35 lines. In the first five lines or less of your abstract, 
write a summary of your project that can be used, if your project is 
funded, in publications, reporting to Congress, or press releases.
     Table of Contents--Include page numbers for each 
of the major sections of your application and for each appendix.
     Budget Form--Use SF 424A, which is part of the 
5161-1. Fill out Sections B, C, and E of the SF 424A.
     Project Narrative and Supporting Documentation--
The Project Narrative describes your project. It consists of Sections A 
through D. These sections in total may not be longer than 25 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 E through H. There are no page limits for these 
sections, except for Section G, Biographical Sketches/Job Descriptions.

     Section E--Literature Citations. This section 
must contain complete citations, including titles and all authors, for 
any literature you cite in your application.
     Section F--Budget Justification, Existing 
Resources, Other Support. You must provide a narrative justification of 
the items included in your proposed budget, as well as a description of 
existing resources and other support you expect to receive for the 
proposed project. Be sure to show that no more than 20% of the total 
grant award will be used for data collection and evaluation.
     Section G--Biographical Sketches and Job 
Descriptions.

--Include a biographical sketch for the Project Director and other key 
positions. Each sketch should be 2 pages or less. If the person has not 
been hired, include a letter of commitment from the individual with a 
current biographical sketch.
--Include job descriptions for key personnel. Job descriptions should 
be no longer than 1 page each.
--Sample sketches and job descriptions are listed on page 22, Item 6 in 
the Program Narrative section of the PHS 5161-1.

     Section H--Confidentiality and SAMHSA 
Participant Protection/Human Subjects. Section IV-2.4 of this document 
describes requirements for the protection of the confidentiality, 
rights and safety of participants in SAMHSA-funded activities. This 
section also includes guidelines for completing this part of your 
application.
     Appendices 1 through 3--Use only the appendices 
listed below. Do not use more than 30 pages for Appendices 1 and 3. 
There are no page limitations for Appendix 2. Do not use appendices to 
extend or replace any of the sections of the Project Narrative. 
Reviewers will not consider them if you do.

--Appendix 1: Letters of Support
--Appendix 2: Data Collection Instruments/Interview Protocols
--Appendix 3: Sample Consent Forms
     Assurances--Non-Construction Programs. Use 
Standard Form 424B found in PHS 5161-1. You are also 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 SAMHSA's clearinghouse (NCADI).
     Certifications--Use the ``Certifications'' forms 
found in PHS 5161-1.
     Disclosure of Lobbying Activities--Use Standard 
Form LLL found in the PHS 5161-1. Federal law prohibits the use of 
appropriated funds for publicity or propaganda purposes, or for the 
preparation, distribution, or use of the information designed to 
support or defeat legislation pending before the Congress or State 
legislatures. This includes ``grass roots'' lobbying, which consists of 
appeals to members of the public suggesting that they contact their 
elected representatives to indicate their support for or opposition to 
pending legislation or to urge those representatives to vote in a 
particular way.
     Checklist--Use the Checklist found in PHS 5161-
1. The Checklist ensures that you have obtained the proper signatures, 
assurances and certifications and is the last page of your application.
2.3 Application Formatting Requirements
    Applicants also must comply with the following basic application 
requirements. Applications that do not comply with these requirements 
will be screened out and will not be reviewed.
     Information provided must be sufficient for 
review.
     Text must be legible.

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

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

--Applications would meet this requirement by using all margins (left, 
right, top, bottom) of at least one inch each, and adhering to the 25-
page limit for the Project Narrative.
--Should an application not conform to these margin or page limits, 
SAMHSA will use the following method to determine compliance: The total 
area of the Project Narrative (excluding margins, but including charts, 
tables, graphs and footnotes) cannot exceed 58.5 square inches 
multiplied by 25. This number represents the full page less margins, 
multiplied by the total number of allowed pages.
--Space will be measured on the physical page. Space left blank within 
the Project Narrative (excluding margins) is considered part of the 
Project Narrative, in determining compliance.

     The 30-page limit for Appendices 1 and 3.

[[Page 23525]]

    To facilitate review of your application, follow these additional 
guidelines. Failure to adhere to the following guidelines will not, in 
itself, result in your application being screened out and returned 
without review. However, following these guidelines will help reviewers 
to consider your application.
     Pages should be typed single-spaced with one 
column per page.
     Pages should not have printing on both sides.
     Please use black ink and number pages 
consecutively from beginning to end so that information can be located 
easily during review of the application. The cover page should be page 
1, the abstract page should be page 2, and the table of contents page 
should be page 3. Appendices should be labeled and separated from the 
Project Narrative and budget section, and the pages should be numbered 
to continue the sequence.
     Send the original application and two copies to 
the mailing address in Section IV-6.1 of this document. Please do not 
use staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be copied 
or sent to reviewers. Do not include videotapes, audiotapes, or CD-
ROMs.
2.4 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations
    Applicants must describe procedures relating to Confidentiality, 
Participant Protection and the Protection of Human Subjects Regulations 
in Section H 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 the requirements for each of the 
following elements relating to confidentiality and participant 
protection.
1. Protect Clients and Staff From Potential Risks
     Identify and describe any foreseeable physical, 
medical, psychological, social, and legal risks or potential adverse 
effects as a result of the project itself or any data collection 
activity.
     Describe the procedures you will follow to 
minimize or protect participants against potential risks, including 
risks to confidentiality.
     Identify plans to provide guidance and 
assistance in the event there are adverse effects to participants.
     Where appropriate, describe alternative 
treatments and procedures that may be beneficial to the participants. 
If you choose not to use these other beneficial treatments, provide the 
reasons for not using them.
2. Fair Selection of Participants
     Describe the target population(s) for the 
proposed project. Include age, gender, and racial/ethnic background and 
note if the population includes homeless youth, foster children, 
children of substance abusers, pregnant women, or other targeted 
groups.
     Explain the reasons for including groups of 
pregnant women, children, people with mental disabilities, people in 
institutions, prisoners, and individuals who are likely to be 
particularly vulnerable to HIV/AIDS.
     Explain the reasons for including or excluding 
participants.
     Explain how you will recruit and select 
participants. Identify who will select participants.
3. Absence of Coercion
     Explain if participation in the project is 
voluntary or required. Identify possible reasons why participation is 
required, for example, court orders requiring people to participate in 
a program.
     If you plan to compensate participants, state 
how participants will be awarded incentives (e.g., money, gifts, etc.).
     State how volunteer participants will be told 
that they may receive services intervention even if they do not 
participate in or complete the data collection component of the 
project.
4. Data Collection
     Identify from whom you will collect data (e.g., 
from participants themselves, family members, teachers, others). 
Describe the data collection procedures and specify the sources for 
obtaining data (e.g., school records, interviews, psychological 
assessments, questionnaires, observation, or other sources). Where data 
are to be collected through observational techniques, questionnaires, 
interviews, or other direct means, describe the data collection 
setting.
     Identify what type of specimens (e.g., urine, 
blood) will be used, if any. State if the material will be used just 
for evaluation or if other use(s) will be made. Also, if needed, 
describe how the material will be monitored to ensure the safety of 
participants.
     Provide in Appendix 2, ``Data Collection 
Instruments/Interview Protocols,'' copies of all available data 
collection instruments and interview protocols that you plan to use.
5. Privacy and Confidentiality
     Explain how you will ensure privacy and 
confidentiality. Include who will collect data and how it will be 
collected.
     Describe:

--How you will use data collection instruments.
--Where data will be stored.
--Who will or will not have access to information.
--How the identity of participants will be kept private, for example, 
through the use of a coding system on data records, limiting access to 
records, or storing identifiers separately from data.

    Note: If applicable, grantees must agree to maintain the 
confidentiality of alcohol and drug abuse client records according 
to the provisions of Title 42 of the Code of Federal Regulations, 
Part II.

6. Adequate Consent Procedures
     List what information will be given to people 
who participate in the project. Include the type and purpose of their 
participation. Identify the data that will be collected, how the data 
will be used and how you will keep the data private.
     State:

--Whether or not their participation is voluntary.
--Their right to leave the project at any time without problems.
--Possible risks from participation in the project.
--Plans to protect clients from these risks.

     Explain how you will get consent for youth, the 
elderly, people with limited reading skills, and people who do not use 
English as their first language.

    Note: If the project poses potential physical, medical, 
psychological, legal, social or other risks, you must obtain written 
informed consent.

     Indicate if you will obtain informed consent 
from participants or assent from minors along with consent from their 
parents or legal guardians. Describe how the consent will be 
documented. For example: Will you read the consent forms? Will you ask 
prospective participants questions to be sure they understand the 
forms? Will you give them copies of what they sign?

[[Page 23526]]

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

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

     Describe if separate consents will be obtained 
for different stages or parts of the project. For example, will they be 
needed for both participant protection in treatment intervention and 
for the collection and use of data?
     Additionally, if other consents (e.g., consents 
to release information to others or gather information from others) 
will be used in your project, provide a description of the consents. 
Will individuals who do not consent to having individually identifiable 
data collected for evaluation purposes be allowed to participate in the 
project?
7. Risk/Benefit Discussion
    Discuss why the risks are reasonable compared to expected benefits 
and importance of the knowledge from the project.
Protection of Human Subjects Regulations
    Applicants may have to comply with the Protection of Human Subjects 
Regulations (45 CFR part 46), depending on the evaluation design 
proposed in the application.
    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 that 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 close of business on July 2, 2004. Your 
application must be received by the application deadline. Applications 
sent through postal mail and received after this date must have a 
proof-of-mailing date from the carrier dated at least 1 week prior to 
the due date. Private metered postmarks are not acceptable as proof of 
timely mailing.
    You will be notified by postal mail that your application has been 
received.
    Applications not received by the application deadline or not 
postmarked by a week prior to the application deadline will be screened 
out and will not be reviewed.

4. Intergovernmental Review (E.O. 12372) Requirements

    Executive Order 12372, as implemented through Department of Health 
and Human Services (DHHS) regulation at 45 CFR Part 100, sets up a 
system for State and local review of applications for Federal financial 
assistance. A current listing of State Single Points of Contact (SPOCs) 
is included in the application kit and can be downloaded from the 
Office of Management and Budget (OMB) Web site at http://www.whitehouse.gov/omb/grants/spoc.html.

     Check the list to determine whether your State 
participates in this program.
     If your State participates, contact your SPOC as 
early as possible to alert him/her to the prospective application(s) 
and to receive any necessary instructions on the State's review 
process.
     For proposed projects serving more than one 
State, you are advised to contact the SPOC of each affiliated State.
     The SPOC should send any State review process 
recommendations to the following address within 60 days of the 
application deadline: Substance Abuse and Mental Health Services 
Administration, Office of Program Services, Review Branch, 5600 Fishers 
Lane, Room 17-89, Rockville, Maryland, 20857, ATTN: SPOC--Funding 
Announcement No. SP 04-002.

5. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:

 Institutions of Higher Education: OMB Circular A-21
 State and Local Governments: OMB Circular A-87
 Nonprofit Organizations: OMB Circular A-122
 Appendix E Hospitals: 45 CFR Part 74

    In addition, SAMHSA's SPF SIG recipients must comply with the 
following funding restrictions:
     Grant funds must be used for purposes supported 
by the program.
     The SPF SIG grantees may retain up to 15% of the 
total grant award for implementation of State-level activities, while a 
minimum of 85% of the total grant award must be allocated to community-
level organizations to support activities taking place at the community 
level.
     Grant funds may not be used to pay for the 
purchase or construction of any building or structure to house any part 
of the grant project. Applications may request up to $75,000 for 
renovations and alterations of existing facilities.

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 ``SPF SIG/SP 04-002'' 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-D). These sections 
describe what you intend to do with your project.
     In developing the Project Narrative section of 
your application, use these instructions, which have been tailored to 
this program. These are to be used instead of the ``Program Narrative'' 
instructions found in the PHS 5161-1.
     You must use the four sections/headings listed 
below in developing your Project Narrative. Be sure to place the 
required information in the correct

[[Page 23527]]

section, or it will not be considered. Your application will be scored 
according to how well you address the requirements for each section.
     Reviewers will be looking for evidence of 
cultural competence in each section of the Project Narrative. Points 
will be assigned based on how well you address the cultural competence 
aspects of the evaluation criteria. SAMHSA's guidelines for cultural 
competence can be found on the SAMHSA Web site at http://www.samhsa.gov. Click on ``Grant Opportunities.''
     The Supporting Documentation you provide in 
Sections E-H and Appendices 1-5 will be considered by reviewers in 
assessing your response, along with the material in the Project 
Narrative.
     The number of points after each heading below 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 each 
section.
Section A: Statement of Need (10 points)
     Document the need to implement the Strategic 
Prevention Framework in the State. Include information about the 
prevalence of substance abuse and related risk and protective factors 
within the State. Documentation of need may come from local data or 
trend analyses, State data (e.g., from State Needs Assessments), and/or 
national data (e.g., from SAMHSA's National Survey on Drug Use 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.
     Describe the need for an enhanced infrastructure 
to increase the capacity to implement, sustain, and improve effective 
substance abuse prevention services in the State. Describe what is 
currently known about service gaps, barriers, and other problems 
related to the need to implement the Strategic Prevention Framework.
     Describe how the Strategic Prevention Framework 
State Incentive Grant (SPF SIG) will help the State and communities to 
address substance abuse problems in the State. Include how the SPF will 
improve the State's process for collecting, analyzing and utilizing 
data to plan, implement and evaluate substance abuse prevention 
efforts.
     Describe key stakeholders and resources within 
the State that can help implement the Strategic Prevention Framework.
Section B: Proposed Approach (35 points)
     Clearly state the purpose of the proposed 
project, including specific goals and objectives for your State. 
Describe how implementation of the Strategic Prevention Framework will 
lead to achievement of those goals and objectives, and how this will 
increase system capacity to support effective substance abuse 
prevention.
     Describe the approach that will be used to 
implement the Strategic Prevention Framework. In this description, you 
should:

--Document that the project will build upon the six principles of the 
Strategic Prevention Framework;
--Describe how you will implement the five required steps of the 
Strategic Prevention Framework at the State level;
--Describe how you will implement a complementary/parallel 5-step 
process within the target communities that are selected for 
implementation activities;
--Describe roles that you expect states and communities to play in each 
of the five steps; and
--Describe how childhood and underage drinking will be included as an 
emphasis in each of the target communities selected for funding.

     Describe your plans to develop or expand 
Epidemiological Workgroups, and describe the State's plan to utilize 
the information generated by the Epidemiological Workgroups to drive 
funding decisions.
     Describe your plans for forming and mobilizing a 
new SPF Advisory Council or enhancing an existing advisory body to meet 
the requirements for the SPF Advisory Council described in Section I-
2.4, SPF Advisory Council. Include a description of the SPF Advisory 
Council's membership, roles and functions, and frequency of meetings.
     Describe plans to implement culturally 
appropriate policies, programs and practices.
     Describe how you will encourage communities to 
use evidence-based programs, practices and policies.
     Describe the community partners and any other 
organizations that will participate in the project and their roles and 
responsibilities. Demonstrate their commitment to the project. Include 
letters of commitment/coordination/support from these community 
organizations in Appendix 1 of the application. Identify any cash or 
in-kind contributions that will be made to the project.
     Describe how members of the target population 
were involved in the preparation of the application, and how they will 
be involved in the planning, implementation, and evaluation of the 
project.
     Describe the potential barriers to successful 
conduct of the proposed project and how you will overcome them.
     Provide a plan to secure resources to sustain 
the proposed infrastructure enhancements when Federal funding ends.
Section C: Staff and Management Capacity, and Relevant Experience (25 
points)
     Provide a realistic time line for the project 
management (chart or graph) showing key activities, milestones, and 
responsible staff. [Note: The time line should be part of the Project 
Narrative. It should not be placed in an appendix.]
     Discuss the capability and experience of the 
applicant organization and other partnering organizations with similar 
projects, including experience in implementing culturally appropriate/
competent prevention interventions.
     Provide a list of staff or position descriptions 
that will participate in the project, showing the role of each and 
their level of effort and qualifications. Include the Project Director, 
Epidemiological Workgroup Lead, Project Evaluator, and other key 
personnel.
     Describe the resources available for the 
proposed project (e.g., facilities, equipment). Provide evidence that 
any direct services will be provided in a location that is adequate, 
accessible, compliant with the Americans with Disabilities Act (ADA), 
and amenable to the target population.
Section D: Evaluation and Data (30 points)
     Describe the process and outcome evaluation, 
addressing the evaluation requirements specified in Section I-2.6, 
Evaluation, of this grant announcement. Include specific performance 
measures and target outcomes related to the goals and objectives 
identified for the SPF SIG project in Section B of the Project 
Narrative. Discuss how they will be used to track progress in achieving 
these goals and objectives over the course of the SPF SIG project.
     Document your ability to collect and report on 
the required performance measures as specified in Section I-2.5, Data 
and Performance Measurement, and Appendix D of this grant

[[Page 23528]]

announcement. Specify and justify any additional measures you plan to 
use for your grant project.
     Describe plans for data collection, management, 
analysis, interpretation and reporting.

--Describe the existing data collection system, its ability to capture 
required performance measures, and any necessary modifications.
--Describe planned approaches to surveying program participants or 
gathering archival data on an ongoing basis to map the program results 
to needs assessment and other data.
--Document your ability to access target populations for the purposes 
of gathering data.
--Include project-specific data collection instruments/interview 
protocols (i.e., those not required by CSAP) in Appendix 2.

     Discuss the reliability and validity of 
evaluation methods and instruments in terms of the gender/age/culture 
of the target population.
     Describe your plan for tracking the data 
generated by your project over time, and utilizing these data in your 
ongoing project planning and development.
     Describe your approach to ensuring that adequate 
evaluation and data collection capacity at the community level of your 
SPF SIG project will be in place.
     State your commitment to participate in and meet 
the requirements of the SPF SIG Cross-Site Evaluation, which will be 
conducted by CSAP.

    Note: Although the budget for the proposed project is not a 
review criterion, the Review Group will be asked to comment on the 
appropriateness of the budget after the merits of the application 
have been considered.

2. Review and Selection Process

    SAMHSA applications are peer-reviewed according to the review 
criteria listed above. For those programs where the individual award is 
over $100,000, applications must also be reviewed by the appropriate 
National Advisory Council.
    Decisions to fund a grant are based on:
     The strengths and weaknesses of the application 
as identified by peer reviewers and, when appropriate, approved by the 
appropriate National Advisory Council;
     Availability of funds;
     Equitable distribution of awards in terms of 
geography (including urban, rural and remote settings) and balance 
among target populations and program size; and
     After applying the aforementioned criteria, the 
following method for breaking ties: When funds are not available to 
fund all applications with identical scores, SAMHSA will make award 
decisions based on the application(s) that received the greatest number 
of points by peer reviewers on the evaluation criterion in Section V-1 
with the highest number of possible points (Proposed Approach--35 
points). Should a tie still exist, the evaluation criterion with the 
next highest possible point value will be used, continuing sequentially 
to the evaluation criterion with the lowest possible point value, 
should that be necessary to break all ties.

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

2.1 General Requirements
     You must comply with all terms and conditions of 
the grant award. SAMHSA's standard terms and conditions are available 
on the SAMHSA Web site at http://www.samhsa.gov/grants/2004/useful_info.asp.
     Depending on the nature of the specific funding 
opportunity and/or the proposed project as identified during review, 
additional terms and conditions may be identified in the NOFA or 
negotiated with the grantee prior to grant award. These may include, 
for example:

--actions required to be in compliance with human subjects 
requirements;
--requirements relating to additional data collection and reporting;
--requirements relating to participation in a cross-site evaluation; or
--requirements to address problems identified in review of the 
application.

     You will be held accountable for the information 
provided in the application relating to performance targets. SAMHSA 
program officials will consider your progress in meeting goals and 
objectives, as well as your failures and strategies for overcoming 
them, when making an annual recommendation to continue the grant and 
the amount of any continuation award. Failure to meet stated goals and 
objectives may result in suspension or termination of the grant award, 
or in reduction or withholding of continuation awards.
     In an effort to improve access to funding 
opportunities for applicants, SAMHSA is participating in the U.S. 
Department of Health and Human Services ``Survey on Ensuring Equal 
Opportunity for Applicants.'' This survey is included in the 
application kit for SAMHSA grants. Applicants are encouraged to 
complete the survey and return it, using the instructions provided on 
the survey form.

3. Reporting Requirements

3.1 Progress and Financial Reports
     Grantees must provide quarterly and final 
progress reports. The final progress report must summarize information 
from the quarterly reports, describe the accomplishments of the 
project, and describe next steps for implementing plans developed 
during the grant period.
     Grantees must provide quarterly and final 
financial status reports. These reports may be included as separate 
sections of quarterly and final progress reports or can be separate 
documents. Because SAMHSA is extremely interested in ensuring that 
infrastructure development and enhancement efforts can be sustained, 
your financial reports must explain plans to ensure the sustainability 
(see Glossary--Appendix B) of efforts initiated under this grant. 
Initial plans for sustainability should be described in year 1 of the 
grant. In each subsequent year, you should describe the status of the 
project, successes achieved and obstacles encountered in that year.
     SAMHSA will provide guidelines and requirements 
for these reports to grantees at the time of award and at the initial 
grantee orientation meeting after award. SAMHSA staff will use the 
information contained in the reports to determine the grantee's 
progress toward meeting its goals.

[[Page 23529]]

3.2 Government Performance and Results Act
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. To 
meet the GPRA requirements, SAMHSA must collect performance data (i.e., 
``GPRA data'') from grantees. The performance requirements for SAMHSA's 
SPF SIGs are described in Section I-2.5 under ``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 project that are accepted for publication.
    In addition, SAMHSA requests that grantees:

     Provide the GPO and SAMHSA Publications 
Clearance Officer with advance copies of publications.
     Include acknowledgment of the SAMHSA grant 
program as the source of funding for the project.
     Include a disclaimer stating that the views and 
opinions contained in the publication do not necessarily reflect those 
of SAMHSA or the U.S. Department of Health and Human Services, and 
should not be construed as such.
    SAMHSA reserves the right to issue a press release about any 
publication deemed by SAMHSA to contain information of program or 
policy significance to the substance abuse treatment/substance abuse 
prevention/mental health services community.

VII. Agency Contacts

    For questions on program issues, contact: Mr. Mike Lowther, 
Director, Division of State and Community Systems Development, Center 
for Substance Abuse Prevention, 5600 Fishers Lane, Rockwall II, Suite 
930, Rockville, MD 20857, 301-443-0369, [email protected]; or
    Mr. Dave Robbins, Deputy Director, Division of State and Community 
Systems Development, Center for Substance Abuse Prevention, Rockwall 
II, Suite 930, Rockville, MD 20857, 301-443-0369, [email protected].
    For questions on grants management issues, contact:
    Ms. 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.
     Use the PHS 5161-1 application.
     Applications must be received by the 
application deadline. Applications received after this date must 
have a proof of mailing date from the carrier dated at least 1 week 
prior to the due date. Private metered postmarks are not acceptable 
as proof of timely mailing. Applications not received by the 
application deadline or not postmarked at least 1 week prior to the 
application deadline will not be reviewed.
     Information provided must be sufficient for 
review.
     Text must be legible.

--Type size in the Project Narrative cannot exceed an average of 15 
characters per inch, as measured on the physical page. (Type size in 
charts, tables, graphs, and footnotes will not be considered in 
determining compliance.)
--Text in the Project Narrative cannot exceed 6 lines per vertical 
inch.
     Paper must be white paper and 8.5 inches by 
11.0 inches in size.
     To ensure equity among applications, the 
amount of space allowed for the Project Narrative cannot be 
exceeded.

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

     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, following these guidelines 
will help ensure your application is complete, and will help 
reviewers to consider your application.
     The 10 application components required for 
SAMHSA applications should be included. These are:

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

 Applications should comply with the following 
requirements:

--Provisions relating to confidentiality, participant protection and 
the protection of human subjects specified in Section IV-2.4 of the 
specific funding announcement.
--Budgetary limitations as specified in Sections I, II, and IV-5 of 
the specific funding announcement.
--Documentation of nonprofit status as required in the PHS 5161-1.
     Pages should be typed single-spaced with one 
column per page.
     Pages should not have printing on both sides.
     Please use black ink, and number pages 
consecutively from beginning to end so that information can be 
located easily during review of the application. The cover page 
should be page 1, the abstract page should be page 2, and the table 
of contents page should be page 3. Appendices should be labeled and 
separated from the Project Narrative and budget section, and the 
pages should be numbered to continue the sequence.
     Send the original application and two copies 
to the mailing address in the funding announcement. Please do not 
use staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be 
copied or sent to reviewers. Do not include videotapes, audiotapes, 
or CD-ROMs.

Appendix B--Glossary

    Best Practice: Best practices are practices that incorporate the 
best objective information currently available from recognized 
experts 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.

[[Page 23530]]

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

Appendix C--National Registry of Effective Programs

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

Appendix D--Performance Measures for the SPF SIG

    This section further specifies the data to be collected and 
reported as described in Section I-2.5, Data and Performance 
Measurement.

National Outcomes and National Outcome Measures

    This list represents the specific questions to be used to 
determine progress toward the National Outcome Measures listed in 
Section I-2.5. Grantees and subgrantees may be required to supply 
additional data to comply with any evaluations of the SPF SIG 
program and/or as required by SAMHSA. For the past 10 years, SAMHSA 
and the States have endeavored to bring accountability for 
performance to SAMHSA's Block Grants. SAMHSA and the States have 
identified seven key domains of resilience and recovery, including: 
abstinence from alcohol abuse or drug use, or decreased mental 
illness symptomatology; increased or retained employment and school 
enrollment; decreased involvement with the criminal justice system; 
increased stability in family and living conditions; increased 
access to services; increased retention in services (substance 
abuse) or decreased utilization of psychiatric inpatient beds 
(mental health); and increased social supports/social connectedness. 
These seven domains, as well as three outcomes identified by the OMB 
Program Assessment Rating Tool (PART) process--client perception of 
care, cost effectiveness, and use of evidence-based practices--
constitute the ten National Outcomes.
    Specifically, with regard to substance abuse prevention, 
SAMHSA's Center for Substance Abuse Prevention (CSAP) and a group of 
State prevention officials have met regularly to identify and define 
the performance measures now being tested by the States as part of 
CSAP's original State Incentive Grant program, many of which are 
taken from existing data sources, such as CSAP's Minimum Data Set or 
its Core Measures Initiative. The measures listed in Section I-2.5 
and the data elements for each

[[Page 23531]]

measure provided below are the National Outcome Measures for 
substance abuse prevention.

Developmental Measures

    As indicated, some of the specific National Outcome Measures for 
substance abuse prevention are ``developmental,'' requiring further 
work by SAMHSA and the States to delineate the best measures to 
assess progress toward reporting National Outcomes. Specifically, 
these developmental measures include measures for the National 
Outcomes of returning to/staying in school (school attendance, ATOD-
related suspensions/expulsions, drug-related workplace injuries), 
decreased criminal justice involvement (drug-related crime), 
increased stability in family and living conditions (parent 
participation in prevention activities), and cost effectiveness 
(increase services provided within cost bands).
    For these developmental measures, SAMHSA is asking grantees to 
develop their own data sources and data elements and be prepared to 
discuss their initial experience with the sources and elements at a 
grantee meeting three months after the grant period begins. Given 
that it is SAMHSA's intent to have the same National Outcome 
measures for both this program and the substance abuse prevention 
activities funded by the SAPT Block Grant, SAMHSA will also ask 
State officials working on the prevention portion of the SAPT Block 
Grant to participate in that meeting. At the meeting, participants 
will identify and agree to data elements and data collection 
approaches for the developmental measures. By having the same 
National Outcome Measures, data sources, and data elements for both 
the SPF SIG and the prevention portion of the SAPT Block Grant, 
SAMHSA hopes to minimize the reporting burden on the States and 
enable SAMHSA and the States to effectively monitor participant and 
program outcomes and help direct systems improvements.
    Grantees and State Block Grant officials will also work with 
SAMHSA to identify a measure, data source and data elements for the 
National Outcome of Increased Social Supports/Social Connectedness.
    SAMHSA anticipates that its work with State officials to 
finalize these developmental measures will be part of its 
collaboration with the States to continually assess and improve the 
National Outcome Measures.
    In its application, the State should demonstrate how it intends 
to ensure that outcome and financial data is reported in a timely 
manner. States should describe how they intend to ensure that 
outcome data are reported on the following National Outcomes:

1. Abstinence From Drug Use/Alcohol Abuse

1.1 30-Day Substance Use (Non-use/reduction in use)

    (Data Source: CSAP Core Measures*)

Data Elements

Tobacco

    (1) How frequently have you smoked cigarettes during the past 30 
days?

1. Not at all
2. Less than one cigarette per day
3. One to five cigarettes per day
4. About one-half pack per day
5. About one pack per day
6. About one and one-half packs per day
7. Two packs or more per day

    (2) How often have you taken smokeless tobacco during the past 
30 days?

1. Not at all
2. Once or twice
3. Once or twice per week
4. Three to five times per week
5. About once a day
6. More than once a day
    (3) To be more precise, during the past 30 days about how many 
cigarettes have you smoked per day?

1. None
2. Less than 1 per day
3. 1 to 2
4. 3 to 7
5. 8 to 12
6. 13 to 17
7. 18 to 22
8. 23 to 27
    Alcoholic beverages include beer, wine, wine coolers, and 
liquor.
    (4) On how many occasions during the last 30 days have you had 
alcoholic beverages to drink (more than just a few sips)?

1. 0 occasions
2. 1-2 occasions
3. 3-5 occasions
4. 6-9 occasions
5. 10-19 occasions
6. 20-39 occasions
7. 40 or more occasions
    (5) On how many occasions during the past 30 days (if any) have 
you been drunk or very high from drinking alcoholic beverages?

1. 0 occasions
2. 1-2 occasions
3. 3-5 occasions
4. 6-9 occasions
5. 10-19 occasions
6. 20-39 occasions
7. 40 or more occasions
    Marijuana, hashish, inhalants, LSD
    (6) On how many occasions during the past 30 days (if any) have 
you used marijuana (grass, pot) or hashish (hash, hash oil)?

1. 0 occasions
2. 1-2 occasions
3. 3-5 occasions
4. 6-9 occasions
5. 10-19 occasions
6. 20-39 occasions
7. 40 or more occasions
    (7) During the LAST MONTH, about how many marijuana cigarettes 
(joints, reefers), or the equivalent, did you smoke a day, on the 
average? (If you shared them with other people, count only the 
amount YOU smoked).

1. None
2. Less than 1 a day
3. 1 a day
4. 2-3 a day
5. 4-6 a day
6. 7-10 a day
7. 11 or more a day
    (8) On how many occasions during the last 30 days (if any) have 
you sniffed glue, or breathed the contents of aerosol spray cans, or 
inhaled any other gases or sprays in order to get high?

1. 0
2. 1-2 occasions
3. 3-5 occasions
4. 6-9 occasions
5. 10-19 occasions
6. 20-39 occasions
7. 40 or more occasions
    (9) On how many occasions (if any) in the last 30 days have you 
taken LSD (``acid'')?

1. 0
2. 1-2 occasions
3. 3-5 occasions
4. 6-9 occasions
5. 10-19 occasions
6. 20-39 occasions
7. 40 or more occasions
    Amphetamines are sometimes called: uppers, ups, speed, bennies, 
dexies, pep pills, diet pills, meth or crystal meth. They include 
the following drugs: Benzedrine, Dexedrine, Methedrine, Ritalin, 
Preludin, Dexamyl, and Methamphetamine.
    (10) On how many occasions (if any) during the last 30 days have 
you taken amphetamines on your own--that is, without a doctor 
telling you to take them?

1. 0
2. 1-2 occasions
3. 3-5 occasions
4. 6-9 occasions
5. 10-19 occasions
6. 20-39 occasions
7. 40 or more occasions
    Cocaine, Crack Cocaine
    (11) On how many occasions (if any) during the last 30 days have 
you taken ``crack'' (cocaine in chunk or rock form)?

1. 0
2. 1-2 occasions
3. 3-5 occasions
4. 6-9 occasions
5. 10-19 occasions
6. 20-39 occasions
7. 40 or more occasions
    (12) On how many occasions (if any) during the last 30 days have 
you taken cocaine in any other form (like cocaine powder)?

1. 0
2. 1-2 occasions
3. 3-5 occasions
4. 6-9 occasions
5. 10-19 occasions
6. 20-39 occasions
7. 40 or more occasions

1.2 Availability of alcohol, tobacco and other drugs

    Data Source: CSAP Core Measures* p. 206 (subset of full scale)

Data Elements

    (1) If you wanted to get some beer, wine, or hard liquor (for 
example, vodka, whiskey or gin), how easy would it be for you to get 
some?

Very hard
Sort of hard
Sort of easy
Very easy
    (2) If you wanted to get some cigarettes, how easy would it be 
for you to get some?

Very hard

[[Page 23532]]

Sort of hard
Sort of easy
Very easy
    (3) If you wanted to get some marijuana, how easy would it be 
for you to get some?

Very hard
Sort of hard
Sort of easy
Very easy
    (4) If you wanted to get a drug like cocaine, LSD, or 
amphetamines, how easy would it be for you to get some?

Very hard
Sort of hard
Sort of easy
Very easy

1.3 Perception of Drug Use as Harmful

    Data Source: CSAP Core Measures* p. 76 (subset of full scale)

Data Elements

    (1) How much do you think people risk harming themselves 
(physically or in other ways) if they smoke one or more packs of 
cigarettes per day?

No risk
Slight risk
Moderate risk
Great risk
Can't say/Drug unfamiliar
    (2) How much do you think people risk harming themselves 
(physically or in other ways) if they try marijuana once or twice?

No risk
Slight risk
Moderate risk
Great risk
Can't say/Drug unfamiliar
    (3) How much do you think people risk harming themselves 
(physically or in other ways) if they smoke marijuana regularly?

No risk
Slight risk
Moderate risk
Great risk
Can't say/Drug unfamiliar
    (4) How much do you think people risk harming themselves 
(physically or in other ways) if they take one or two drinks nearly 
every day?

No risk
Slight risk
Moderate risk
Great risk
Can't say/Drug unfamiliar
    (5) How much do you think people risk harming themselves 
(physically or in other ways) if they have five or more drinks once 
or twice each weekend?

No risk
Slight risk
Moderate risk
Great risk
Can't say/Drug unfamiliar

1.4 Attitude Toward Use (Perception of Drug Use as Wrong)

    Data Source: CSAP Core Measures* p. 71

Data Elements

    (1) How wrong do you think it is for someone your age to drink 
beer, wine or hard liquor (for example, vodka, whiskey or gin) 
regularly?

Very wrong
Wrong
A little bit wrong
Not at all wrong
    (2) How wrong do you think it is for someone your age to smoke 
cigarettes?

Very wrong
Wrong
A little bit wrong
Not at all wrong
    (3) How wrong do you think it is for someone your age to smoke 
marijuana?

Very wrong
Wrong
A little bit wrong
Not at all wrong
    (4) How wrong do you think it is for someone your age to use 
LSD, cocaine, amphetamines or another illegal drug?

Very wrong
Wrong
A little bit wrong
Not at all wrong

2. Increased/Retained Employment or Return to/Stay In School

2.1 School Attendance--DEVELOPMENTAL

    Data Source: Social indicator data.

2.2 ATOD-Related Suspensions/Expulsions--DEVELOPMENTAL

    Data Source: Social indicator data.

2.3 Drug-Related Workplace Injuries--DEVELOPMENTAL

    Data Source: Social indicator and/or workplace-specific data.

3. Decreased Criminal Justice Involvement

3.1 Drug-Related Crime--DEVELOPMENTAL

    Data Source: Social indicator data.

4. Increased Stability in Family and Living Conditions

4.1 Parent Participation in Prevention Activities--DEVELOPMENTAL

    Data Source: Program-specific data.

5. Increased Access to Services (Service Capacity)

5.1 Number of Persons Served by Age, Gender, Race and Ethnicity

    Data Source: CSAP Minimum Data Set, http://prevtech.samhsa.gov 
or compatible management information system)

Data Elements

    (1) Attendees/Participants by Age

Age 0-4
Age 5-11
Age 12-14
Age 15-17
Age 18-20
Age 21-24
Age 25-44
Age 45-64
Age 65+
    (2) Attendees/Participants by Gender

New Participants, Male
New Participants, Female
    (3) Attendees/Participants by Racial/Ethnic Category

     Are you Hispanic or Latino?
    Yes
    No
     What is your race? (Select one or more)
    Black or African American
    Asian
    American Indian
    Alaska Native
    White
    Native Hawaiian or Other Pacific Islander

6. Increased Social Supports/Social Connectedness--Measure To Be 
Identified

7. Cost Effectiveness

7.1 Increase Services Provided Within Cost Bands--DEVELOPMENTAL

    Data Source: To be determined

8. Use of Evidence-Based Practices

8.1 Total Number of Evidence-based Programs and Strategies Funded 
by SPF SIG

    Data Source: SIG Subrecipient Checklist

Data Elements:

8.1.1 Is this intervention science-based? (Check yes or no.)

    1. Yes.
    2. No.
    Science-Based Interventions (Part II, Questions 10-13) have been 
reviewed by experts in the field according to predetermined 
standards of empirical research. Science-based programs are theory 
based, have sound research methodology, and can support that effects 
are clearly linked to the program itself and not to extraneous 
events. Results from science-based programs may be positive, 
neutral, or negative.
    * The CSAP Core Measures Notebook is available at http://www.samhsa.gov/grants/2004/downloads/CSAP_Core_Measures.doc (Word 
version) or http://www.samhsa.gov/grants/2004/downloads/CSAP_Core_Measures.pdf (PDF version).
    OMB clearance is required for all data collection activities. 
All data is to be shared with SAMHSA/CSAP per the Terms and 
Conditions of the award.

    Dated: April 23, 2004.
Daryl Kade,
Director, Office of Policy, Planning and Budget, Substance Abuse and 
Mental Health Services Administration.

[FR Doc. 04-9656 Filed 4-28-04; 8:45 am]
BILLING CODE 4162-20-P