[Federal Register Volume 69, Number 205 (Monday, October 25, 2004)]
[Notices]
[Pages 62324-62384]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-23297]



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Part II





Department of Health and Human Services





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Substance Abuse and Mental Health Services Administration



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Notice of Publication of SAMHSA's Revised Standard Grant Announcements; 
Notice

  Federal Register / Vol. 69, No. 205 / Monday, October 25, 2004 / 
Notices  

[[Page 62324]]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Publication of SAMHSA's Revised Standard Grant 
Announcements

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

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

ACTION: Notice of publication of samhsa's revised standard grant 
announcements.

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SUMMARY: This is a publication of the Substance Abuse and Mental Health 
Services Administration's revised standard grant announcements for 
Services Grants, Infrastructure Grants, Best Practices Planning and 
Implementation Grants, and Service to Science Grants. These 
announcements were previously published on March 8, 2004. The purpose 
of these revisions is to make minor technical changes to enhance the 
readability and use of the standard grant announcements, and to make 
the following more significant changes: (1) The address and telephone 
numbers of SAMHSA's offices have changed, since the agency recently 
moved into a new building in Rockville, Maryland. Grant applications 
and correspondence from the State Single Points of Contact (SPOCs) and 
Single State Agencies (SSAs) should be sent to this new address, which 
can be found in Section IV, Intergovernmental Review (E.O. 12372) 
Requirements, and Other Submission Requirements. Updated agency contact 
information for grants management issues can be found in Section VII; 
(2) Section IV, Submission Dates and Times, has been revised to 
identify specific carriers for shipment of applications and to change 
the requirements for proof of timely submission of applications; (3) in 
the Services Grants Announcement, Appendix 1 is required, indicating 
that applicants must meet certain experience, licensing, accreditation, 
and certification requirements, but applications that fail to provide 
this information will no longer be screened out. This change can be 
found in Section III, Evidence of Experience and Credentials; (4) a 
change in Section IV, Content and Form of Application Submission, 
indicates that applications will not be screened out if Appendices 
exceed the page limitation, and that reviewers will not consider 
Appendices that are not required; (5) an additional requirement can be 
found in Section IV, Funding Limitations/Restrictions, indicating that 
SAMHSA will not accept a ``research'' indirect cost rate and that 
grantees must use the ``other sponsored program rate'' or the lowest 
rate available.

DATES: Use of these revised standard grant announcements will be 
effective October 25, 2004. The standard grant announcements must be 
used in conjunction with separate Notices of Funding Availability 
(NOFAs) that will provide application due dates and other key dates for 
specific SAMHSA grant funding opportunities.

ADDRESSES: Questions about SAMHSA's standard grant announcements may be 
directed to Cathy Friedman, M.A., SAMHSA, Office of Policy, Planning 
and Budget, 1 Choke Cherry Road, Room 8-1097, Rockville, Maryland, 
20857. Fax: (240-276-2220). E-mail: [email protected].

FOR FURTHER INFORMATION CONTACT: Cathy Friedman, M.A., SAMHSA, Office 
of Policy, Planning and Budget, 1 Choke Cherry Road, Room 8-1097, 
Rockville, Maryland, 20857. Fax: (240-276-2220). E-mail: 
[email protected]. Phone: (240) 276-2316.

SUPPLEMENTARY INFORMATION: Starting in FY 2004, SAMHSA changed its 
approach to announcing and soliciting applications for its 
discretionary grants. SAMHSA publishes four standard grant 
announcements that describe the general program design and provide 
application instructions for four types of grants--Services Grants, 
Infrastructure Grants, Best Practices Planning and Implementation 
Grants, and Service-to-Science Grants. These standard grant 
announcements are posted on SAMHSA's web page and are available from 
SAMHSA's clearinghouses on an ongoing basis. The standard announcements 
are used in conjunction with brief Notices of Funding Availability 
(NOFAs) that announce the availability of funds for specific grant 
funding opportunities within each of the standard grant programs (e.g., 
Homeless Treatment grants, Targeted Capacity Expansion grants, Youth 
Violence Prevention grants, etc.).
    The Notices of Funding Availability (NOFAs) announcing the 
availability of funds for specific grant funding opportunities are 
published separately in the Federal Register, and are posted on the 
Federal grants Web site (http://www.grants.gov) and on the SAMHSA Web 
site (http://www.samhsa.gov). The NOFAs:
     Identify any specific target population or issue for the 
specific grant funding opportunity,
     Identify which of the four standard announcements 
applicants must use to prepare their applications,
     Specify total funding available for the first year of the 
grants and the expected size and number of awards,
     Specify the application deadline,
     Note any specific program requirements for each funding 
opportunity, and
     Include any limitations or exceptions to the general 
provisions in the standard announcement.
    Applicants need to have both the NOFA and the appropriate standard 
announcement to prepare their applications. Both documents will be 
provided, along with application materials, in the application kits 
available from SAMHSA's clearinghouses as well as on SAMHSA's web site. 
SAMHSA's clearinghouse for the Center for Mental Health Services (CMHS) 
is the National Mental Health Information Center, which can be reached 
at 1-800-789-2647. The clearinghouse for the Center for Substance Abuse 
Treatment (CSAT) and Center for Substance Abuse Prevention (CSAP) is 
the National Clearinghouse for Alcohol and Drug Information (NCADI), 
which can be reached at 1-800-729-6686.
    The four standard grant announcements are used for many of SAMHSA's 
grant funding opportunities. However, there are some funding 
opportunities that do not fit the standard announcements. In those 
instances, separate stand-alone grant announcements will be published 
and provided to applicants in the Federal Register, on the SAMHSA Web 
site, on the Federal grants Web site, and through SAMHSA's 
clearinghouses.

Services Grants--SVC 05 PA (Initial Announcement)

    Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243 (unless 
otherwise specified in a NOFA in the Federal Register and on http://www.grants.gov)

[[Page 62325]]



                                Key Dates
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Application Deadline.........  This Program Announcement provides
                                general instructions and guidelines for
                                multiple funding opportunities.
                                Application deadlines for specific
                                funding opportunities will be published
                                in Notices of Funding Availability
                                (NOFAs) in the Federal Register and on
                                http://www.grants.gov.
Intergovernmental Review       Letters from State Single Point of
 (E.O. 12372).                  Contact (SPOC) are due no later than 60
                                days after application deadline.
Public Health System Impact    Applicants must send the PHSIS to
 Statement (PHSIS)/Single       appropriate State and local health
 State Agency Coordination.     agencies by application deadline.
                                Comments from Single State Agency are
                                due no later than 60 days after
                                application deadline.
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Table of Contents

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

I. Funding Opportunity Description

1. Introduction

    The Substance Abuse and Mental Health Services Administration 
(SAMHSA) announces its intent to solicit applications for Services 
Grants. This program announcement must be considered in conjunction 
with a full Notice of Funding Availability (NOFA), which specifies the 
grant program's purpose, target population, and other requirements of 
the program. These grants will expand and strengthen effective, 
culturally appropriate substance abuse and mental health services at 
the State and local levels. The services implemented through SAMHSA's 
Services Grants must incorporate the best objective information 
available regarding effectiveness and acceptability. In general, the 
services implemented through SAMHSA's Services Grants will have strong 
evidence of effectiveness. However, because the evidence base is 
limited in some areas, SAMHSA may fund some services for which the 
evidence base, while limited, is sound. SAMHSA expects that the 
services funded through these grants will be sustained by the grantee 
beyond the term of the grant.
    SAMHSA also funds grants under three other standard grant 
announcements:
    [dec222] Infrastructure Grants support identification and 
implementation of systems changes but are not designed to fund 
services.
    [dec222] Best Practices Planning and Implementation Grants help 
communities and providers identify practices to effectively meet local 
needs, develop strategic plans for implementing/adapting those 
practices and pilot-test practices prior to full-scale implementation.
    [dec222] Service to Science Grants document and evaluate innovative 
practices that address critical substance abuse and mental health 
service gaps but that have not yet been formally evaluated.
    This announcement describes the general program design and provides 
application instructions for all SAMHSA Services Grants. The 
availability of funds for specific Services Grants will be announced in 
supplementary Notices of Funding Availability (NOFAs) in the Federal 
Register and at http://www.grants.gov--the Federal grant announcement 
web page.
    SAMHSA's Services Grants are authorized under Section 509, 516 and/
or 520A of the Public Health Service Act, unless otherwise specified in 
a NOFA in the Federal Register and on http://www.grants.gov.
    Typically, funding for Services Grants will be targeted to specific 
populations and/or issue areas, which will be specified in the NOFAs. 
The NOFAs will also:
    [dec222] Specify total funding available for the first year of the 
grants and the expected size and number of awards;
    [dec222] Provide the application deadline;
    [dec222] Note any specific program requirements for each funding 
opportunity; and
    [dec222] Include any limitations or exceptions to the general 
provisions in this announcement (e.g., eligibility, allowable 
activities).
    It is, therefore, critical that you consult the NOFA as well as 
this announcement in developing your grant application.

2. Expectations

    The Services Grant program is designed to address gaps in substance 
abuse and mental health services and/or to increase the ability of 
States, units of local government, Indian tribes, tribal organizations 
and governments, and community- and faith-based organizations to help 
specific populations or geographic areas with serious, emerging mental 
health and substance abuse problems. SAMHSA intends that its Services 
Grants result in the delivery of services as soon as possible and no 
later than 4 months after award. SAMHSA's Services Grants may include 
substance abuse prevention, substance abuse treatment and/or mental 
health services. Throughout this announcement, SAMHSA will use the term 
``services'' to refer to all three types of services. The NOFA will 
provide guidance on the particular type of service to be provided 
through each funding opportunity. Applicants must refer to the NOFA for 
required activities and exceptions to allowable activities.
2.1 Documenting the Evidence-Base for Services to be Implemented
    The services implemented through SAMHSA's Services Grants must 
incorporate the best objective information available regarding the 
effectiveness and acceptability of the services to be implemented. In 
general, the services implemented through

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SAMHSA's Services Grants will have strong evidence of effectiveness. 
However, because the evidence base is limited in some areas, SAMHSA may 
fund some services for which the evidence of effectiveness is based on 
formal consensus among recognized experts in the field and/or 
evaluation studies that have not been published in the peer reviewed 
literature.
    Applicants must document in their applications that the services/
practices they propose to implement are evidence-based services/
practices. In addition, applicants must justify use of the proposed 
services/practices for the target population along with any adaptations 
or modifications necessary to meet the unique needs of the target 
population or otherwise increase the likelihood of achieving positive 
outcomes. Further guidance on each of these requirements is provided 
below.
Documenting the Evidence-Based Practice/Service
    SAMHSA has already determined that certain services/practices are 
solidly evidence-based services/practices and encourages applicants to 
select services/practices from the following sources (though this is 
not required):
    [dec222] SAMHSA's National Registry of Effective Programs and 
Practices (NREPP) (see Appendix C).
    [dec222] Center for Mental Health Services (CMHS) Evidence Based 
Practice Tool Kits (see Appendix D).
    [dec222] List of Effective Substance Abuse Treatment Practices (see 
Appendix E).
    [dec222] Additional practices identified in the NOFA for a specific 
funding opportunity, if applicable.
    Applicants proposing services/practices that are not included in 
the above-referenced sources must provide a narrative justification 
that summarizes the evidence for effectiveness and acceptability of the 
proposed service/practice. The preferred evidence of effectiveness and 
acceptability will include the findings from clinical trials, efficacy 
and/or effectiveness studies published in the peer-reviewed literature.
    In areas where little or no research has been published in the 
peer-reviewed scientific literature, the applicant may present evidence 
involving studies that have not been published in the peer-reviewed 
research literature and/or documents describing formal consensus among 
recognized experts. If consensus documents are presented, they must 
describe consensus among multiple experts whose work is recognized and 
respected by others in the field. Local recognition of an individual as 
a respected or influential person at the community level is not 
considered a ``recognized expert'' for this purpose.
    In presenting evidence in support of the proposed service/practice, 
applicants must show that the evidence presented is the best objective 
information available.
Justifying Selection of the Service/Practice for the Target Population
    Regardless of the strength of the evidence-base for the service/
practice, all applicants must show that the proposed service/practice 
is appropriate for the proposed target population. Ideally, this 
evidence will include research findings on effectiveness and 
acceptability specific to the proposed target population. However, if 
such evidence is not available, the applicant should provide a 
justification for using the proposed service/practice with the target 
population. This justification might involve, for example, a 
description of adaptations to the proposed service/practice based on 
other research involving the target population.
Justifying Adaptations/Modifications of the Proposed Service/Practice
    SAMHSA has found that a high degree of faithfulness or ``fidelity'' 
(see Glossary) to the original model for an evidence-based service/
practice increases the likelihood that positive outcomes will be 
achieved when the model is used by others. Therefore, SAMHSA encourages 
fidelity to the original evidence-based service/practice to be 
implemented. However, SAMHSA recognizes that adaptations or 
modifications to the original model may be necessary for a variety of 
reasons:
     To allow implementers to use resources efficiently,
     To adjust for specific needs of the client population,
     To address unique characteristics of the local community 
where the service/practice will be implemented.
    All applicants must describe and justify any adaptations or 
modifications to the proposed service/practice that will be made.
2.2 Services Delivery
    SAMHSA's Services Grant funds must be used primarily to support 
direct services, including the following types of activities:
    [dec222] Conducting outreach and pre-service strategies to expand 
access to treatment or prevention services to underserved populations. 
If you propose to provide only outreach and pre-service strategies, you 
must show that your organization is an effective and integral part of a 
network of service providers.
    [dec222] Purchasing or providing direct treatment (including 
screening, assessment, and care management) or prevention services for 
populations at risk. Treatment must be provided in outpatient, day 
treatment or intensive outpatient, or residential programs.
    [dec222] Purchasing or providing ``wrap-around'' services (see 
Glossary) (e.g., child care, vocational, educational and transportation 
services) designed to improve access and retention.
    [dec222] Collecting data using specified tools and standards to 
measure and monitor treatment or prevention services and costs. (No 
more than 20% of the total grant award may be used for data collection 
and evaluation.)
2.3 Infrastructure Development (Maximum 15% of Total Grant Award) 
Although SAMHSA expects that its Services Grant funds will be used 
primarily for direct services, SAMHSA recognizes that infrastructure 
changes may be needed to support service delivery expansion in some 
instances. You may use up to 15% of the total Services Grant award for 
the following types of infrastructure development, if necessary to 
support the direct service expansion of the grant project.
    [dec222] Building partnerships to ensure the success of the project 
and entering into service delivery and other agreements.
    [dec222] Developing or changing the infrastructure to expand 
treatment or prevention services.
    [dec222] Training to assist treatment or prevention providers and 
community support systems to identify and address mental health or 
substance abuse issues.
2.4 Data and Performance Measurement
    The Government Performance and Results Act of 1993 (Pub. L.103-62, 
or ``GPRA'') requires all Federal agencies to set program performance 
targets and report annually on the degree to which the previous year's 
targets were met.
    Agencies are expected to evaluate their programs regularly and to 
use results of these evaluations to explain their successes and 
failures and justify requests for funding.
    To meet the GPRA requirements, SAMHSA must collect performance data 
(i.e., ``GPRA data'') from grantees. Grantees are required to report 
these GPRA data to SAMHSA on a timely basis.
    Specifically, grantees will be required to provide data on a set of 
required measures, as specified in the NOFA. The data collection tools 
to be used for reporting the required data will be provided in the 
application kits

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distributed by SAMHSA's clearinghouses and posted on SAMHSA's website 
along with each NOFA. In your application, you must demonstrate your 
ability to collect and report on these measures, and you may be 
required to provide some baseline data.
    The terms and conditions of the grant award also will specify the 
data to be submitted and the schedule for submission. Grantees will be 
required to adhere to these terms and conditions of award.
    Applicants should be aware that SAMHSA is working to develop a set 
of required core performance measures for each of SAMHSA's standard 
grants (i.e., Services Grants, Infrastructure Grants, Best Practices 
Planning and Implementation Grants, and Service-to-Science Grants). As 
this effort proceeds, some of the data collection and reporting 
requirements included in SAMHSA's NOFAs may change. All grantees will 
be expected to comply with any changes in data collection requirements 
that occur during the grantee's project period.
2.5 Grantee Meetings
    You must plan to send a minimum of two people (including the 
Project Director) to at least one joint grantee meeting in each year of 
the grant, and you must include funding for this travel in your budget. 
At these meetings, grantees will present the results of their projects 
and Federal staff will provide technical assistance. Each meeting will 
be 3 days. These meetings will usually be held in the Washington, DC, 
area and attendance is mandatory.
2.6 Evaluation
    Grantees must evaluate their projects, and you are required to 
describe your evaluation plans in your application. The evaluation 
should be designed to provide regular feedback to the project to 
improve services. The evaluation must include both process and outcome 
components. Process and outcome evaluations must measure change 
relating to project goals and objectives over time compared to baseline 
information. Control or comparison groups are not required. You must 
consider your evaluation plan when preparing the project budget.
    Process components should address issues such as:
    [dec222] How closely did implementation match the plan?
    [dec222] What types of deviation from the plan occurred?
    [dec222] What led to the deviations?
    [dec222] What effect did the deviations have on the planned 
intervention and evaluation?
    [dec222] Who provided (program, staff) what services (modality, 
type, intensity, duration), to whom (individual characteristics), in 
what context (system, community), and at what cost (facilities, 
personnel, dollars)?
    Outcome components should address issues such as:
    [dec222] What was the effect of treatment on participants?
    [dec222] What program/contextual factors were associated with 
outcomes?
    [dec222] What individual factors were associated with outcomes?
    [dec222] How durable were the effects?
    No more than 20% of the total grant award may be used for 
evaluation and data collection, including GPRA and incentives for 
completing the evaluation.

II. Award Information

1. Award Amount

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

2. Funding Mechanism

    The NOFA will indicate whether awards for each funding opportunity 
will be made as grants or cooperative agreements (see the Glossary in 
Appendix B for further explanation of these funding mechanisms). For 
cooperative agreements, the NOFA will describe the nature of Federal 
involvement in project performance and specify roles and 
responsibilities of grantees and Federal staff.

III. Eligibility Information

1. Eligible Applicants

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

2. Cost Sharing

    Cost sharing (see Glossary) is not required in this program, and 
applications will not be screened out on the basis of cost sharing. 
However, you may include cash or in-kind contributions (see Glossary) 
in your proposal as evidence of commitment to the proposed project.
3. Other
3.1 Additional Eligibility Requirements
    Applications must comply with the following requirements, or they 
will be screened out and will not be reviewed: use of the PHS 5161-1 
application; application submission requirements in Section IV-3 of 
this document; and formatting requirements provided in Section IV-2.3 
of this document. Applicants should be aware that the NOFA may include 
additional requirements that, if not met, will result in applications 
being screened out and returned without review. These requirements will 
be specified in Section III-3 of the NOFA.
    You also must comply with any additional program requirements 
specified in the NOFA, such as signature of certain officials on the 
face page of the application and/or required memoranda of understanding 
with certain signatories.
3.2 Evidence of Experience and Credentials
    SAMHSA believes that only existing, experienced, and appropriately 
credentialed organizations with demonstrated infrastructure and 
expertise will be able to provide required services quickly and 
effectively. Therefore, in addition to the basic eligibility 
requirements specified in this announcement, applicants must meet three 
additional requirements related to the provision of treatment or 
prevention services.
    The three requirements are:
     A provider organization for direct client services (e.g., 
substance abuse treatment, substance abuse prevention, mental health 
services) appropriate to the grant must be involved in each 
application. The provider may be the applicant or another organization 
committed to the project. More than one provider organization may be 
involved;
     Each direct service provider organization must have at 
least 2 years

[[Page 62328]]

experience providing services in the geographic area(s) covered by the 
application, as of the due date of the application; and
     Each direct service provider organization must comply with 
all applicable local (city, county) and State/tribal licensing, 
accreditation, and certification requirements, as of the due date of 
the application.

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

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

IV. Application and Submission Information

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

1. Address to Request Application Package

    You may request a complete application kit by calling one of 
SAMHSA's national clearinghouses:
    [dec222] For substance abuse prevention or treatment grants, call 
the National Clearinghouse for Alcohol and Drug Information (NCADI) at 
1-800-729-6686.
    [dec222] For mental health grants, call the National Mental Health 
Information Center at 1-800-789-CMHS (2647).
    You also may download the required documents from the SAMHSA Web 
site at http://www.samhsa.gov. Click on ``Grant Opportunities.''
    Additional materials available on this Web site include:
    [dec222] A technical assistance manual for potential applicants;
    [dec222] Standard terms and conditions for SAMHSA grants;
    [dec222] Guidelines and policies that relate to SAMHSA grants 
(e.g., guidelines on cultural competence, consumer and family 
participation, and evaluation); and
    [dec222] Enhanced instructions for completing the PHS 5161-1 
applicatiod.

2. Content and Form of Application Submission

2.1 Application Kit
    SAMHSA application kits include the following documents:
    [dec222] PHS 5161-1 (revised July 2000)--Includes the face page, 
budget forms, assurances, certification, and checklist. Use the PHS 
5161-1, unless otherwise specified in the NOFA. Applications that are 
not submitted on the required application form will be screened out and 
will not be reviewed.
    [dec222] Program Announcement (PA)--Includes instructions for the 
grant application. This document is the PA.
    [dec222] Notice of Funding Availability (NOFA)--Provides specific 
information about availability of funds, as well as any exceptions or 
limitations to provisions in the PA. The NOFAs will be published in the 
Federal Register, as well as on the Federal grants Web site (http://www.grants.gov). It is very important that you read the entire NOFA 
before beginning to write your application.
    You must use all of the above documents in completing your 
application.

2.2 Required Application Components

    To ensure equitable treatment of all applications, applications 
must be complete. In order for your application to be complete, it must 
include the required ten application components (Face Page, Abstract, 
Table of Contents, Budget Form, Project Narrative and Supporting 
Documentation, Appendices, Assurances, Certifications, Disclosure of 
Lobbying Activities, and Checklist).
    [ballot] 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.]
    [ballot] 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.
    [ballot] Table of Contents--Include page numbers for each of the 
major sections of your application and for each appendix.
    [ballot] Budget Form--Use SF 424A, which is part of the PHS 5161-1. 
Fill out Sections B, C, and E of the SF 424A. A sample budget and 
justification is included in Appendix H of this Program Announcement.
    [ballot] Project Narrative and Supporting Documentation--The 
Project Narrative describes your project. It consists of Sections A 
through E. Sections A-E together may not be longer than 30 pages. For 
example, remember that if your Project Narrative starts on page 5 and 
ends on page 35, it is 31 pages long,

[[Page 62329]]

not 30 pages.) More detailed instructions for completing each section 
of the Project Narrative are provided in ``Section V--Application 
Review Information'' of this document.
    The Supporting Documentation provides additional information 
necessary for the review of your application. This supporting 
documentation should be provided immediately following your Project 
Narrative in Sections F through I. There are no page limits for these 
sections, except for Section H, the Biographical Sketches/Job 
Descriptions.
     Section F--Literature Citations. This section must contain 
complete citations, including titles and all authors, for any 
literature you cite in your application.
    [dec222] Section G--Budget Justification, Existing Resources, Other 
Support. You must provide a narrative justification of the items 
included in your proposed budget, as well as a description of existing 
resources and other support you expect to receive for the proposed 
project. Be sure to show that no more than 15% of the total grant award 
will be used for infrastructure development and that no more than 20% 
of the total grant award will be used for data collection and 
evaluation, including GPRA.
    [dec222] Section H--Biographical Sketches and Job Descriptions.
    Include a biographical sketch for the Project Director and other 
key positions. Each sketch should be 2 pages or less. If the person has 
not been hired, include a position description and/or a letter of 
commitment with a current biographical sketch from the individual.
     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.
    [dec222] Section I--Confidentiality and SAMHSA Participant 
Protection/Human Subjects. Section IV-2.4 of this document describes 
requirements for the protection of the confidentiality, rights and 
safety of participants in SAMHSA-funded activities. This section also 
includes guidelines for completing this part of your application.
    [ballot] Appendices 1 through 5--Use only the appendices listed 
below. If your application includes any appendices not required in the 
grant announcement or NOFA, they will be disregarded. Do not use more 
than a total of 30 pages for Appendices 1, 3 and 4 combined. There are 
no page limitations for Appendices 2 and 5. Do not use appendices to 
extend or replace any of the sections of the Project Narrative unless 
specifically required in the NOFA. Reviewers will not consider them if 
you do.
    [dec222] Appendix 1: (1) Identification of at least one 
experienced, licensed service provider organization; (2) a list of all 
direct service provider organizations that have agreed to participate 
in the proposed project, including the applicant agency, if it is a 
treatment or prevention service provider organization; (3) the 
Statement of Assurance (provided in Appendix F of this announcement) 
signed by the authorized representative of the applicant organization 
identified on the face page of the application, that assures SAMHSA 
that all listed providers meet the 2-year experience requirement, are 
appropriately licensed, accredited, and certified, and that if the 
application is within the funding range for an award, the applicant 
will send the GPO the required documentation within the specified time; 
(4) letters of commitment/support.
    [dec222] Appendix 2: Data Collection Instruments/Interview 
Protocols
    [dec222] Appendix 3: Sample Consent Forms
    [dec222] Appendix 4: Letter to the SSA (if applicable; see Section 
IV-4 of this document)
    [dec222] Appendix 5: A copy of the State or County Strategic Plan, 
a State or county needs assessment, or a letter from the State or 
county indicating that the proposed project addresses a State-or 
county-identified priority.
    [squ] Assurances--Non-Construction Programs. Use Standard Form 424B 
found in PHS 5161-1. Some applicants will be required to complete the 
Assurance of Compliance with SAMHSA Charitable Choice Statutes and 
Regulations Form SMA 170. If this assurance applies to a specific 
funding opportunity, it will be posted on SAMHSA's web site with the 
NOFA and provided in the application kits available at SAMHSA's 
clearinghouse (NCADI).
    [squ] Certifications--Use the ``Certifications'' forms found in PHS 
5161-1.
    [squ] Disclosure of Lobbying Activities--Use Standard Form LLL 
found in the PHS 5161-1. Federal law prohibits the use of appropriated 
funds for publicity or propaganda purposes, or for the preparation, 
distribution, or use of the information designed to support or defeat 
legislation pending before the Congress or State legislatures. This 
includes ``grass roots'' lobbying, which consists of appeals to members 
of the public suggesting that they contact their elected 
representatives to indicate their support for or opposition to pending 
legislation or to urge those representatives to vote in a particular 
way.
    [squ] Checklist--Use the Checklist found in PHS 5161-1. The 
Checklist ensures that you have obtained the proper signatures, 
assurances and certifications and is the last page of your application.
2.3 Application Formatting Requirements
    Applicants also must comply with the following basic application 
requirements. Applications that do not comply with these requirements 
will be screened out and will not be reviewed.
    [squ] Information provided must be sufficient for review.
    [squ] Text must be legible.
     Type size in the Project Narrative cannot exceed an 
average of 15 characters per inch, as measured on the physical page. 
(Type size in charts, tables, graphs, and footnotes will not be 
considered in determining compliance.)
     Text in the Project Narrative cannot exceed 6 lines per 
vertical inch.
    [squ] Paper must be white paper and 8.5 inches by 11.0 inches in 
size.
    [squ] To ensure equity among applications, the amount of space 
allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by using all 
margins (left, right, top, bottom) of at least one inch each, and 
adhering to the 30-page limit for the Project Narrative.
     Should an application not conform to these margin or page 
limits, SAMHSA will use the following method to determine compliance: 
The total area of the Project Narrative (excluding margins, but 
including charts, tables, graphs and footnotes) cannot exceed 58.5 
square inches multiplied by 30. This number represents the full page 
less margins, multiplied by the total number of allowed pages.
     Space will be measured on the physical page. Space left 
blank within the Project Narrative (excluding margins) is considered 
part of the Project Narrative, in determining compliance.
    To facilitate review of your application, follow these additional 
guidelines. Failure to adhere to the following guidelines will not, in 
itself, result in your application being screened out and returned 
without review. However, following these guidelines will help reviewers 
to consider your application.
    [squ] Pages should be typed single-spaced in black ink, with one 
column per page. Pages should not have printing on both sides.

[[Page 62330]]

    [squ] Please number pages consecutively from beginning to end so 
that information can be located easily during review of the 
application. The cover page should be page 1, the abstract page should 
be page 2, and the table of contents page should be page 3. Appendices 
should be labeled and separated from the Project Narrative and budget 
section, and the pages should be numbered to continue the sequence.
    [squ] The page limit of a total of 30 pages for Appendices 1, 3 and 
4 combined should not be exceeded.
    [squ] Send the original application and two copies to the mailing 
address in Section IV-6.1 of this document. Please do not use staples, 
paper clips, and fasteners. Nothing should be attached, stapled, 
folded, or pasted. Do not use heavy or lightweight paper or any 
material that cannot be copied using automatic copying machines. Odd-
sized and oversized attachments such as posters will not be copied or 
sent to reviewers. Do not include videotapes, audiotapes, or CD-ROMs.
2.4 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations
    Applicants must describe procedures relating to Confidentiality, 
Participant Protection and the Protection of Human Subjects Regulations 
in Section I of the application, using the guidelines provided below. 
Problems with confidentiality, participant protection, and protection 
of human subjects identified during peer review of the application may 
result in the delay of funding.

Confidentiality and Participant Protection

    All applicants must describe how they will address requirements for 
each of the following elements relating to confidentiality and 
participant protection.
    1. Protect Clients and Staff from Potential Risks:
    [dec222] 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.
    [dec222] Describe the procedures you will follow to minimize or 
protect participants against potential risks, including risks to 
confidentiality.
    [dec222] Identify plans to provide guidance and assistance in the 
event there are adverse effects to participants.
    [dec222] 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:
    [dec222] 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.
    [dec222] 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.
    [dec222] Explain the reasons for including or excluding 
participants.
    [dec222] Explain how you will recruit and select participants. 
Identify who will select participants.
    3. Absence of Coercion:
    [dec222] 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.
    [dec222] If you plan to compensate participants, state how 
participants will be awarded incentives (e.g., money, gifts, etc.).
    [dec222] 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:
    [dec222] 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.
    [dec222] 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.
    [dec222] 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:
    [dec222] Explain how you will ensure privacy and confidentiality. 
Include who will collect data and how it will be collected.
    [dec222] Describe:
    [cir] How you will use data collection instruments.
    [cir] Where data will be stored.
    [cir] Who will or will not have access to information.
    [cir] How the identity of participants will be kept private, for 
example, through the use of a coding system on data records, limiting 
access to records, or storing identifiers separately from data.

    Note: If applicable, grantees must agree to maintain the 
confidentiality of alcohol and drug abuse client records according 
to the provisions of Title 42 of the Code of Federal Regulations, 
Part 2.

    6. Adequate Consent Procedures:
    [dec222] 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.
    [dec222] State:
    [cir] Whether or not their participation is voluntary.
    [cir] Their right to leave the project at any time without 
problems.
    [cir] Possible risks from participation in the project.
    [cir] Plans to protect clients from these risks.
    [dec222] 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.

    [dec222] 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?
    [dec222] 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

[[Page 62331]]

releases your project or its agents from liability for negligence.

    [dec222] 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?
    [dec222] 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

    SAMHSA expects that most grantees funded under Services Grant 
programs will not be required to comply with the Protection of Human 
Subjects Regulations (45 CFR part 46). However, in some instances, 
special evaluation and data collection requirements for a particular 
funding opportunity may necessitate that all grantees comply with these 
regulations. In such instances, the NOFA will explicitly state that 
grantees must comply with the regulations.
    If the NOFA does not explicitly state that grantees must comply 
with the Protection of Human Subjects Regulations (45 CFR 46), grantees 
will be required to comply with the regulations only if the project-
specific evaluation design proposed by the grantee requires compliance 
with the regulations.
    Applicants whose projects must comply with the Protection of Human 
Subjects Regulations must describe the process for obtaining 
Institutional Review Board (IRB) approval fully in their applications. 
While IRB approval is not required at the time of grant award, these 
applicants will be required, as a condition of award, to provide the 
documentation that an Assurance of Compliance is on file with the 
Office for Human Research Protections (OHRP) and the IRB approval has 
been received prior to enrolling any clients in the proposed project.
    General information about Protection of Human Subjects Regulations 
can be obtained on the web at http://www.hhs.gov/ohrp. You may also 
contact OHRP by e-mail ([email protected]) or by phone (301/496-
7005). SAMHSA-specific questions related to Protection of Human 
Subjects Regulations should be directed to the program contact listed 
in Section VII of the NOFA.

3. Submission Dates and Times

    Deadlines for submission of applications for specific funding 
opportunities will be published in the NOFAs in the Federal Register 
and posted on the Federal grants Web site (http://www.grants.gov).
    Hand carried applications will not be accepted. Applications may be 
shipped using only DHL, Falcon Carrier, Federal Express (FedEx), United 
Parcel Service (UPS), or the United States Postal Service (USPS).
    Your application must be received by the application deadline, or 
you must have proof of its timely submission as specified below.
     For packages submitted via DHL, Falcon Carrier, Federal 
Express (FedEx), or United Parcel Service (UPS), timely submission 
shall be evidenced by a delivery service receipt indicating the 
application was delivered to a carrier service at least 24 hours prior 
to the application deadline.
     For packages submitted via the United States Postal 
Service (USPS), proof of timely submission shall be a postmark not 
later than 1 week prior to the application deadline, and the following 
upon request by SAMHSA:
    [cir] proof of mailing using USPS Form 3817 (Certificate of 
Mailing), or
    [cir] a receipt from the Post Office containing the post office 
name, location, and date and time of mailing.
    You will be notified by postal mail that your application has been 
received.
    Applications not meeting the timely submission requirements above 
will not be considered for review. Please remember that mail sent to 
Federal facilities undergoes a security screening prior to delivery. 
Allow sufficient time for your package to be delivered.
    If an application is mailed to a location or office (including room 
number) that is not designated for receipt of the application, and that 
results in the designated office not receiving your application in 
accordance with the requirements for timely submission, it will cause 
the application to be considered late and ineligible for review.
    SAMHSA will not accept or consider any applications sent by 
facsimile.
    SAMHSA is collaborating with http://www.grants.gov to accept 
electronic submission of applications only for select funding 
opportunities. Unless specifically indicated in the NOFA, electronic 
submission of applications will not be accepted.

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.
    [dec222] Check the list to determine whether your State 
participates in this program. You do not need to do this if you are a 
federally recognized Indian tribal government.
    [dec222] 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.
    [dec222] For proposed projects serving more than one State, you are 
advised to contact the SPOC of each affiliated State.
    [dec222] The SPOC should send any State review process 
recommendations to the following address within 60 days of the 
application deadline:
    For United States Postal Service: Crystal Saunders, Director of 
Grant Review, Office of Program Services, Substance Abuse and Mental 
Health Services Administration, Room 3-1044, 1 Choke Cherry Road, 
Rockville, MD 20857, ATTN: SPOC--Funding Announcement No. [fill in 
pertinent funding opportunity number from NOFA].
    For other delivery service: Crystal Saunders, Director of Grant 
Review, Office of Program Services, Substance Abuse and Mental Health 
Services Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, 
MD 20850, ATTN: SPOC--Funding Announcement No. [fill in pertinent 
funding opportunity number from NOFA].
    In addition, community-based, non-governmental service providers 
who are not transmitting their applications through the State must 
submit a Public Health System Impact Statement (PHSIS) (approved by OMB 
under control no. 0920-0428; see burden statement below) to the head(s) 
of appropriate State or local health agencies in the area(s) to be 
affected no later than the pertinent receipt date for applications. The 
PHSIS is intended to keep State and local health officials informed of 
proposed health services grant applications submitted by

[[Page 62332]]

community-based, non-governmental organizations within their 
jurisdictions. State and local governments and Indian tribal government 
applicants are not subject to these requirements.
    The PHSIS consists of the following information:
    [dec222] A copy of the face page of the application (SF 424); and
    [dec222] A summary of the project, no longer than one page in 
length, that provides: (1) A description of the population to be 
served, (2) a summary of the services to be provided, and (3) a 
description of the coordination planned with appropriate State or local 
health agencies.
    For SAMHSA grants, the appropriate State agencies are the Single 
State Agencies (SSAs) for substance abuse and mental health. A listing 
of the SSAs can be found on SAMHSA's Web site at http://www.samhsa.gov. 
If the proposed project falls within the jurisdiction of more than one 
State, you should notify all representative SSAs.
    Applicants who are not the SSA must include a copy of a letter 
transmitting the PHSIS to the SSA in Appendix 4, ``Letter to the SSA.'' 
The letter must notify the State that, if it wishes to comment on the 
proposal, its comments should be sent not later than 60 days after the 
application deadline to:
    For United States Postal Service: Crystal Saunders, Director of 
Grant Review, Office of Program Services, Substance Abuse and Mental 
Health Services Administration, Room 3-1044, 1 Choke Cherry Road, 
Rockville, MD 20857,ATTN: SSA--Funding Announcement No. [fill in 
pertinent funding opportunity number from NOFA].
    For other delivery service: Crystal Saunders, Director of Grant 
Review, Office of Program Services, Substance Abuse and Mental Health 
Services Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, 
MD 20850, ATTN: SSA--Funding Announcement No. [fill in pertinent 
funding opportunity number from NOFA].
    In addition:
    [dec222] Applicants may request that the SSA send them a copy of 
any State comments.
    [dec222] The applicant must notify the SSA within 30 days of 
receipt of an award.
    [Public reporting burden for the Public Health System Reporting 
Requirement is estimated to average 10 minutes per response, including 
the time for copying the face page of SF 424 and the abstract and 
preparing the letter for mailing. An agency may not conduct or sponsor, 
and a person is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number. The OMB 
control number for this project is 0920-0428. Send comments regarding 
this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24, 
Atlanta, GA 30333, ATTN: PRA (0920-0428).]

5. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
    [dec222] Institutions of Higher Education: OMB Circular A-21.
    [dec222] State and Local Governments: OMB Circular A-87.
    [dec222] Nonprofit Organizations: OMB Circular A-122.
    [dec222] Appendix E Hospitals: 45 CFR Part 74.
    In addition, SAMHSA Services Grant recipients must comply with the 
following funding restrictions:
    [dec222] No more than 15% of the total grant award may be used for 
developing the infrastructure necessary for expansion of services.
    [dec222] No more than 20% of the total grant award may be used for 
evaluation and data collection, including GPRA and incentives for 
completing the evaluation.
    Service Grant funds must be used for purposes supported by the 
program and may not be used to:
    [dec222] Pay for any lease beyond the project period.
    [dec222] Provide services to incarcerated populations (defined as 
those persons in jail, prison, detention facilities, or in custody 
where they are not free to move about in the community).
    [dec222] Pay for the purchase or construction of any building or 
structure to house any part of the program. (Applicants may request up 
to $75,000 for renovations and alterations of existing facilities, if 
necessary and appropriate to the project.)
    [dec222] Provide residential or outpatient treatment services when 
the facility has not yet been acquired, sited, approved, and met all 
requirements for human habitation and services provision. (Expansion or 
enhancement of existing residential services is permissible.)
    [dec222] Pay for housing other than residential mental health and/
or substance abuse treatment.
    [dec222] Provide inpatient treatment or hospital-based 
detoxification services. Residential services are not considered to be 
inpatient or hospital-based services.
    [dec222] Pay for incentives to induce individuals to enter 
treatment. However, a grantee or treatment provider may provide up to 
$20 or equivalent (coupons, bus tokens, gifts, child care, and 
vouchers) to individuals as incentives to participate in required data 
collection follow-up. This amount may be paid for participation in each 
required interview.
    [dec222] Implement syringe exchange programs, such as the purchase 
and distribution of syringes and/or needles.
    [dec222] Pay for pharmacologies for HIV antiretroviral therapy, 
sexually transmitted diseases (STD)/sexually transmitted illnesses 
(STI), TB, and hepatitis B and C, or for psychotropic drugs.
    [dec222] SAMHSA will not accept a ``research'' indirect cost rate. 
The grantee must use the ``other sponsored program rate'' or the lowest 
rate available.

6. Other Submission Requirements

6.1 Where To Send Applications
    Send applications to the following address:
    For United States Postal Service: Crystal Saunders, Director of 
Grant Review, Office of Program Services, Substance Abuse and Mental 
Health Services Administration, Room 3-1044, 1 Choke Cherry Road, 
Rockville, MD 20857.
    For other delivery service: Crystal Saunders, Director of Grant 
Review, Office of Program Services, Substance Abuse and Mental Health 
Services Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, 
MD 20850.
    Do not send applications to other agency contacts, as this could 
delay receipt. Be sure to include the funding announcement number from 
the NOFA in item number 10 on the face page of the application. If you 
require a phone number for delivery, you may use (240) 276-1199.
6.2 How To Send Applications
    Mail or deliver an original application and 2 copies (including 
appendices) to the mailing address provided above, according to the 
instructions in Section IV-3. The original and copies must not be 
bound. Do not use staples, paper clips, or fasteners. Nothing should be 
attached, stapled, folded, or pasted.
    Hand carried applications will not be accepted. Applications may be 
shipped using only DHL, Falcon Carrier, Federal Express (FedEx), United 
Parcel Service (UPS), or the United States Postal Service (USPS).
    SAMHSA will not accept or consider any applications sent by 
facsimile.
    Unless specifically indicated in the NOFA, electronic submission of 
applications will not be accepted.

[[Page 62333]]

V. Application Review Information

1. Evaluation Criteria

    Your application will be reviewed and scored according to the 
quality of your response to the requirements listed below for 
developing the Project Narrative (Sections A-E). These sections 
describe what you intend to do with your project.
    [dec222] In developing the Project Narrative section of your 
application, use these instructions along with any additional 
instructions found in the NOFA. These are to be used instead of the 
``Program Narrative'' instructions found in the PHS 5161-1.
    [dec222] The Project Narrative (Sections A-E) together may be no 
longer than 30 pages.
    [dec222] You must use the five sections/headings listed below in 
developing your Project Narrative. Be sure to place the required 
information in the correct section, or it will not be considered. Your 
application will be scored according to how well you address the 
requirements for each section of the Project Narrative.
    [dec222] 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.''
    [dec222] The Supporting Documentation you provide in Sections F-I 
and Appendices 1-5 will be considered by reviewers in assessing your 
response, along with the material in the Project Narrative.
    [dec222] The number of points after each heading is the maximum 
number of points a review committee may assign to that section of your 
Project Narrative. Bullet statements in each section do not have points 
assigned to them. They are provided to invite the attention of 
applicants and reviewers to important areas within the criterion.
Section A: Statement of Need (10 Points)
    [dec222] Describe the target population (see Glossary) as well as 
the geographic area to be served, and justify the selection of both. Be 
sure to check the NOFA for any specific requirements regarding the 
target population and/or catchment area. Include the numbers to be 
served and demographic information. Discuss the target population's 
language, beliefs, norms and values, as well as socioeconomic factors 
that must be considered in delivering programs to this population.
    [dec222] Describe the nature of the problem and extent of the need 
for the target population based on data. The statement of need should 
include a clearly established baseline for the project. Documentation 
of need may come from a variety of qualitative and quantitative 
sources. The quantitative data could come from local data or trend 
analyses, State data (e.g., from State Needs Assessments), and/or 
national data (e.g., from SAMHSA's National Household Survey on Drug 
Abuse and Health or from National Center for Health Statistics/Centers 
for Disease Control reports). For data sources that are not well known, 
provide sufficient information on how the data were collected so 
reviewers can assess the reliability and validity of the data.
    [dec222] Non-tribal applicants must show that identified needs are 
consistent with priorities of the State or county that has primary 
responsibility for the service delivery system. Include, in Appendix 5, 
a copy of the State or County Strategic Plan, a State or county needs 
assessment, or a letter from the State or county indicating that the 
proposed project addresses a State-or county-identified priority. 
Tribal applicants must provide similar documentation relating to tribal 
priorities.
    [dec222] Check the NOFA for any additional requirements.
Section B: Proposed Evidence-Based Service/Practice (30 Points)
    [dec222] Clearly state the purpose, goals and objectives of your 
proposed project. Describe how achievement of the goals will address 
the overall program purpose specified in the NOFA and produce 
meaningful and relevant results (e.g., increase access, availability, 
prevention, outreach, pre-services, treatment, and/or intervention).
    [dec222] Identify the evidenced based service/practice that you 
propose to implement. Describe the evidence-base for the proposed 
service/practice and show that it incorporates the best objective 
information available regarding effectiveness and acceptability. Follow 
the instructions provided in 1, 2 or 3 
below, as appropriate:
    1. If you are proposing to implement a service/practice included in 
NREPP (see Appendix C), one of the CMHS tool-kits on evidence-based 
practices (see Appendix D), the list of Effective Substance Abuse 
Treatment Practices (see Appendix E), or the NOFA (if applicable), 
simply identify the practice and state the source from which it was 
selected. You do not need to provide further evidence of effectiveness.
    2. If you are providing evidence that includes scientific studies 
published in the peer-reviewed literature or other studies that have 
not been published, describe the extent to which:

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

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

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

[dec222] Justify the use of the proposed service/practice for the 
target population. Describe and justify any adaptations necessary to 
meet the needs of the target population as well as evidence that such 
adaptations will be effective for the target population.

[[Page 62334]]

    [dec222] Identify and justify any additional adaptations or 
modifications to the proposed service/practice.
    [dec222] Describe how the proposed project will address issues of 
age, race, ethnicity, culture, language, sexual orientation, 
disability, literacy, and gender in the target population, while 
retaining fidelity to the chosen practice.
    [dec222] Demonstrate how the proposed service/practice will meet 
your goals and objectives. Provide a logic model (see Glossary) that 
links need, the services or practice to be implemented, and outcomes.
    [dec222] Check the NOFA for any additional requirements.
Section C: Proposed Implementation Approach (25 Points)
    [dec222] Describe how the proposed service or practice will be 
implemented. Address any and all expectations/required activities 
specified in the NOFA.
    [dec222] Provide a realistic time line for the project (chart or 
graph) showing key activities, milestones, and responsible staff. 
[Note: The time line should be part of the Project Narrative. It should 
not be placed in an appendix.]
    [dec222] Clearly state the unduplicated number of individuals you 
propose to serve (annually and over the entire project period) with 
grant funds, including the types and numbers of services to be provided 
and anticipated outcomes. Describe how the target population will be 
identified, recruited, and retained.
    [dec222] Describe how members of the target population helped 
prepare the application, and how they will help plan, implement, and 
evaluate the project.
    [dec222] Describe how the project components will be embedded 
within the existing service delivery system, including other SAMHSA-
funded projects, if applicable. Identify any other organizations that 
will participate in the proposed project. Describe their roles and 
responsibilities and demonstrate their commitment to the project. 
Include letters of commitment from community organizations supporting 
the project in Appendix 1. Identify any cash or in-kind contributions 
that will be made to the project by the applicant or other partnering 
organizations.
    [dec222] Show that the necessary groundwork (e.g., planning, 
consensus development, development of memoranda of agreement, 
identification of potential facilities) has been completed or is near 
completion so that the project can be implemented and service delivery 
can begin as soon as possible and no later than 4 months after grant 
award.
    [dec222] Describe the potential barriers to successful conduct of 
the proposed project and how you will overcome them.
    [dec222] Provide a plan to secure resources to sustain the proposed 
project when Federal funding ends.
    [dec222] Check the NOFA for any additional requirements.
Section D: Staff and Organizational Experience (20 Points)
    [dec222] Discuss the capability and experience of the applicant 
organization and other participating organizations with similar 
projects and populations, including experience in providing culturally 
appropriate/competent services.
    [dec222] Provide a list of staff who will participate in the 
project, showing the role of each and their level of effort and 
qualifications. Include the Project Director and other key personnel, 
such as the evaluator and treatment/prevention personnel.
    [dec222] Describe the racial/ethnic characteristics of key staff 
and indicate if any are members of the target population/community. If 
the target population is multi-linguistic, indicate if the staffing 
pattern includes bilingual and bicultural individuals.
    [dec222] Describe the resources available for the proposed project 
(e.g., facilities, equipment), and provide evidence that services will 
be provided in a location that is adequate, accessible, compliant with 
the Americans with Disabilities Act (ADA), and amenable to the target 
population.
    [dec222] Check the NOFA for any additional requirements.
Section E: Evaluation and Data (15 Points)
    [dec222] Document your ability to collect and report on the 
required performance measures as specified in the NOFA. Specify and 
justify any additional measures you plan to use for your grant project.
    [dec222] Describe plans for data collection, management, analysis, 
interpretation and reporting. Describe the existing approach to the 
collection of data, along with any necessary modifications. Be sure to 
include data collection instruments/interview protocols in Appendix 2.
    [dec222] Discuss the reliability and validity of evaluation methods 
and instrument(s) in terms of the gender/age/culture of the target 
population.
    [dec222] Describe the process and outcome evaluation, including 
assessments of implementation and individual outcomes. Show how the 
evaluation will be integrated with requirements for collection and 
reporting of performance data, including data required by SAMHSA to 
meet GPRA requirements.
    [dec222] Describe how the evaluation will be used to ensure the 
fidelity to the practice.
    [dec222] Provide a per-person or unit cost of the project to be 
implemented, based on the applicant's actual costs and projected costs 
over the life of the project.
    [dec222] Check the NOFA for any additional requirements.

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

2. Review and Selection Process

    SAMHSA applications are peer-reviewed according to the review 
criteria listed above. For those programs where the individual award is 
over $100,000, applications must also be reviewed by the appropriate 
National Advisory Council.
    Decisions to fund a grant are based on:
    [dec222] The strengths and weaknesses of the application as 
identified by peer reviewers and, when applicable, approved by the 
appropriate National Advisory Council;
    [dec222] Availability of funds;
    [dec222] Equitable distribution of awards in terms of geography 
(including urban, rural and remote settings) and balance among target 
populations and program size; and
    [dec222] After applying the aforementioned criteria, the following 
method for breaking ties: When funds are not available to fund all 
applications with identical scores, SAMHSA will make award decisions 
based on the application(s) that received the greatest number of points 
by peer reviewers on the evaluation criterion in Section V-1 with the 
highest number of possible points (Proposed Evidence-Based Service/
Practice--30 points). Should a tie still exist, the evaluation 
criterion with the next highest possible point value will be used, 
continuing sequentially to the evaluation criterion with the lowest 
possible point value, should that be necessary to break all ties. If an 
evaluation criterion to be used for this purpose has the same number of 
possible points as another evaluation criterion, the criterion listed 
first in Section V-1 will be used first.

[[Page 62335]]

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

    [dec222] 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/generalinfo/useful_info.aspx.
    [dec222] 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:
    [ctrcir] Actions required to be in compliance with human subjects 
requirements;
    [ctrcir] Requirements relating to additional data collection and 
reporting;
    [ctrcir] Requirements relating to participation in a cross-site 
evaluation; or
    [ctrcir] Requirements to address problems identified in review of 
the application.
    [dec222] 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.
    [dec222] 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
    [dec222] Grantees must provide annual and final progress reports. 
The final report must summarize information from the annual reports, 
describe the accomplishments of the project, and describe next steps 
for implementing plans developed during the grant period.
    [dec222] Grantees must provide annual and final financial status 
reports. These reports may be included as separate sections of annual 
and final progress reports or can be separate documents. Because SAMHSA 
is extremely interested in ensuring that treatment or prevention 
services can be sustained, your financial reports should explain plans 
to ensure the sustainability (see Glossary) of efforts initiated under 
this grant. Initial plans for sustainability should be described in 
year 01. In each subsequent year, you should describe the status of 
your project, as well as the successes achieved and obstacles 
encountered in that year.
    [dec222] SAMHSA will provide guidelines and requirements for these 
reports to grantees at the time of award and at the initial grantee 
orientation meeting after award. SAMHSA staff will use the information 
contained in the reports to determine the grantee's progress toward 
meeting its goals.
3.2 Government Performance and Results Act (GPRA)
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. To 
meet the GPRA requirements, SAMHSA must collect performance data (i.e., 
``GPRA data'') from grantees. These requirements will be specified in 
the NOFA for each funding opportunity.
3.3 Publications
    If you are funded under this grant program, you are required to 
notify the Government Project Officer (GPO) and SAMHSA's Publications 
Clearance Officer (240-276-2130) of any materials based on the SAMHSA-
funded grant project that are accepted for publication.
    In addition, SAMHSA requests that grantees:
    [dec222] Provide the GPO and SAMHSA Publications Clearance Officer 
with advance copies of publications.
    [dec222] Include acknowledgment of the SAMHSA grant program as the 
source of funding for the project.
    [dec222] Include a disclaimer stating that the views and opinions 
contained in the publication do not necessarily reflect those of SAMHSA 
or the U.S. Department of Health and Human Services, and should not be 
construed as such.
    SAMHSA reserves the right to issue a press release about any 
publication deemed by SAMHSA to contain information of program or 
policy significance to the substance abuse treatment/substance abuse 
prevention/mental health services community.

VII. Agency Contacts

    The NOFAs provide contact information for questions about program 
issues.
    For questions on grants management issues, contact: Kimberly 
Pendleton, Office of Program Services, Division of Grants Management, 
Substance Abuse and Mental Health Services Administration, 1 Choke 
Cherry Road, Room 7-1097, Rockville, Maryland 20857, (240) 276-1421, 
[email protected].

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

    SAMHSA's goal is to review all applications submitted for grant 
funding. However, this goal must be balanced against SAMHSA's 
obligation to ensure equitable treatment of applications. For this 
reason, SAMHSA has established certain formatting requirements for 
its applications. If you do not adhere to these requirements, your 
application will be screened out and returned to you without review. 
In addition to these formatting requirements, programmatic 
requirements (e.g., relating to eligibility) may be stated in the 
specific NOFA and in Section III of the standard grant announcement. 
Please check the entire NOFA and Section III of the standard grant 
announcement before preparing your application.
    [ballot] Use the PHS 5161-1 application.
    [ballot] Applications must be received by the application 
deadline or have proof of timely submission, as detailed in Section 
IV-3 of the grant announcement.
    [ballot] Information provided must be sufficient for review.
    [ballot] 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.)
    [dec222] Text in the Project Narrative cannot exceed 6 lines per 
vertical inch.
    [ballot] Paper must be white paper and 8.5 inches by 11.0 inches 
in size.

[[Page 62336]]

    [ballot] To ensure equity among applications, the amount of 
space allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by using all 
margins (left, right, top, bottom) of at least one inch each, and 
adhering to the page limit for the Project Narrative stated in the 
specific funding announcement.
     Should an application not conform to these margin or 
page limits, SAMHSA will use the following method to determine 
compliance: The total area of the Project Narrative (excluding 
margins, but including charts, tables, graphs and footnotes) cannot 
exceed 58.5 square inches multiplied by the page limit. This number 
represents the full page less margins, multiplied by the total 
number of allowed pages.
     Space will be measured on the physical page. Space left 
blank within the Project Narrative (excluding margins) is considered 
part of the Project Narrative, in determining compliance.
    To facilitate review of your application, follow these 
additional guidelines. Failure to adhere to the following guidelines 
will not, in itself, result in your application being screened out 
and returned without review. However, the information provided in 
your application must be sufficient for review. Following these 
guidelines will help ensure your application is complete, and will 
help reviewers to consider your application.
    [ballot] The 10 application components required for SAMHSA 
applications should be included. These are:
     Face Page (Standard Form 424, which is in PHS 5161-1).
     Abstract.
     Table of Contents.
     Budget Form (Standard Form 424A, which is in PHS 5161-
1).
     Project Narrative and Supporting Documentation.
     Appendices.
     Assurances (Standard Form 424B, which is in PHS 5161-
1).
     Certifications (a form within PHS 5161-1).
     Disclosure of Lobbying Activities (Standard Form LLL, 
which is in PHS 5161-1).
     Checklist (a form in PHS 5161-1).
    [ballot] Applications should comply with the following 
requirements:
     Provisions relating to confidentiality, participant 
protection and the protection of human subjects specified in Section 
IV-2.4 of the FY 2005 standard funding announcements.
     Budgetary limitations as specified in Section I, II, 
and IV-5 of the FY 2005 standard funding announcements.
     Documentation of nonprofit status as required in the 
PHS 5161-1.
    [ballot] Pages should be typed single-spaced in black ink, with 
one column per page. Pages should not have printing on both sides.
    [ballot] Please 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.
    [ballot] The page limits for Appendices stated in the specific 
funding announcement should not be exceeded.
    [ballot] Send the original application and two copies to the 
mailing address in the funding announcement. Please do not use 
staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be 
copied or sent to reviewers. Do not include videotapes, audiotapes, 
or CD-ROMs.

Appendix B--Glossary

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

Appendix C--National Registry of Effective Programs and Practices

    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 and Practices 
(NREPP) to review and identify effective programs. NREPP seeks 
candidates from the practice community and the scientific

[[Page 62337]]

literature. While the initial focus of NREPP was substance abuse 
prevention programming, NREPP 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.
    NREPP 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 NREPP 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 NREPP standards for each category can 
be identified by accessing the NREPP Model Programs Web site at 
http://www.modelprograms.samhsa.gov.

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

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

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

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

Appendix E--Effective Substance Abuse Treatment Practices

    To assist potential applicants, SAMHSA's Center for Substance 
Abuse Treatment (CSAT) has identified the following listing of 
current publications on effective treatment practices for use by 
treatment professionals in treating individuals with substance abuse 
disorders. These publications are available from the National 
Clearinghouse for Alcohol and Drug Information (NCADI); Tele: 1-800-
729-6686 or http://www.health.org and http://www.samhsa.gov/centers/csat2002/publications.html.
    CSAT Treatment Improvement Protocols (TIPs) are consensus-based 
guidelines developed by clinical, research, and administrative 
experts in the field.
     Integrating Substance Abuse Treatment and Vocational 
Services. TIP 38 (2000) NCADI  BKD381.
     Substance Abuse Treatment for Persons with Child Abuse 
and Neglect Issues. TIP 36 (2000) NCADI  BKD343.
     Substance Abuse Treatment for Persons with HIV/AIDS. 
TIP 37 (2000) NCADI  BKD359.
     Brief Interventions and Brief Therapies for Substance 
Abuse. TIP 34 (1999) NCADI  BKD341.
     Enhancing Motivation for Change in Substance Abuse 
Treatment. TIP 35 (1999) NCADI  BKD342.
     Screening and Assessing Adolescents for Substance Use 
Disorders. TIP 31 (1999) NCADI  BKD306.
     Treatment for Stimulant Use Disorders. TIP 33 (1999) 
NCADI  BKD289.
     Treatment of Adolescents with Substance Use Disorders. 
TIP 32 (1999) NCADI  BKD307.
     Comprehensive Case Management for Substance Abuse 
Treatment. TIP 27 (1998) NCADI  BKD251.
     Continuity of Offender Treatment for Substance Use 
Disorders From Institution to Community. TIP 30 (1998) NCADI 
 BKD304.
     Naltrexone and Alcoholism Treatment. TIP 28 (1998) 
NCADI  BKD268.
     Substance Abuse Among Older Adults. TIP 26 (1998) NCADI 
 BKD250.
     Substance Use Disorder Treatment for People With 
Physical and Cognitive Disabilities. TIP 29 (1998) NCADI  
BKD288.
     A Guide to Substance Abuse Services for Primary Care 
Clinicians. TIP 24 (1997) NCADI  BKD234.
     Substance Abuse Treatment and Domestic Violence. TIP 25 
(1997) NCADI  BKD239.
     Treatment Drug Courts: Integrating Substance Abuse 
Treatment With Legal Case Processing. TIP 23 (1996) NCADI  
BKD205.
     Alcohol and Other Drug Screening of Hospitalized Trauma 
Patients. TIP 16 (1995) NCADI  BKD164.
     Combining Alcohol and Other Drug Abuse Treatment With 
Diversion for Juveniles in the Justice System. TIP 21 (1995) NCADI 
 BKD169.
     Detoxification From Alcohol and Other Drugs. TIP 19 
(1995) NCADI  BKD172.
     LAAM in the Treatment of Opiate Addiction. TIP 22 
(1995) NCADI  BKD170.
     Matching Treatment to Patient Needs in Opioid 
Substitution Therapy. TIP 20 (1995) NCADI  BKD168.
     Planning for Alcohol and Other Drug Abuse Treatment for 
Adults in the Criminal Justice System. TIP 17 (1995) NCADI  
BKD165.
     Assessment and Treatment of Cocaine-Abusing Methadone-
Maintained Patients. TIP 10 (1994) NCADI  BKD157.
     Assessment and Treatment of Patients With Coexisting 
Mental Illness and Alcohol and Other Drug Abuse. TIP 9 (1994) NCADI 
 BKD134.
     Intensive Outpatient Treatment for Alcohol and Other 
Drug Abuse. TIP 8 (1994) NCADI  BKD139.
    Other Effective Practice Publications:
    CSAT Publications--
     Anger Management for Substance Abuse and Mental Health 
Clients: A Cognitive Behavioral Therapy Manual (2002) NCADI 
 BKD444.
     Anger Management for Substance Abuse and Mental Health 
Clients: Participant Workbook (2002) NCADI  BKD445.
     Multidimensional Family Therapy for Adolescent Cannabis 
Users. CYT Cannabis Youth Treatment Series Vol. 5 (2002) NCADI 
 BKD388.
     Navigating the Pathways: Lessons and Promising 
Practices in Linking Alcohol and Drug Services with Child Welfare. 
TAP 27 (2002) NCADI  BKD436.
     The Motivational Enhancement Therapy and Cognitive 
Behavioral Therapy Supplement: 7 Sessions of Cognitive Behavioral 
Therapy for Adolescent Cannabis Users. CYT Cannabis Youth Treatment 
Series Vol. 2 (2002) NCADI  BKD385.
     Family Support Network for Adolescent Cannabis Users. 
CYT Cannabis Youth Treatment Series Vol. 3 (2001) NCADI  
BKD386.

[[Page 62338]]

     Identifying Substance Abuse Among TANF-Eligible 
Families. TAP 26 (2001) NCADI  BKD410.
     Motivational Enhancement Therapy and Cognitive 
Behavioral Therapy for Adolescent Cannabis Users: 5 Sessions. CYT 
Cannabis Youth Treatment Series Vol. 1 (2001) NCADI  
BKD384.
     The Adolescent Community Reinforcement Approach for 
Adolescent Cannabis Users. CYT Cannabis Youth Treatment Series Vol. 
4 (2001) NCADI  BKD387.
     Substance Abuse Treatment for Women Offenders: Guide to 
Promising Practices. TAP 23 (1999) NCADI  BKD310.
     Addiction Counseling Competencies: The Knowledge, 
Skills, and Attitudes of Professional Practice. TAP 21 (1998) NCADI 
 BKD246.
     Bringing Excellence to Substance Abuse Services in 
Rural and Frontier America. TAP 20 (1997) NCADI  BKD220.
     Counselor's Manual for Relapse Prevention with 
Chemically Dependent Criminal Offenders. TAP 19 (1996) NCADI 
 BKD723.
     Draft Buprenorphine Curriculum for Physicians (Note: 
the Curriculum is in DRAFT form and is currently being updated) 
http://www.buprenorphine.samhsa.gov.
     CSAT Guidelines for the Accreditation of Opioid 
Treatment Programs http://www.samhsa.gov/centers/csat/content/dpt/accreditation.htm.
     Model Policy Guidelines for Opioid Addiction Treatment 
in the Medical Office http://www.samhsa.gov/centers/csat/content/dpt/model_policy.htm.
    NIDA Manuals--Available through NCADI--
     Brief Strategic Family Therapy. Manual 5 (2003) NCADI 
 BKD481.
     Drug Counseling for Cocaine Addiction: The 
Collaborative Cocaine Treatment Study Model. Manual 4 (2002) NCADI 
 BKD465.
     The NIDA Community-Based Outreach Model: A Manual to 
Reduce Risk HIV and Other Blood-Borne Infections in Drug Users. 
(2000) NCADI  BKD366.
     An Individual Counseling Approach to Treat Cocaine 
Addiction: The Collaborative Cocaine Treatment Study Model. Manual 3 
(1999) NCADI  BKD337.
     Cognitive-Behavioral Approach: Treating Cocaine 
Addiction. Manual 1 (1998) NCADI  BKD254.
     Community Reinforcement Plus Vouchers Approach: 
Treating Cocaine Addiction. Manual 2 (1998) NCADI  BKD255.
    NIAAA Publications--* These publications are available in PDF 
format or can be ordered on-line at http://www.niaaa.nih.gov/publications/guides.htm. An order form for the Project MATCH series 
is available on-line at http://www.niaaa.nih.gov/publications/match.htm. All publications listed can be ordered through the NIAAA 
Publications Distribution Center, P.O. Box 10686, Rockville, MD 
20849-0686.
     * Alcohol Problems in Intimate Relationships: 
Identification and Intervention. A Guide for Marriage and Family 
Therapists (2003) NIH Pub. No. 03-5284.
     * Helping Patients with Alcohol Problems: A Health 
Practitioner's Guide. (2003) NIH Pub. No. 03-3769.
     Cognitive-Behavioral Coping Skills Therapy Manual. 
Project MATCH Series, Vol. 3 (1995) NIH Pub. No. 94-3724.
     Motivational Enhancement Therapy Manual. Project MATCH 
Series, Vol. 2 (1994) NIH Pub. No. 94-3723.

Appendix F--Statement Of Assurance.

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

-----------------------------------------------------------------------
Signature of Authorized Representative

-----------------------------------------------------------------------
Date

Appendix G `` Logic Model Resources

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

Appendix H--Sample Budget and Justification

Illustration of a Sample Detailed Budget and Narrative Justification to 
Accompany SF 424A: Section B for 01 Budget Period

Object Class Categories

Personnel

----------------------------------------------------------------------------------------------------------------
                                                                                                  Salary being
             Job title                        Name            Annual salary    Level of effort      requested
----------------------------------------------------------------------------------------------------------------
Project Director...................  J. Doe...............           $30,000               1.0           $30,000
Secretary..........................  Unnamed..............            18,000               0.5             9,000
Counselor..........................  R. Down..............            25,000               1.0            25,000
----------------------------------------------------------------------------------------------------------------


[[Page 62339]]

Enter Personnel subtotal on 424A, Section B, 6.a. $64,000

Fringe Benefits (24%) $15,360

Enter Fringe Benefits subtotal on 424A, Section B, 6.b. $15,360

Travel

------------------------------------------------------------------------
 
------------------------------------------------------------------------
2 trips for SAMHSA Meetings for 2 Attendees (Airfare @ $600       $5,280
 x 4 = $2,400) + (per diem @ $120 x 4 x 6 days = $2,880)...
Local Travel (500 miles x .24 per mile)....................          120
------------------------------------------------------------------------

Enter Travel subtotal on 424A, Section B, 6.c. $ 5,400

Equipment (List Individually)

    ``Equipment'' means an article of nonexpendable, tangible 
personal property having a useful life of more than one year and an 
acquisition cost which equals the lesser of (a) the capitalization 
level established by the governmental unit or nongovernmental 
applicant for financial statement purposes, or (b) $5000.

Enter Equipment subtotal on 424A, Section B, 6.d.

Supplies

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Office Supplies............................................         $500
Computer Software--1 WordPerfect...........................          500
------------------------------------------------------------------------

Enter Supplies subtotal on 424A, Section B, 6.e. $1,000

Contractual Costs

Evaluation

----------------------------------------------------------------------------------------------------------------
                                                                                Salary being
             Job title                        Name            Annual salary       requested      Level of effort
----------------------------------------------------------------------------------------------------------------
Evaluator..........................  J. Wilson............           $48,000           $24,000               0.5
Other staff........................  .....................            18,000            18,000               1.0
----------------------------------------------------------------------------------------------------------------

Fringe Benefits (25%) $10,500

Travel

------------------------------------------------------------------------
 
------------------------------------------------------------------------
2 trips x 1 Evaluator ($600 x 2)...........................       $1,200
per diem @ $120 x 6........................................          720
Supplies (General Office)..................................          500
------------------------------------------------------------------------


------------------------------------------------------------------------
 
------------------------------------------------------------------------
Evaluation Direct..........................................      $54,920
Evaluation Indirect Costs (19%)............................       10,435
                                                            ------------
    Evaluation Subtotal....................................       65,355
------------------------------------------------------------------------

Training

----------------------------------------------------------------------------------------------------------------
                                                                                                  Salary being
                  Job title                                Name                Level of effort      requested
----------------------------------------------------------------------------------------------------------------
Coordinator.................................  M. Smith......................               0.5           $12,000
Admin. Asst.................................  N. Jones......................               0.5             9,000
----------------------------------------------------------------------------------------------------------------

Fringe Benefits (25%) $5,250

Travel

------------------------------------------------------------------------
 
------------------------------------------------------------------------
2 Trips for Training Airfare @ $600 x 2....................       $1,200
Per Diem $120 x 2 x 2 days.................................          480
Local (500 miles x .24/mile)...............................          120
------------------------------------------------------------------------

Supplies

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Office Supplies............................................         $500

[[Page 62340]]

 
Software (WordPerfect).....................................          500
------------------------------------------------------------------------

Other

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Rent (500 Sq. Ft. x $9.95).................................       $4,975
Telephone..................................................          500
Maintenance (e.g., van)....................................        2,500
Audit......................................................        3,000
------------------------------------------------------------------------


------------------------------------------------------------------------
 
------------------------------------------------------------------------
Training Direct............................................      $40,025
Training Indirect..........................................            0
------------------------------------------------------------------------

Enter Contractual subtotal on 424A, Section B, 6.f. $105,380

Other

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Consultants = Expert @ $250/day x 6 day (If expert is             $1,500
 known, should list by name)...............................
------------------------------------------------------------------------

Enter Other subtotal on 424A, Section B, 6.h. $1,500

Total Direct Charges (sum of 6.a-6.h)

Enter Total Direct on 424A, Section B, 6.i. $192,640

Indirect Costs

    15% of Salary and Wages (copy of negotiated indirect cost rate 
agreement attached)

Enter Indirect subtotal of 424A, Section B, 6.j. $9,600

Totals

Enter Total on 424A, Section B, 6.k. $202,240

Justification

    Personnel--Describe the role and responsibilities of each 
position.
    Fringe Benefits--List all components of the fringe benefit rate.
    Equipment--List equipment and describe the need and the purpose 
of the equipment in relation to the proposed project.
    Supplies--Generally self-explanatory; however, if not, describe 
need. Include explanation of how the cost has been estimated.
    Travel--Explain need for all travel other than that required by 
SAMHSA.
    Contractual Costs--Explain the need for each contractual 
arrangement and how these components relate to the overall project.
    Other--Generally self-explanatory. If consultants are included 
in this category, explain the need and how the consultant's rate has 
been determined.
    Indirect Cost Rate--If your organization has no indirect cost 
rate, please indicate whether your organization plans to a) waive 
indirect costs if an award is issued, or b) negotiate and establish 
an indirect cost rate with DHHS within 90 days of award issuance.

                  Calculation of Future Budget Periods (Based on First 12-Month Budget Period)
[Review and verify the accuracy of future year budget estimates. Increases or decreases in the future years must
be explained and justified and no cost of living increases will be honored. (Note: new salary cap of $175,700 is
                                      effective for all FY 2005 awards.) *]
----------------------------------------------------------------------------------------------------------------
                                                             First 12-month    Second 12-month   Third 12-month
                                                                 period            period            period
----------------------------------------------------------------------------------------------------------------
Personnel:
    Project Director......................................            30,000            30,000            30,000
    Secretary**...........................................             9,000            18,000            18,000
    Counselor.............................................            25,000            25,000            25,000
                                                           -------------------
        Total Personnel...................................            64,000            73,000            73,000
===========================================================-------------------------------------
Equipment.................................................               -0-               -0-               -0-
Supplies***...............................................             1,000               520               520
Contractual:
    Evaluation****........................................            65,355            67,969            70,688
    Training..............................................            40,025            40,025            40,025
    Other.................................................             1,500             1,500             1,500
    Total Direct Costs....................................           192,640           205,934           208,653
    Indirect Costs (15% S&W)..............................             9,600             9,600             9,600
                                                           -------------------
        Total Costs.......................................           202,240           216,884          219,603
----------------------------------------------------------------------------------------------------------------
*Consistent with the requirement in the Consolidated Appropriations Act, Public Law 108-199.
**Increased from 50% to 100% effort in 02 through 03 budget periods.
***Increased amount in 01 year represents costs for software.
****Increased amounts in 02 and 03 years are reflected of the increase in client data collection.


[[Page 62341]]

    The Federal dollars requested for all object class categories 
for the first 12-month budget period are entered on Form 424A, 
Section B, Column (1), lines 6a-6i. The total Federal dollars 
requested for the second through the fifth 12-month budget periods 
are entered on Form 424A, Section E, Columns (b)-(e), line 20. The 
RFA will specify the maximum number of years of support that may be 
requested.

Infrastructure Grants--INF 05 PA (Initial Announcement)

Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243 (unless 
otherwise specified in a NOFA in the Federal Register and on http://www.grants.gov)

                                Key Dates
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Application Deadline.........  This Program Announcement provides
                                general instructions and guidelines for
                                multiple funding opportunities.
                                Application deadlines for specific
                                funding opportunities will be published
                                in Notices of Funding Availability
                                (NOFAs) in the Federal Register and on
                                http://www.grants.gov.
Intergovernmental Review       Letters from State Single Point of
 (E.O. 12372).                  Contact (SPOC) are due no later than 60
                                days after application deadline.
Public Health System Impact    Applicants must send the PHSIS to
 Statement (PHSIS)/SSA          appropriate State and local health
 Coordination.                  agencies by application deadline.
                                Comments from Single State Agency are
                                due no later than 60 days after
                                application deadline.
------------------------------------------------------------------------

Table of Contents

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
IV. Application and Submission Information
    1. Address to Request Application Package
    2. Content and Form of Application Submission
    3. Submission Dates and Times
    4. Intergovernmental Review (E.O. 12372) Requirements
    5. Funding Limitations/Restrictions
    6. Other Submission Requirements
V. Application Review Information
    1. Evaluation Criteria
    2. Review and Selection Process
VI. Award Administration Information
    1. Award Notices
    2. Administrative and National Policy Requirements
    3. Reporting Requirements
VII. Agency Contacts
Appendix A--Checklist for Formatting Requirements and Screenout 
Criteria for SAMHSA Grant Applications
Appendix B--Glossary
Appendix C--Logic Model Resources
Appendix D--Sample Budget and Justification

I. Funding Opportunity Description

1. Introduction

    The Substance Abuse and Mental Health Services Administration 
(SAMHSA) announces its intent to solicit applications for 
Infrastructure Grants. This program announcement must be considered in 
conjunction with a full Notice of Funding Availability (NOFA), which 
specifies the grant program's purpose, target population, and other 
requirements of the program. These grants will increase the capacity of 
mental health and/or substance abuse service systems to support 
effective programs and services. Applicants who seek Federal support to 
develop or enhance their service system infrastructure in order to 
support effective substance abuse and/or mental health services should 
apply for awards under this announcement.
    SAMHSA also funds grants under three other standard grant 
announcements:
    [dec222] Services Grants provide funding to implement substance 
abuse and mental health services.
    [dec222] Best Practices Planning and Implementation Grants help 
communities and providers identify practices to effectively meet local 
needs, develop strategic plans for implementing/adapting those 
practices and pilot-test practices prior to full-scale implementation.
    [dec222] Service to Science Grants document and evaluate innovative 
practices that address critical substance abuse and mental health 
service gaps but that have not yet been formally evaluated.
    This announcement describes the general program design and provides 
application instructions for all SAMHSA Infrastructure Grants. The 
availability of funds for specific Infrastructure Grants will be 
announced in supplementary Notices of Funding Availability (NOFAs) in 
the Federal Register and at http://www.grants.gov--the Federal grant 
announcement Web page.
    SAMHSA's Infrastructure Grants are authorized under Section 509, 
516 and/or 520A of the Public Health Service Act, unless otherwise 
specified in a NOFA in the Federal Register and on http://www.grants.gov.
    Typically, funding for Infrastructure Grants will be targeted to 
specific populations and/or issue areas, which will be specified in the 
NOFAs. The NOFAs will also:
    [dec222] Specify total funding available for the first year of the 
grants and the expected size and number of awards;
    [dec222] Provide the application deadline;
    [dec222] Note any specific program requirements for each funding 
opportunity; and
    [dec222] Include any limitations or exceptions to the general 
provisions in this announcement (e.g., eligibility, allowable 
activities).
    It is, therefore, critical that you consult the NOFA as well as 
this announcement in developing your grant application.

2. Expectations

    SAMHSA's Infrastructure Grants support an array of activities to 
help the grantee build a solid foundation for delivering and sustaining 
effective substance abuse prevention and/or treatment and/or mental 
health services.
    SAMHSA recognizes that each applicant will start from a unique 
point in developing infrastructure and will serve populations/
communities with specific needs. Awardees may pursue diverse strategies 
and methods to achieve their infrastructure development and capacity 
expansion goals. Successful applicants will provide a coherent and 
detailed conceptual ``roadmap'' of the process by which they have 
assessed or intend to assess service system needs and plan/implement 
infrastructure development strategies that meet those needs. The plan 
put forward in the grant application must show the linkages among 
needs, the proposed infrastructure development strategy, and increased 
system capacity that will enhance and sustain effective programs and 
services.
2.1 Allowable Activities
    SAMHSA's Infrastructure Grants will support the following types of 
activities. Applicants must refer to the NOFA for required activities 
and exceptions to allowable activities.

[[Page 62342]]

Infrastructure Development
    Infrastructure Grant funds must be used primarily to support 
infrastructure development, including the following types of 
activities:
    [dec222] Needs assessment
    [dec222] Strategic planning
    [dec222] Financing/coordination of funding streams
    [dec222] Organizational/structural change (e.g., to create locus of 
responsibility for a specific issue/population, or to increase access 
to or efficiency of services)
    [dec222] Development of interagency coordination mechanisms
    [dec222] Provider/network development
    [dec222] Policy development to support needed service system 
improvements (e.g., rate-setting activities, establishment of standards 
of care, development/revision of credentialing, licensure, or 
accreditation requirements)
    [dec222] Quality improvement efforts
    [dec222] Performance measurement development
    [dec222] Workforce development (e.g., training, support for 
licensure, credentialing, or accreditation)
    [dec222] Data infrastructure/MIS development
    Implementation Pilots (maximum 15 percent of total grant award)
    Depending on the scope of the project (see description of award 
categories below), up to 15 percent of the total grant award may be 
used for ``implementation pilots'' to test the effectiveness of the 
infrastructure changes on services delivery. Funds may not be used to 
provide direct services except in the context of an implementation 
pilot.
2.2 Data and Performance Measurement
    The Government Performance and Results Act of 1993 (Pub. L.103-62, 
or ``GPRA'') requires all Federal agencies to set program performance 
targets and report annually on the degree to which the previous year's 
targets were met.
    Agencies are expected to evaluate their programs regularly and to 
use results of these evaluations to explain their successes and 
failures and justify requests for funding.
    To meet the GPRA requirements, SAMHSA must collect performance data 
(i.e., ``GPRA data'') from grantees. Grantees are required to report 
these GPRA data to SAMHSA on a timely basis.
    Specifically, grantees will be required to provide data on a set of 
required measures, as specified in the NOFA. The data collection tools 
to be used for reporting the required data will be provided in the 
application kits distributed by SAMHSA's clearinghouses and posted on 
SAMHSA's website along with each NOFA. In your application, you must 
demonstrate your ability to collect and report on these measures, and 
you may be required to provide some baseline data.
    The terms and conditions of the grant award also will specify the 
data to be submitted and the schedule for submission. Grantees will be 
required to adhere to these terms and conditions of award.
    Applicants should be aware that SAMHSA is working to develop a set 
of required core performance measures for each of SAMHSA's standard 
grants (i.e., Services Grants, Infrastructure Grants, Best Practices 
Planning and Implementation Grants, and Service-to-Science Grants). As 
this effort proceeds, some of the data collection and reporting 
requirements included in SAMHSA's NOFAs may change. All grantees will 
be expected to comply with any changes in data collection requirements 
that occur during the grantee's project period.
2.3 Grantee Meetings
    You must plan to send a minimum of two people (including the 
Project Director) to at least one joint grantee meeting in each year of 
the grant, and you must include funding for this travel in your budget. 
At these meetings, grantees will present the results of their projects 
and Federal staff will provide technical assistance. Each meeting will 
be 3 days. These meetings will usually be held in the Washington, DC, 
area and attendance is mandatory.
2.4 Evaluation
    Grantees must evaluate their projects, and applicants are required 
to describe their evaluation plans in their applications. The 
evaluation should be designed to provide regular feedback to the 
project to improve services. The evaluation must include both process 
and outcome components. Process and outcome evaluations must measure 
change relating to project goals and objectives over time compared to 
baseline information. Control or comparison groups are not required. 
You must consider your evaluation plan when preparing the project 
budget.
    Process components should address issues such as:
    [dec222] How closely did implementation match the plan?
    [dec222] What types of deviation from the plan occurred?
    [dec222] What led to the deviations?
    [dec222] What impact did the deviations have on the intervention 
and evaluation?
    [dec222] Who provided (program, staff) what services (modality, 
type, intensity, duration), to whom (individual characteristics), in 
what context (system, community), and at what cost
    (facilities, personnel, dollars)?
    Outcome components should address issues such as:
    [dec222] What was the effect of infrastructure development on 
service capacity and other system outcomes?
    [dec222] What program/contextual factors were associated with 
outcomes?
    [dec222] What individual factors were associated with outcomes?
    [dec222] How durable were the effects?
    If the project includes an implementation pilot involving services 
delivery, the evaluation should include client and system outcomes.
    No more than 20% of the total grant award may be used for 
evaluation and data collection. The evaluation and data collection may 
be considered ``Infrastructure'' and/or ``Implementation Pilots'' 
expenditures, depending on their purpose.

II. Award Information

1. Award Amount

    The NOFA will specify the expected award amount for each funding 
opportunity. Regardless of the amount specified in the NOFA, the actual 
award amount will depend on the availability of funds.
    Two types of Infrastructure Grants will be made:
    Category 1--Small Infrastructure Grants. Category 1 grants will be 
limited in scope as specified in the NOFA. For example, allowable 
activities might be limited to workforce development, data 
infrastructure, or strategic planning. Implementation pilots are not 
allowed in Category 1 awards. Category 1 awards are expected to be for 
a period of 1-3 years in amounts ranging from $250,000-$500,000 per 
year.
    Category 2--Comprehensive Infrastructure Grants. The scope of the 
Category 2 grants will be much larger. While applicants are not 
required to include all of the allowable activities in their proposed 
projects, the proposed projects must encompass multiple domains (e.g., 
needs assessment, strategic and financial planning, organizational/
structural change, and network development). Category 2 awards may use 
a maximum of 15 percent of the total grant award for implementation 
pilots. Category 2 awards are expected to be for a period of 3-5 years 
in amounts ranging from $750,000-$3 million per year.

[[Page 62343]]

    Proposed budgets cannot exceed the allowable amount as specified in 
the NOFA in any year of the proposed project. Annual continuation 
awards will depend on the availability of funds, grantee progress in 
meeting project goals and objectives, and timely submission of required 
data and reports.

2. Funding Mechanism

    The NOFA will indicate whether awards for each funding opportunity 
will be made as grants or cooperative agreements (see the Glossary in 
Appendix B for further explanation of these funding mechanisms). For 
cooperative agreements, the NOFA will describe the nature of Federal 
involvement in project performance and specify roles and 
responsibilities of grantees and Federal staff.

III. Eligibility Information

1. Eligible Applicants

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

2. Cost Sharing

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

3. Other

    Applications must comply with the following requirements, or they 
will be screened out and will not be reviewed: use of the PHS 5161-1 
application; application submission requirements in Section IV-3 of 
this document; and formatting requirements provided in Section IV-2.3 
of this document. Applicants should be aware that the NOFA may include 
additional requirements that, if not met, will result in applications 
being screened out and returned without review. These requirements will 
be specified in Section III-3 of the NOFA.
    You also must comply with any additional requirements specified in 
the NOFA, such as the required signature of certain officials on the 
face page of the application and/or required memoranda of understanding 
with certain signatories.

IV. Application and Submission Information

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

1. Address to Request Application Package

    You may request a complete application kit by calling one of 
SAMHSA's national clearinghouses:
    [dec222] For substance abuse prevention or treatment grants, call 
the National Clearinghouse for Alcohol and Drug Information (NCADI) at 
1-800-729-6686.
    [dec222] For mental health grants, call the National Mental Health 
Information Center at 1-800-789-CMHS (2647).
    You also may download the required documents from the SAMHSA Web 
site at http://www.samhsa.gov. Click on ``Grant Opportunities.''
    Additional materials available on this Web site include:
    [dec222] A technical assistance manual for potential applicants;
    [dec222] Standard terms and conditions for SAMHSA grants;
    [dec222] Guidelines and policies that relate to SAMHSA grants 
(e.g., guidelines on cultural competence, consumer and family 
participation, and evaluation); and
    [dec222] Enhanced instructions for completing the PHS 5161-1 
application.

2. Content and Form of Application Submission

2.1 Application Kit
    SAMHSA application kits include the following documents:
    [dec222] PHS 5161-1 (revised July 2000)--Includes the face page, 
budget forms, assurances, certification, and checklist. You must use 
the PHS 5161-1 unless otherwise specified in the NOFA. Applications 
that are not submitted on the required application form will be 
screened out and will not be reviewed.
    [dec222] Program Announcement (PA)--Includes instructions for the 
grant application. This document is the PA.
    [dec222] Notice of Funding Availability (NOFA)--Provides specific 
information about availability of funds, as well as any exceptions or 
limitations to provisions in the PA. The NOFAs will be published in the 
Federal Register, as well as on the Federal grants Web site (http://www.grants.gov). It is very important that you read the entire NOFA 
before beginning to write your application.
    You must use all of the above documents in completing your 
application.
2.2 Required Application Components
    To ensure equitable treatment of all applications, applications 
must be complete. In order for your application to be complete, it must 
include the required ten application components (Face Page, Abstract, 
Table of Contents, Budget Form, Project Narrative and Supporting 
Documentation, Appendices, Assurances, Certifications, Disclosure of 
Lobbying Activities, and Checklist).
    [squ] Face Page--Use Standard Form (SF) 424, which is part of the 
PHS 5161-1. [Note: Beginning October 1, 2003, applicants will need to 
provide a Dun and Bradstreet (DUNS) number to apply for a grant or 
cooperative agreement from the Federal Government. SAMHSA applicants 
will be required to provide their DUNS number on the face page of the 
application. Obtaining a DUNS number is easy and there is no charge. To 
obtain a DUNS number, access the Dun and Bradstreet Web site at http://www.dunandbradstreet.com or call 1-866-705-5711. To expedite the 
process, let Dun and Bradstreet know that you are a public/private 
nonprofit organization getting ready to submit a Federal grant 
application.]
    [squ] Abstract--Your total abstract should not be longer than 35 
lines. In the first five lines or less of your abstract, write a 
summary of your project that can be used, if your project is funded, in 
publications, reporting to Congress, or press releases.
    [squ] Table of Contents--Include page numbers for each of the major 
sections of your application and for each appendix.
    [squ] Budget Form--Use SF 424A, which is part of the 5161-1. Fill 
out Sections B, C, and E of the SF 424A. A sample budget and 
justification is included in Appendix D of this Program Announcement.
    [squ] 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. (For example, 
remember that if your Project Narrative starts on page 5 and ends on 
page 30, it is 26 pages long, not 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.

[[Page 62344]]

There are no page limits for these sections, except for Section G, 
Biographical Sketches/Job Descriptions.
    [dec222] Section E--Literature Citations. This section must contain 
complete citations, including titles and all authors, for any 
literature you cite in your application.
    [dec222] 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. If you are proposing a 
services implementation pilot (allowed only for Category 2 applicants), 
show that no more than 15% of the total grant award will be used for 
the pilot.
    [dec222] Section G--Biographical Sketches and Job Descriptions.
    [cir] Include a biographical sketch for the Project Director and 
other key positions. Each sketch should be 2 pages or less. If the 
person has not been hired, include a position description and/or letter 
of commitment with a current biographical sketch from the individual.
    [cir] Include job descriptions for key personnel. Job descriptions 
should be no longer than 1 page each.
    [cir] Sample sketches and job descriptions are listed on page 22, 
Item 6 in the Program Narrative section of the PHS 5161-1.
    [dec222] 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.
    [squ] Appendices 1 through 5--Use only the appendices listed below. 
If your application includes any appendices not required in the grant 
announcement or NOFA, they will be disregarded. Do not use more than a 
total of 30 pages for Appendices 1, 3 and 4 combined. There are no page 
limitations for Appendices 2 and 5. Do not use appendices to extend or 
replace any of the sections of the Project Narrative unless 
specifically required in the NOFA. Reviewers will not consider them if 
you do.
    [dec222] Appendix 1: Letters of Support
    [dec222] Appendix 2: Data Collection Instruments/Interview 
Protocols
    [dec222] Appendix 3: Sample Consent Forms
    [dec222] Appendix 4: Letter to the SSA (if applicable; see Section 
IV-4 of this document)
    [dec222] Appendix 5: A copy of the State or County Strategic Plan, 
a State or county needs assessment, or a letter from the State or 
county indicating that the proposed project addresses a State-or 
county-identified priority.
    [squ] Assurances--Non-Construction Programs. Use Standard Form 424B 
found in PHS 5161-1. Some applicants will be required to complete the 
Assurance of Compliance with SAMHSA Charitable Choice Statutes and 
Regulations Form SMA 170. If this assurance applies to a specific 
funding opportunity, it will be posted on SAMHSA's Web site with the 
NOFA and provided in the application kits available at SAMHSA's 
clearinghouse (NCADI).
    [squ] Certifications--Use the ``Certifications'' forms found in PHS 
5161-1.
    [squ] Disclosure of Lobbying Activities--Use Standard Form LLL 
found in the PHS 5161-1. Federal law prohibits the use of appropriated 
funds for publicity or propaganda purposes, or for the preparation, 
distribution, or use of the information designed to support or defeat 
legislation pending before the Congress or State legislatures. This 
includes ``grass roots'' lobbying, which consists of appeals to members 
of the public suggesting that they contact their elected 
representatives to indicate their support for or opposition to pending 
legislation or to urge those representatives to vote in a particular 
way.
    [squ] Checklist--Use the Checklist found in PHS 5161-1. The 
Checklist ensures that you have obtained the proper signatures, 
assurances and certifications and is the last page of your application.
2.3 Application Formatting Requirements
    Applicants also must comply with the following basic application 
requirements. Applications that do not comply with these requirements 
will be screened out and will not be reviewed.
    [squ] Information provided must be sufficient for review.
    [squ] Text must be legible.
    [squ] 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.)
    [squ] Text in the Project Narrative cannot exceed 6 lines per 
vertical inch.
    [squ] Paper must be white paper and 8.5 inches by 11.0 inches in 
size.
    [squ] To ensure equity among applications, the amount of space 
allowed for the Project Narrative cannot be exceeded.
    [squ] 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.
    [squ] 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.
    [squ] 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.
    To facilitate review of your application, follow these additional 
guidelines. Failure to adhere to the following guidelines will not, in 
itself, result in your application being screened out and returned 
without review. However, following these guidelines will help reviewers 
to consider your application.
    [squ] Pages should be typed single-spaced in black ink, with one 
column per page. Pages should not have printing on both sides.
    [squ] Please number pages consecutively from beginning to end so 
that information can be located easily during review of the 
application. The cover page should be page 1, the abstract page should 
be page 2, and the table of contents page should be page 3. Appendices 
should be labeled and separated from the Project Narrative and budget 
section, and the pages should be numbered to continue the sequence.
    [squ] The page limit of a total of 30 pages for Appendices 1, 3 and 
4 combined should not be exceeded.
    [squ] Send the original application and two copies to the mailing 
address in Section IV-6.1 of this document. Please do not use staples, 
paper clips, and fasteners. Nothing should be attached, stapled, 
folded, or pasted. Do not use heavy or lightweight paper or any 
material that cannot be copied using automatic copying machines. Odd-
sized and oversized attachments such as posters will not be copied or 
sent to reviewers. Do not include videotapes, audiotapes, or CD-ROMs.
2.4 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations
    Applicants must describe procedures relating to Confidentiality, 
Participant

[[Page 62345]]

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
    [dec222] 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.
    [dec222] Describe the procedures you will follow to minimize or 
protect participants against potential risks, including risks to 
confidentiality.
    [dec222] Identify plans to provide guidance and assistance in the 
event there are adverse effects to participants.
    [dec222] 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
    [dec222] 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.
    [dec222] 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.
    [dec222] Explain the reasons for including or excluding 
participants.
    [dec222] Explain how you will recruit and select participants. 
Identify who will select participants.
3. Absence of Coercion
    [dec222] 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.
    [dec222] If you plan to compensate participants, state how 
participants will be awarded incentives (e.g., money, gifts, etc.).
    [dec222] 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
    [dec222] 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.
    [dec222] 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.
    [dec222] 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
    [dec222] Explain how you will ensure privacy and confidentiality. 
Include who will collect data and how it will be collected.
    [dec222] Describe:
    [cir] How you will use data collection instruments.
    [cir] Where data will be stored.
    [cir] Who will or will not have access to information.
    [cir] How the identity of participants will be kept private, for 
example, through the use of a coding system on data records, limiting 
access to records, or storing identifiers separately from data.


    Note: If applicable, grantees must agree to maintain the 
confidentiality of alcohol and drug abuse client records according 
to the provisions of Title 42 of the Code of Federal Regulations, 
Part 2.

6. Adequate Consent Procedures
    [dec222] 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.
    [dec222] State:
    [cir] Whether or not their participation is voluntary.
    [cir] Their right to leave the project at any time without 
problems.
    [cir] Possible risks from participation in the project.
    [cir] Plans to protect clients from these risks.
    [dec222] 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.


    [dec222] 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?
    [dec222] 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.


    [dec222] 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?
    [dec222] 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
    SAMHSA expects that most grantees funded under Infrastructure Grant

[[Page 62346]]

programs will not be required to comply with the Protection of Human 
Subjects Regulations (45 CFR part 46). However, in some instances, 
special evaluation and data collection requirements for a particular 
funding opportunity may necessitate that all grantees comply with these 
regulations. In such instances, the NOFA will explicitly state that 
grantees must comply with the regulations.
    If the NOFA does not explicitly state that grantees must comply 
with the Protection of Human Subjects Regulations (45 CFR part 46), 
grantees will be required to comply with the regulations only if the 
project-specific evaluation design proposed by the grantee requires 
compliance with the regulations.
    Applicants whose projects must comply with the Protection of Human 
Subjects Regulations must describe the process for obtaining 
Institutional Review Board (IRB) approval fully in their applications. 
While IRB approval is not required at the time of grant award, these 
applicants will be required, as a condition of award, to provide the 
documentation that an Assurance of Compliance is on file with the 
Office for Human Research Protections (OHRP) and that IRB approval has 
been received prior to enrolling any clients in the proposed project.
    General information about Protection of Human Subjects Regulations 
can be obtained on the web at http://hhs.gov/ohrp. You may also contact 
OHRP by e-mail ([email protected]) or by phone (301-496-7005). 
SAMHSA-specific questions related to Protection of Human Subjects 
Regulations should be directed to the program contact listed in Section 
VII of the NOFA.

3. Submission Dates and Times

    Deadlines for submission of applications for specific funding 
opportunities will be published in the NOFAs in the Federal Register 
and posted on the Federal grants Web site (www.grants.gov).
    Hand carried applications will not be accepted. Applications may be 
shipped using only DHL, Falcon Carrier, Federal Express (FedEx), United 
Parcel Service (UPS), or the United States Postal Service (USPS).
    Your application must be received by the application deadline, or 
you must have proof of its timely submission as specified below.
     For packages submitted via DHL, Falcon Carrier, Federal 
Express (FedEx), or United Parcel Service (UPS), timely submission 
shall be evidenced by a delivery service receipt indicating the 
application was delivered to a carrier service at least 24 hours prior 
to the application deadline.
     For packages submitted via the United States Postal 
Service (USPS), proof of timely submission shall be a postmark not 
later than 1 week prior to the application deadline, and the following 
upon request by SAMHSA:
    [cir] Proof of mailing using USPS Form 3817 (Certificate of 
Mailing), or
    [cir] A receipt from the Post Office containing the post office 
name, location, and date and time of mailing.
    You will be notified by postal mail that your application has been 
received.
    Applications not meeting the timely submission requirements above 
will not be considered for review. Please remember that mail sent to 
Federal facilities undergoes a security screening prior to delivery. 
Allow sufficient time for your package to be delivered.
    If an application is mailed to a location or office (including room 
number) that is not designated for receipt of the application, and that 
results in the designated office not receiving your application in 
accordance with the requirements for timely submission, it will cause 
the application to be considered late and ineligible for review.
    SAMHSA will not accept or consider any applications sent by 
facsimile.
    SAMHSA is collaborating with http://www.grants.gov to accept 
electronic submission of applications only for select funding 
opportunities. Unless specifically indicated in the NOFA, electronic 
submission of applications will not be accepted.

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.
    [dec222] Check the list to determine whether your State 
participates in this program. You do not need to do this if you are a 
federally recognized Indian tribal government.
    [dec222] 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.
    [dec222] For proposed projects serving more than one State, you are 
advised to contact the SPOC of each affiliated State.
    [dec222] The SPOC should send any State review process 
recommendations to the following address within 60 days of the 
application deadline:
    For United States Postal Service: Crystal Saunders, Director of 
Grant Review, Office of Program Services, Substance Abuse and Mental 
Health Services Administration, Room 3-1044, 1 Choke Cherry Road, 
Rockville, MD 20857, ATTN: SPOC--Funding Announcement No. [fill in 
pertinent funding opportunity number from NOFA].
    For other delivery service: Crystal Saunders, Director of Grant 
Review, Office of Program Services, Substance Abuse and Mental Health 
Services Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, 
MD 20850, ATTN: SPOC--Funding Announcement No. [fill in pertinent 
funding opportunity number from NOFA].
    In addition, community-based, non-governmental service providers 
who are not transmitting their applications through the State must 
submit a Public Health System Impact Statement (PHSIS) (approved by OMB 
under control no. 0920-0428; see burden statement below) to the head(s) 
of appropriate State or local health agencies in the area(s) to be 
affected no later than the pertinent receipt date for applications. The 
PHSIS is intended to keep State and local health officials informed of 
proposed health services grant applications submitted by community-
based, non-governmental organizations within their jurisdictions. State 
and local governments and Indian tribal government applicants are not 
subject to these requirements.
    The PHSIS consists of the following information:
    [dec222] A copy of the face page of the application (SF 424); and
    [dec222] A summary of the project, no longer than one page in 
length, that provides: (1) A description of the population to be 
served, (2) a summary of the services to be provided, and (3) a 
description of the coordination planned with appropriate State or local 
health agencies.
    For SAMHSA grants, the appropriate State agencies are the Single 
State Agencies (SSAs) for substance abuse and mental health. A listing 
of the SSAs can be found on SAMHSA's Web site at http://www.samhsa.gov. 
If the proposed project falls within the jurisdiction of more than one 
State, you should notify all representative SSAs.

[[Page 62347]]

    Applicants who are not the SSA must include a copy of a letter 
transmitting the PHSIS to the SSA in Appendix 4, ``Letter to the SSA.'' 
The letter must notify the State that, if it wishes to comment on the 
proposal, its comments should be sent not later than 60 days after the 
application deadline to:
    For United States Postal Service: Crystal Saunders, Director of 
Grant Review, Office of Program Services, Substance Abuse and Mental 
Health Services Administration, Room 3-1044, 1 Choke Cherry Road, 
Rockville, MD 20850, ATTN: SSA--Funding Announcement No. [fill in 
pertinent funding opportunity number from NOFA].
    For other delivery service: Crystal Saunders, Director of Grant 
Review, Office of Program Services, Substance Abuse and Mental Health 
Services Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, 
MD 20850, ATTN: SSA--Funding Announcement No. [fill in pertinent 
funding opportunity number from NOFA].
    In addition:
    [dec222] Applicants may request that the SSA send them a copy of 
any State comments.
    [dec222] The applicant must notify the SSA within 30 days of 
receipt of an award.

[Public reporting burden for the Public Health System Reporting 
Requirement is estimated to average 10 minutes per response, including 
the time for copying the face page of SF 424 and the abstract and 
preparing the letter for mailing. An agency may not conduct or sponsor, 
and a person is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number. The OMB 
control number for this project is 0920-0428. Send comments regarding 
this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24, 
Atlanta, GA 30333, ATTN: PRA (0920-0428).]

5. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
    [dec222] Institutions of Higher Education: OMB Circular A-21
    [dec222] State and Local Governments: OMB Circular A-87
    [dec222] Nonprofit Organizations: OMB Circular A-122
    [dec222] Appendix E Hospitals: 45 CFR Part 74
    In addition, SAMHSA Infrastructure Grant recipients must comply 
with the following funding restrictions:
    [dec222] Infrastructure grant funds must be used for purposes 
supported by the program.
    [dec222] If requested project funds exceed $750,000, a maximum of 
15% of grant award funds may be used for implementation pilots. Direct 
services may be funded only in the context of an implementation pilot.
    [dec222] No more than 20% of the grant award may be used for 
evaluation and data collection expenses. These expenses may be 
considered infrastructure or implementation pilot expenses, depending 
on the nature of the evaluation and data collection.
    [dec222] Infrastructure 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.
    [dec222] SAMHSA will not accept a ``research'' indirect cost rate. 
The grantee must use the ``other sponsored program rate'' or the lowest 
rate available.

6. Other Submission Requirements

6.1 Where to Send Applications
    Send applications to the following address:
    For United States Postal Service: Crystal Saunders, Director of 
Grant Review, Office of Program Services, Substance Abuse and Mental 
Health Services Administration, Room 3-1044, 1 Choke Cherry Road, 
Rockville, MD 20850.
    For other delivery service: Crystal Saunders, Director of Grant 
Review, Office of Program Services, Substance Abuse and Mental Health 
Services Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, 
MD 20850.
    Do not send applications to other agency contacts, as this could 
delay receipt. Be sure to include the funding announcement number from 
the NOFA in item number 10 on the face page of the application. If you 
require a phone number for delivery, you may use (240) 276-1199.

6.2 How To Send Applications

    Mail or deliver an original application and 2 copies (including 
appendices) to the mailing address provided above, according to the 
instructions in Section IV-3. The original and copies must not be 
bound. Do not use staples, paper clips, or fasteners. Nothing should be 
attached, stapled, folded, or pasted.
    Hand carried applications will not be accepted. Applications may be 
shipped using only DHL, Falcon Carrier, Federal Express (FedEx), United 
Parcel Service (UPS), or the United States Postal Service (USPS).
    SAMHSA will not accept or consider any applications sent by 
facsimile.
    Unless specifically indicated in the NOFA, electronic submission of 
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.
    [dec222] In developing the Project Narrative section of your 
application, use these instructions along with any additional 
instructions found in the NOFA. These are to be used instead of the 
``Program Narrative'' instructions found in the PHS 5161-1.
    [dec222] You must use the four sections/headings listed below in 
developing your Project Narrative. Be sure to place the required 
information in the correct section, or it will not be considered. Your 
application will be scored according to how well you address the 
requirements for each section.
    [dec222] 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.''
    [dec222] 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.
    [dec222] 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)
    [dec222] Describe the target population (see Glossary) and the 
proposed catchment area (see Glossary), and justify the selection of 
both. Be sure to check the NOFA for any specific requirements regarding 
the target population and/or catchment area. Include the numbers to be 
served and demographic information.

[[Page 62348]]

Discuss the target population's language, beliefs, norms and values, as 
well as socioeconomic factors that must be considered in delivering 
programs to this population.
    [dec222] Document the need for an enhanced infrastructure to 
increase the capacity to implement, sustain, and improve effective 
substance abuse prevention and/or treatment and/or mental health 
services for the proposed target population in the proposed catchment 
area. 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 Household Survey on Drug Abuse and Health 
or from National Center for Health Statistics/Centers for Disease 
Control reports). For data sources that are not well known, provide 
sufficient information on how the data were collected so reviewers can 
assess the reliability and validity of the data.
    [dec222] Describe the service gaps, barriers, and other problems 
related to the need for infrastructure development. Describe the 
stakeholders (see Glossary) and resources in the target area that can 
help implement the needed infrastructure development.
    [dec222] Non-tribal applicants must show that identified needs are 
consistent with priorities of the State or county that has primary 
responsibility for the service delivery system. Include, in Appendix 5, 
a copy of the State or County Strategic Plan, a State or county needs 
assessment, or a letter from the State or county indicating that the 
proposed project addresses a State- or county-identified priority. 
Tribal applicants must provide similar documentation relating to tribal 
priorities.
    [dec222] Check the NOFA for any additional requirements.
Section B: Proposed Approach (35 Points)
    [dec222] Clearly state the purpose of the proposed project, with 
goals and objectives. Describe how achievement of goals will address 
the overall program purpose specified in the NOFA and increase system 
capacity to support effective substance abuse and/or mental health 
services.
    [dec222] Describe the proposed project. Address any and all 
expectations/required activities specified in the NOFA. Provide 
evidence that the proposed activities meet the infrastructure needs and 
show how your proposed infrastructure development strategy will meet 
the goals and objectives.
    [dec222] Provide a logic model (see Glossary) that demonstrates the 
linkage between the identified need, the proposed approach, and 
outcomes.
    [dec222] If you plan to include an advisory body in your project, 
describe its membership, roles and functions, and frequency of 
meetings.
    [dec222] Describe any other organizations that will participate 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.
    [dec222] Describe how the proposed project will address issues of 
age, race/ethnicity, culture, language, sexual orientation, disability, 
literacy, and gender in the target population.
    [dec222] 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.
    [dec222] Describe the potential barriers to successful conduct of 
the proposed project and how you will overcome them.
    [dec222] Describe how your activities will improve substance abuse 
prevention and/or treatment and/or mental health services.
    [dec222] Provide a plan to secure resources to sustain the proposed 
infrastructure enhancements when Federal funding ends.
    [dec222] Check the NOFA for any additional requirements.
Section C: Staff, Management, and Relevant Experience (25 Points)
    [dec222] Provide a realistic time line for the project (chart or 
graph) showing key activities, milestones, and responsible staff. 
[Note: The time line should be part of the Project Narrative. It should 
not be placed in an appendix.]
    [dec222] Discuss the capability and experience of the applicant 
organization and other participating organizations with similar 
projects and populations, including experience in providing culturally 
appropriate/competent services.
    [dec222] Provide a list of staff who will participate in the 
project, showing the role of each and their level of effort and 
qualifications. Include the Project Director and other key personnel, 
such as the evaluator and treatment/prevention personnel.
    [dec222] Describe the racial/ethnic characteristics of key staff 
and indicate if any are members of the target population/community. If 
the target population is multi-linguistic, indicate if the staffing 
pattern includes bilingual and bicultural individuals.
    [dec222] Describe the resources available for the proposed project 
(e.g., facilities, equipment). If an implementation pilot is proposed 
that includes direct services, provide evidence that services will be 
provided in a location that is adequate, accessible, compliant with the 
Americans with Disabilities Act (ADA), and amenable to the target 
population.
    [dec222] Check the NOFA for any additional requirements.
Section D: Evaluation and Data (30 Points)
    [dec222] Describe the process and outcome evaluation. Include 
specific performance measures and target outcomes related to the goals 
and objectives identified for the project in Section B of your Project 
Narrative.
    [dec222] Document your ability to collect and report on the 
required performance measures as specified in the NOFA, including data 
required by SAMHSA to meet GPRA requirements. Specify and justify any 
additional measures you plan to use for your grant project.
    [dec222] Describe plans for data collection, management, analysis, 
interpretation and reporting. Describe the existing approach to the 
collection of data, along with any necessary modifications. Be sure to 
include data collection instruments/interview protocols in Appendix 2.
    [dec222] Discuss the reliability and validity of evaluation methods 
and instruments(s) in terms of the gender/age/culture of the target 
population.
    [dec222] Describe how collection, analysis and reporting of 
performance data will be integrated into the evaluation activities.
    [dec222] Check the NOFA for any additional requirements.

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

2. Review and Selection Process

    SAMHSA applications are peer-reviewed according to the review 
criteria listed above. For those programs where the individual award is 
over $100,000, applications must also be reviewed by the appropriate 
National Advisory Council.
    Decisions to fund a grant are based on:
    [dec222] The strengths and weaknesses of the application as 
identified by peer reviewers and, when appropriate, approved by the 
appropriate National Advisory Council;
    [dec222] Availability of funds;

[[Page 62349]]

    [dec222] Equitable distribution of awards in terms of geography 
(including urban, rural and remote settings) and balance among target 
populations and program size; and
    [dec222] 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. If an evaluation criterion to be 
used for this purpose has the same number of possible points as another 
evaluation criterion, the criterion listed first in Section V-1 will be 
used first.

VI. Award Administration Information

1. Award Notices

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

2. Administrative and National Policy Requirements

2.1 General Requirements
    [dec222] 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/generalinfo/useful_info.aspx.
    [dec222] 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:
    [ctrcir] Actions required to be in compliance with human subjects 
requirements;
    [ctrcir] Requirements relating to additional data collection and 
reporting;
    [ctrcir] Requirements relating to participation in a cross-site 
evaluation; or
    [ctrcir] Requirements to address problems identified in review of 
the application.
    [dec222] 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.
    [dec222] 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
    [dec222] Grantees must provide annual and final progress reports. 
The final progress report must summarize information from the annual 
reports, describe the accomplishments of the project, and describe next 
steps for implementing plans developed during the grant period.
    [dec222] Grantees must provide annual and final financial status 
reports. These reports may be included as separate sections of annual 
and final progress reports or can be separate documents. Because SAMHSA 
is extremely interested in ensuring that infrastructure development and 
enhancement efforts can be sustained, your financial reports must 
explain plans to ensure the sustainability (see Glossary) of efforts 
initiated under this grant. Initial plans for sustainability should be 
described in year 1 of the grant. In each subsequent year, you should 
describe the status of the project, successes achieved and obstacles 
encountered in that year.
    [dec222] SAMHSA will provide guidelines and requirements for these 
reports to grantees at the time of award and at the initial grantee 
orientation meeting after award. SAMHSA staff will use the information 
contained in the reports to determine the grantee's progress toward 
meeting its goals.
3.2 Government Performance and Results Act
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. To 
meet the GPRA requirements, SAMHSA must collect performance data (i.e., 
``GPRA data'') from grantees. These requirements will be specified in 
the NOFA for each funding opportunity.
3.3 Publications
    If you are funded under this grant program, you are required to 
notify the Government Project Officer (GPO) and SAMHSA's Publications 
Clearance Officer (240-276-2130) of any materials based on the SAMHSA-
funded project that are accepted for publication.
    In addition, SAMHSA requests that grantees:
    [dec222] Provide the GPO and SAMHSA Publications Clearance Officer 
with advance copies of publications.
    [dec222] Include acknowledgment of the SAMHSA grant program as the 
source of funding for the project.
    [dec222] Include a disclaimer stating that the views and opinions 
contained in the publication do not necessarily reflect those of SAMHSA 
or the U.S. Department of Health and Human Services, and should not be 
construed as such.
    SAMHSA reserves the right to issue a press release about any 
publication deemed by SAMHSA to contain information of program or 
policy significance to the substance abuse treatment/substance abuse 
prevention/mental health services community.

VII. Agency Contacts

    The NOFAs provide contact information for questions about program 
issues.
    For questions on grants management issues, contact: Kimberly 
Pendleton, Office of Program Services, Division of Grants Management, 
Substance Abuse and Mental Health Services Administration, 1 Choke 
Cherry Road, Room 7-1097, Rockville, Maryland 20857, (240) 276-1421, 
[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.

[[Page 62350]]

However, this goal must be balanced against SAMHSA's obligation to 
ensure equitable treatment of applications. For this reason, SAMHSA 
has established certain formatting requirements for its 
applications. If you do not adhere to these requirements, your 
application will be screened out and returned to you without review. 
In addition to these formatting requirements, programmatic 
requirements (e.g., relating to eligibility) may be stated in the 
specific NOFA and in Section III of the standard grant announcement. 
Please check the entire NOFA and Section III of the standard grant 
announcement before preparing your application.
    [ballot] Use the PHS 5161-1 application.
    [ballot] Applications must be received by the application 
deadline or have proof of timely submission, as detailed in Section 
IV-3 of the grant announcement.
    [ballot] Information provided must be sufficient for review.
    [ballot] 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.
    [ballot] Paper must be white paper and 8.5 inches by 11.0 inches 
in size.
    [ballot] To ensure equity among applications, the amount of 
space allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by using all 
margins (left, right, top, bottom) of at least one inch each, and 
adhering to the page limit for the Project Narrative stated in the 
specific funding announcement.
     Should an application not conform to these margin or 
page limits, SAMHSA will use the following method to determine 
compliance: The total area of the Project Narrative (excluding 
margins, but including charts, tables, graphs and footnotes) cannot 
exceed 58.5 square inches multiplied by the page limit. This number 
represents the full page less margins, multiplied by the total 
number of allowed pages.
     Space will be measured on the physical page. Space left 
blank within the Project Narrative (excluding margins) is considered 
part of the Project Narrative, in determining compliance.
    To facilitate review of your application, follow these 
additional guidelines. Failure to adhere to the following guidelines 
will not, in itself, result in your application being screened out 
and returned without review. However, the information provided in 
your application must be sufficient for review. Following these 
guidelines will help ensure your application is complete, and will 
help reviewers to consider your application.
    [ballot] The 10 application components required for SAMHSA 
applications should be included. These are:
     Face Page (Standard Form 424, which is in PHS 5161-1)
     Abstract
     Table of Contents
     Budget Form (Standard Form 424A, which is in PHS 5161-
1)
     Project Narrative and Supporting Documentation
     Appendices
     Assurances (Standard Form 424B, which is in PHS 5161-1)
     Certifications (a form within PHS 5161-1)
     Disclosure of Lobbying Activities (Standard Form LLL, 
which is in PHS 5161-1)
     Checklist (a form in PHS 5161-1)
    [ballot] 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 FY2005 standard funding announcements.
     Budgetary limitations as specified in Section I, II, 
and IV-5 of the FY2005 standard funding announcements.
     Documentation of nonprofit status as required in the 
PHS 5161-1.
    [ballot] Pages should be typed single-spaced in black ink, with 
one column per page. Pages should not have printing on both sides.
    [ballot] Please 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.
    [ballot] The page limits for Appendices stated in the specific 
funding announcement should not be exceeded.
    [ballot] Send the original application and two copies to the 
mailing address in the funding announcement. Please do not use 
staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be 
copied or sent to reviewers. Do not include videotapes, audiotapes, 
or CD-ROMs.

Appendix B--Glossary

    Best Practice: Best practices are practices that incorporate the 
best objective information currently available regarding 
effectiveness and acceptability.
    Catchment Area: A catchment area is the geographic area from 
which the target population to be served by a program will be drawn.
    Cooperative Agreement: A cooperative agreement is a form of 
Federal grant. Cooperative agreements are distinguished from other 
grants in that, under a cooperative agreement, substantial 
involvement is anticipated between the awarding office and the 
recipient during performance of the funded activity. This 
involvement may include collaboration, participation, or 
intervention in the activity. HHS awarding offices use grants or 
cooperative agreements (rather than contracts) when the principal 
purpose of the transaction is the transfer of money, property, 
services, or anything of value to accomplish a public purpose of 
support or stimulation authorized by Federal statute. The primary 
beneficiary under a grant or cooperative agreement is the public, as 
opposed to the Federal Government.
    Cost Sharing or Matching: Cost sharing refers to the value of 
allowable non-Federal contributions toward the allowable costs of a 
Federal grant project or program. Such contributions may be cash or 
in-kind contributions. For SAMHSA grants, cost sharing or matching 
is not required, and applications will not be screened out on the 
basis of cost sharing. However, applicants often include cash or in-
kind contributions in their proposals as evidence of commitment to 
the proposed project. This is allowed, and this information may be 
considered by reviewers in evaluating the quality of the 
application.
    Fidelity: Fidelity is the degree to which a specific 
implementation of a program or practice resembles, adheres to, or is 
faithful to the evidence-based model on which it is based. Fidelity 
is formally assessed using rating scales of the major elements of 
the evidence-based model. A toolkit on how to develop and use 
fidelity instruments is available from the SAMHSA-funded Evaluation 
Technical Assistance Center at http://tecathsri.org or by calling 
(617) 876-0426.
    Grant: A grant is the funding mechanism used by the Federal 
Government when the principal purpose of the transaction is the 
transfer of money, property, services, or anything of value to 
accomplish a public purpose of support or stimulation authorized by 
Federal statute. The primary beneficiary under a grant or 
cooperative agreement is the public, as opposed to the Federal 
Government.
    In-Kind Contribution: In-kind contributions toward a grant 
project are non-cash contributions (e.g., facilities, space, 
services) that are derived from non-Federal sources, such as State 
or sub-State non-Federal revenues, foundation grants, or 
contributions from other non-Federal public or private entities.
    Logic Model: A logic model is a diagrammatic representation of a 
theoretical framework. A logic model describes the logical linkages 
among program resources, conditions, strategies, short-term 
outcomes, and long-term impact. More information on how to develop 
logics models and examples can be found through the resources listed 
in Appendix 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-

[[Page 62351]]

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--Logic Model Resources

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

Appendix D--Sample Budget and Justification

Illustration of a Sample Detailed Budget and Narrative Justification to 
Accompany SF 424A: Section B for 01 Budget Period

Object Class Categories

Personnel

----------------------------------------------------------------------------------------------------------------
                                                                                                  Salary being
             Job title                        Name            Annual salary   Level of  effort      requested
----------------------------------------------------------------------------------------------------------------
Project Director...................  J. Doe...............           $30,000               1.0           $30,000
Secretary..........................  Unnamed..............            18,000               0.5             9,000
Counselor..........................  R. Down..............            25,000               1.0            25,000
----------------------------------------------------------------------------------------------------------------

    Enter Personnel subtotal on 424A, Section B, 6.a. $64,000

Fringe Benefits (24%) $15,360

Enter Personnel subtotal on 424A, Section B, 6.a.--$64,000

Enter Fringe Benefits subtotal on 424A, Section B, 6.b. $15,360

Travel

------------------------------------------------------------------------
 
------------------------------------------------------------------------
2 trips for SAMHSA Meetings for 2 Attendees (Airfare @ $600       $5,280
 x 4 = $2,400) + (per diem @ $120 x 4 x 6 days = $2,880)...
Local Travel (500 miles x .24 per mile)....................          120
------------------------------------------------------------------------

Enter Travel subtotal on 424A, Section B, 6.c. $5,400

Equipment (List Individually)

    ``Equipment'' means an article of nonexpendable, tangible 
personal property having a useful life of more than one year and an 
acquisition cost which equals the lesser of (a) the capitalization 
level established by the governmental unit or nongovernmental 
applicant for financial statement purposes, or (b) $5000.

Enter Equipment subtotal on 424A, Section B, 6.d.

Supplies

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Office Supplies............................................         $500
Computer Software-1 WordPerfect............................          500
------------------------------------------------------------------------

Enter Supplies subtotal on 424A, Section B, 6.e. $1,000

Contractual Costs

Evaluation

----------------------------------------------------------------------------------------------------------------
                                                                                Salary being
             Job title                        Name           Annual  salary       requested     Level of  effort
----------------------------------------------------------------------------------------------------------------
Evaluator..........................  J. Wilson............           $48,000           $24,000               0.5
Other Staff........................  --...................           $18,000            18,000               1.0
----------------------------------------------------------------------------------------------------------------


[[Page 62352]]

Fringe Benefits (25%) $10,500

Travel

------------------------------------------------------------------------
 
------------------------------------------------------------------------
2 trips x 1 Evaluator ($600 x 2)...........................       $1,200
Per diem @ $120 x 6........................................          720
Supplies (General Office)..................................          500
------------------------------------------------------------------------


------------------------------------------------------------------------
 
------------------------------------------------------------------------
Evaluation Direct..........................................      $54,920
Evaluation Indirect Costs (19%)............................       10,435
                                                            ------------
    Evaluation Subtotal....................................      $65,355
------------------------------------------------------------------------

Training

----------------------------------------------------------------------------------------------------------------
                                                                                                  Salary being
                  Job title                                Name               Level of  effort      requested
----------------------------------------------------------------------------------------------------------------
Coordinator.................................  M. Smith......................               0.5           $12,000
Admin. Asst.................................  N. Jones......................               0.5             9,000
----------------------------------------------------------------------------------------------------------------

Fringe Benefits (25%) $5,250

Travel

------------------------------------------------------------------------
 
------------------------------------------------------------------------
2 Trips for Training Airfare @ $600 x 2....................       $1,200
Per Diem $120 x 2 x 2 days.................................          480
Local (500 miles x .24/mile)...............................          120
------------------------------------------------------------------------

Supplies

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Office Supplies............................................         $500
Software (WordPerfect).....................................          500
------------------------------------------------------------------------

Other

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Rent (500 Sq. Ft. x $9.95).................................       $4,975
Telephone..................................................          500
Maintenance (e.g., van)....................................        2,500
Audit......................................................        3,000
------------------------------------------------------------------------


------------------------------------------------------------------------
 
------------------------------------------------------------------------
Training Direct............................................      $40,025
Training Indirect..........................................            0
------------------------------------------------------------------------

Enter Contractual subtotal on 424A, Section B, 6.f. $105,380

Other

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Consultants = Expert @ $250/day x 6 day (If expert is            $1,500
 known, should list by name)..............................
------------------------------------------------------------------------

Enter Other subtotal on 424A, Section B, 6.h. $1,500

Total Direct Charges (sum of 6.a-6.h)

Enter Total Direct on 424A, Section B, 6.i. $192,640

Indirect Costs

    15% of Salary and Wages (copy of negotiated indirect cost rate 
agreement attached)

Enter Indirect subtotal of 424A, Section B, 6.j. $9,600

Totals

Enter TOTAL on 424A, Section B, 6.k. $202,240

Justification

    Personnel--Describe the role and responsibilities of each 
position.
    Fringe Benefits--List all components of the fringe benefit rate.
    Equipment--List equipment and describe the need and the purpose 
of the equipment in relation to the proposed project.
    Supplies--Generally self-explanatory; however, if not, describe 
need. Include explanation of how the cost has been estimated.
    Travel--Explain need for all travel other than that required by 
SAMHSA.
    Contractual Costs--Explain the need for each contractual 
arrangement and how these components relate to the overall project.
    Other--Generally self-explanatory. If consultants are included 
in this category, explain the need and how the consultant's rate has 
been determined.

[[Page 62353]]

    Indirect Cost Rate--If your organization has no indirect cost 
rate, please indicate whether your organization plans to a) waive 
indirect costs if an award is issued, or b) negotiate and establish 
an indirect cost rate with DHHS within 90 days of award issuance.

                  Calculation of Future Budget Periods (based on first 12-month budget period)
[Review and verify the accuracy of future year budget estimates. Increases or decreases in the future years must
be explained and justified and no cost of living increases will be honored. (Note: new salary cap of $175,700 is
                                      effective for all FY 2005 awards.) *]
----------------------------------------------------------------------------------------------------------------
                                                              First 12-month   Second 12-month   Third 12-month
                                                                 period            period            period
----------------------------------------------------------------------------------------------------------------
Personnel:
    Project Director......................................            30,000            30,000            30,000
    Secretary**...........................................             9,000            18,000            18,000
    Counselor.............................................            25,000            25,000            25,000
                                                           -------------------
        Total Personnel...................................            64,000            73,000            73,000
                                                           ===================
Fringe Benefits (24%).....................................            15,360            17,520            17,520
Travel....................................................             5,400             5,400             5,400
Equipment.................................................               -0-               -0-               -0-
Supplies ***..............................................             1,000               520               520
Contractual:
Evaluation ****...........................................            65,355            67,969            70,688
Training..................................................            40,025            40,025            40,025
Other.....................................................             1,500             1,500             1,500
Total Direct Costs........................................           192,640           205,934           208,653
Indirect Costs (15% S&W)..................................             9,600             9,600             9,600
                                                           -------------------
    Total Costs...........................................           202,240           216,884          219,603
----------------------------------------------------------------------------------------------------------------
* Consistent with the requirement in the Consolidated Appropriations Act, Public Law 108-199.
** Increased from 50% to 100% effort in 02 through 03 budget periods.
*** Increased amount in 01 year represents costs for software.
**** Increased amounts in 02 and 03 years are reflected of the increase in client data collection.

    The Federal dollars requested for all object class categories 
for the first 12-month budget period are entered on Form 424A, 
Section B, Column (1), lines 6a-6i. The total Federal dollars 
requested for the second through the fifth 12-month budget periods 
are entered on Form 424A, Section E, Columns (b) `` (e), line 20. 
The RFA will specify the maximum number of years of support that may 
be requested.

Best Practices Planning and Implementation Grants BPPI 05 PA (Initial 
Announcement)

Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243 (unless 
otherwise specified in a NOFA in the Federal Register and on http://www.grants.gov)

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

Table of Contents

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

I. Funding Opportunity Description

1. Introduction

    The Substance Abuse and Mental Health Services Administration 
(SAMHSA) announces its intent to solicit applications for Best 
Practices Planning and Implementation (BPPI) grants for substance abuse 
prevention, substance abuse treatment, and mental health services. This 
program announcement must be considered in conjunction with a full 
Notice of Funding Availability (NOFA), which specifies the grant 
program's purpose, target population, and other requirements of the 
program. These grants will help communities and providers identify 
substance abuse prevention, substance abuse treatment,

[[Page 62354]]

and/or mental health practices, develop strategic plans for 
implementing/adapting those practices, and pilot-test the practices. 
The practices proposed by applicants for SAMHSA's BPPI grants must 
incorporate the best objective information available regarding 
effectiveness and acceptability. Often, these practices will have 
strong evidence of effectiveness. However, because the evidence base is 
limited in some areas, SAMHSA may fund some practices for which the 
evidence base, while limited, is sound.
    SAMHSA also funds grants under three other standard grant 
announcements:
    [dec222] Services Grants provide funding to implement substance 
abuse and mental health services.
    [dec222] Infrastructure Grants support identification and 
implementation of systems changes but are not designed to fund 
services.
    [dec222] Service to Science Grants document and evaluate innovative 
practices that address critical substance abuse and mental health 
service gaps but that have not yet been formally evaluated.
    This announcement describes the general program design and provides 
application instructions for all SAMHSA BPPI Grants. The availability 
of funds for specific BPPI Grants will be announced in supplementary 
Notices of Funding Availability (NOFAs) in the Federal Register and at 
http://www.grants.gov--the Federal grant announcement web page.
    SAMHSA's BPPI Grants are authorized under Section 509, 516 and/or 
520A of the Public Health Service Act, unless otherwise specified in a 
NOFA in the Federal Register and on http://www.grants.gov.
    Typically, funding for BPPI Grants will be targeted to specific 
populations and/or issue areas, which will be specified in the NOFAs. 
The NOFAs will also:
    [dec222] Specify total funding available for the first year of the 
grants and the expected size and number of awards;
    [dec222] Provide the application deadline;
    [dec222] Note any specific program requirements for each funding 
opportunity; and
    [dec222] Include any limitations or exceptions to the general 
provisions in this announcement (e.g., eligibility, award size, 
allowable activities).
    It is, therefore, critical that you consult the NOFA as well as 
this announcement in developing your grant application.

2. Expectations

    SAMHSA's BPPI program promotes the use of practices that 
incorporate the best objective information available regarding 
effectiveness and acceptability. SAMHSA refers to these as ``best 
practices.'' BPPI grants may address needs in the areas of substance 
abuse prevention, substance abuse treatment and/or mental health 
services. SAMHSA understands that the ``best practices'' proposed for 
BPPI grants may need to be adapted to certain populations. Therefore, 
SAMHSA's BPPI grants support adaptation and evaluation of best 
practices in addition to planning and implementation.
2.1 Documenting the Evidence-Base for Selected Practices
    Applicants must document in their applications that the practices 
they propose to implement are evidence-based practices. In addition, 
applicants must justify use of the proposed practices for the target 
population along with any adaptations or modifications necessary to 
meet the unique needs of the target population or otherwise increase 
the likelihood of achieving positive outcomes. Further guidance on each 
of these requirements is provided below.
Documenting the Evidence-Based Practice/Service
    SAMHSA has already determined that certain practices are solidly 
evidence-based practices and encourages applicants to select practices 
from the following sources (though this is not required):
    [dec222] SAMHSA's National Registry of Effective Programs and 
Practices (NREPP) (see Appendix C).
    [dec222] Center for Mental Health Services (CMHS) Evidence Based 
Practice Tool Kits (see Appendix D).
    [dec222] List of Evidence-Based Substance Abuse Treatment Practices 
(see Appendix E).
    [dec222] Additional practices identified in the NOFA for a specific 
funding opportunity, if applicable.
    Applicants proposing practices that are not included in the above-
referenced sources must provide a narrative justification that 
summarizes the evidence for effectiveness and acceptability of the 
proposed practice. The preferred evidence of effectiveness and 
acceptability will include the findings from clinical trials, efficacy 
and/or effectiveness studies published in the peer-reviewed literature.
    In areas where little or no research has been published in the 
peer-reviewed scientific literature, the applicant may present evidence 
involving studies that have not been published in the peer-reviewed 
research literature and/or documents describing formal consensus among 
recognized experts. If consensus documents are presented, they must 
describe consensus among multiple experts whose work is recognized and 
respected by others in the field. Local recognition of an individual as 
a respected or influential person at the community level is not 
considered a ``recognized expert'' for this purpose.
    In presenting evidence in support of the proposed practice, 
applicants must show that the evidence presented is the best objective 
information available.
Justifying Selection of the Practice/Service for the Target Population
    Regardless of the strength of the evidence-base for the practice, 
all applicants must show that the proposed practice is appropriate for 
the proposed target population. Ideally, this evidence will include 
research findings on effectiveness and acceptability specific to the 
proposed target population. However, if such evidence is not available, 
the applicant should provide a justification for using the proposed 
practice with the target population. This justification might involve, 
for example, a description of adaptations to the proposed practice 
based on other research involving the target population.
Justifying Adaptations/Modifications of the Proposed Practice
    SAMHSA has found that a high degree of faithfulness or ``fidelity'' 
(see Glossary) to the original model for an evidence-based practice 
increases the likelihood that positive outcomes will be achieved when 
the model is used by others. Therefore, SAMHSA encourages fidelity to 
the original evidence-based practice to be implemented. However, SAMHSA 
recognizes that adaptations or modifications to the original model may 
be necessary for a variety of reasons:
     To allow implementers to use resources efficiently.
     To adjust for specific needs of the client population.
     To address unique characteristics of the local community 
where the practice will be implemented.
    All applicants must describe and justify any adaptations or 
modifications to the proposed practice that will be made.
2.2 Program Design
    SAMHSA will fund BPPI grants in two phases. Phase I is a planning 
and consensus-building phase that supports grantees for up to 18 
months. Phase II is a pilot, adaptation, implementation,

[[Page 62355]]

and evaluation phase that supports grantees for up to 3 years. The 
program design requirements for Phase I and Phase II are described 
below. Applicants must, however, consult the NOFA for any program 
design requirements (e.g., required activities) specific to the funding 
opportunity.
Phase I: Planning and Consensus Building
    The goals of Phase I are to achieve consensus among community 
stakeholders to adopt a best practice and to engage in strategic 
planning for its implementation. Phase I grants may include, but are 
not limited to, the following types of activities:
    [dec222] Build and maintain a coalition of stakeholders to fund, 
oversee, use, and provide a sustainable best practice.
    [dec222] Train and educate key stakeholders about the best 
practice.
    [dec222] Consult experts about the practice.
    [dec222] Consult leaders from other communities about their 
experiences in implementing the practice.
    [dec222] Reimburse stakeholders for their transportation or child 
care costs.
    [dec222] Engage professionals to help build consensus and plan 
strategy.
    [dec222] Adapt the best practice to community needs without 
sacrificing its effectiveness.
    [dec222] Identify and obtain the commitment of permanent sources to 
fund the best practice.
    [dec222] Design the evaluation of the best practice.
    [dec222] Evaluate the process of consensus building among 
stakeholders (required).
Phase II: Pilot Test, Adaptation, Implementation, and Evaluation
    The goals of Phase II grants are to pilot test and evaluate the 
best practices before full implementation, modify strategic/financial 
plans, and prepare for full-scale implementation. Implementation does 
not include service delivery. The following are examples of activities 
that can be funded during Phase II:
    [dec222] Pilot test the practice on a sample of service recipients 
and evaluate the pilot test.
    [dec222] Modify the best practice based on consultation with 
stakeholders and practice experts, other community experiences, and 
pilot test results.
    [dec222] Revise the manual or documentation that describes in 
detail how the best practice was modified.
    [dec222] Maintain the coalition of stakeholders to oversee Phase II 
activities.
    [dec222] Secure consultants to make changes required to implement 
and finance the best practice.
    [dec222] Make organizational changes (e.g., hiring staff) necessary 
to implement the best practice.
    [dec222] Provide necessary education, training, and technical 
assistance for staff.
    Up to 25% of the Phase II grant award may be used to evaluate the 
pilot test of the best practice. During the course of a Phase II award, 
SAMHSA will provide funding for direct services as part of the pilot 
test.
2.3 Performance Requirements
    All grantees will be required to meet the following evaluation and 
performance requirements. Applicants are not required to receive a 
Phase I award before applying for a Phase II award. However, all Phase 
II applicants must meet the Phase I performance requirements (i.e., 
documentation that consensus has been achieved and that a strategic 
plan is in place) before applying for a Phase II award. Phase II 
applicants need not have been Phase I grantees.
Phase I: Planning and Consensus Building
    By the end of Phase I, grantees will be required to provide 
documentation that consensus has been achieved for adopting a best 
practice. That documentation must include:
    [dec222] A report that summarizes the evaluation of the consensus 
building process.
    [dec222] A description of how key stakeholders were included in the 
consensus building.
    [dec222] Letters of support or other demonstration of stakeholders' 
commitment to adopt the practice.
    [dec222] A strategic plan for implementing the best practice that 
includes a financing plan, signed by the funding source(s) that will 
provide the resources necessary to address barriers and implement a 
sustainable best practice. [Note: If it is not possible for a grantee 
to complete a strategic plan, grantees will be required to provide an 
analysis of progress made and barriers to completing the strategic plan 
instead.]
Phase II: Pilot Test, Adaptation, Implementation, and Evaluation
    By the end of Phase II, grantees must provide the following 
information:
    [dec222] Pilot test results.
    [dec222] Results from process/outcome evaluation of full Phase II 
project.
    [dec222] In cases where the implementation was judged a success, a 
manual describing the practice in detail for replication of the 
practice. The manual should explain how the project team determined the 
degree of success, referring to qualitative and quantitative data.
    [dec222] In cases where the implementation was judged not to be 
successful, a report detailing the lessons learned, with 
recommendations for other programs interested in implementing the best 
practice. The report should explain how the project team determined the 
degree of success, referring to qualitative and quantitative data.
    [dec222] Documentation that staff are trained in the practice and 
of a mechanism for training new staff.
    [dec222] Process evaluation results that describe how the practice 
was operationalized, including changes in the organizational 
infrastructure, permanent funding sources, and staff consultation and 
training activities.
    [squf] Outcome evaluation results that describe:
    [cir] Demographic characteristics of the clients served.
    [cir] Service utilization.
    [cir] Practice outcomes.
    [cir] Client satisfaction.
    [cir] Fidelity of the modified practice to the best practice.
    [cir] Plans for fully implementing the best practice after the end 
of the Phase II award.
2.4 Performance Measurement
    The Government Performance and Results Act of 1993 (Pub. L. 103-62, 
or ``GPRA'') requires all Federal agencies to set program performance 
targets and report annually on the degree to which the previous year's 
targets were met.
    Agencies are expected to evaluate their programs regularly and to 
use results of these evaluations to explain their successes and 
failures and justify requests for funding.
    To meet the GPRA requirements, SAMHSA must collect performance data 
(i.e., ``GPRA data'') from grantees. Grantees are required to report 
these GPRA data to SAMHSA on a timely basis.
    Specifically, grantees will be required to provide data on a set of 
required measures, as specified in the NOFA. The data collection tools 
to be used for reporting the required data will be provided in the 
application kits distributed by SAMHSA's clearinghouses and posted on 
SAMHSA's Website along with each NOFA. In your application, you must 
demonstrate your ability to collect and report on these measures, and 
you may be required to provide some baseline data.
    The terms and conditions of the grant award also will specify the 
data to be submitted and the schedule for submission. Grantees will be 
required to

[[Page 62356]]

adhere to these terms and conditions of award.
    Applicants should be aware that SAMHSA is working to develop a set 
of required core performance measures for each of SAMHSA's standard 
grants (i.e., Services Grants, Infrastructure Grants, Best Practices 
Planning and Implementation Grants, and Service-to-Science Grants). As 
this effort proceeds, some of the data collection and reporting 
requirements included in SAMHSA's NOFAs may change. All grantees will 
be expected to comply with any changes in data collection requirements 
that occur during the grantee's project period.
2.5 Evaluation
    Grantees must evaluate their projects, and applicants are required 
to describe their evaluation plans in their applications. The 
evaluation should be designed to provide regular feedback to the 
project to improve implementation of the best practice and, ultimately, 
the outcomes that will result from implementation of the best practice.
    Phase I grantees must conduct a process evaluation. Phase II 
grantees must conduct a process and outcome evaluation of the pilot 
test, as well as a process and outcome evaluation of the full Phase II 
project.
    Process and outcome evaluations must measure change relating to 
project goals and objectives over time compared to baseline 
information. Both Phase I and Phase II grantees must include the 
required performance measures described in the NOFA in their 
evaluations. Control or comparison groups are not required. You must 
consider your evaluation plan when preparing the project budget.
    Process components should address issues such as:
    [squf] How closely did implementation match the plan?
    [squf] What types of deviation from the plan occurred?
    [squf] What led to the deviations?
    [squf] What effect did the deviations have on the intervention and 
evaluation?
    [squf] For pilot test evaluations, who provided (program, staff) 
what services (modality, type, intensity, duration), to whom 
(individual characteristics), in what context (system, community), and 
at what cost (facilities, personnel, dollars)?
    Outcome components should address issues such as:
    [squf] What was the effect of the project on the service delivery 
system and/or on participants in the project?
    [squf] What program/contextual factors were associated with 
outcomes?
    [squf] What individual factors were associated with outcomes?
    [squf] How durable were the effects?
    No more than 20% of the total Phase I grant award and 25% of the 
total Phase II grant award may be used for evaluation and data 
collection.
2.6 Grantee Meetings
    You must plan to send a minimum of two people (including the 
Project Director) to at least one joint grantee meeting in each year of 
the grant, and you must include funding for this travel in your budget. 
At these meetings, grantees will present the results of their projects 
and Federal staff will provide technical assistance. Each meeting will 
be 3 days. These meetings will usually be held in the Washington, DC, 
area and attendance is mandatory.

II. Award Information

1. Award Amount

    The NOFA will specify the expected award amount for each funding 
opportunity. Regardless of the amount specified, the actual award 
amount will depend on the availability of funds.
    Awards for SAMHSA's BPPI grants will be made in two phases:
    Phase I--Phase I awards are expected to range from $150,000-
$200,000 in total costs (direct and indirect) for a project period of 
up to 18 months.
    Phase II--Phase II awards will range from $300,000-$500,000 per 
year in total costs (direct and indirect) for a project period of up to 
3 years.
    Proposed budgets cannot exceed the allowable amount as specified in 
the NOFA in any year of the proposed project. Annual continuation 
awards will depend on the availability of funds, grantee progress in 
meeting project goals and objectives, and timely submission of required 
data and reports.

2. Funding Mechanism

    The NOFA will indicate whether awards for each funding opportunity 
will be made as grants or cooperative agreements (see the Glossary in 
Appendix B for further explanation of these funding mechanisms). For 
cooperative agreements, the NOFA will describe the nature of Federal 
involvement in project performance and specify roles and 
responsibilities of grantees and Federal staff.

III. Eligibility Information

1. Eligible Applicants

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

2. Cost Sharing

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

3. Other

    Applications must comply with the following requirements, or they 
will be screened out and will not be reviewed: Use of the PHS 5161-1 
application; application submission requirements in Section IV-3 of 
this document; and formatting requirements provided in Section IV-2.3 
of this document. Applicants should be aware that the NOFA may include 
additional requirements that, if not met, will result in applications 
being screened out and returned without review. These requirements will 
be specified in Section III-3 of the NOFA.
    You also must comply with any additional program requirements 
specified in the NOFA, such as the required signature of certain 
officials on the face page of the application and/or required memoranda 
of understanding with certain signatories.

IV. Application and Submission Information

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

1. Address to Request Application Package

    You may request a complete application kit by calling one of 
SAMHSA's national clearinghouses:
    [squf] For substance abuse prevention or treatment grants, call the 
National Clearinghouse for Alcohol and Drug Information (NCADI) at 1-
800-729-6686.
    [squf] For mental health grants, call the National Mental Health 
Information Center at 1-800-789-CMHS (2647).
    You also may download the required documents from the SAMHSA Web 
site at http://www.samhsa.gov. Click on ``Grant Opportunities.''
    Additional materials available on this Web site include:
    [squf] A technical assistance manual for potential applicants;

[[Page 62357]]

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

2. Content and Form of Application Submission

2.1 Application Kit
    SAMHSA application kits include the following documents:
    [ssbox] PHS 5161-1 (revised July 2000)--Includes the face page, 
budget forms, assurances, certification, and checklist. Applicants must 
use the PHS 5161-1 for their application, unless otherwise specified in 
the NOFA. Applications that are not submitted on the required 
application form (i.e., the PHS 5161-1 in most situations) will be 
screened out and will not be reviewed.
    [ssbox] Program Announcement (PA)--Includes instructions for the 
grant application. This document is the PA.
    [ssbox] Notice of Funding Availability (NOFA)--Provides specific 
information about availability of funds, as well as any exceptions or 
limitations to provisions in the PA. The NOFAs will be published in the 
Federal Register as well as on the Federal grants Web site (http://www.grants.gov). It is very important that you read the entire NOFA 
before beginning to write your application.
    You must use all of the above documents in completing your 
application.
2.2 Required Application Components
    To ensure equitable treatment of all applications, applications 
must be complete. In order for your application to be complete, it must 
include the required ten application components (Face Page, Abstract, 
Table of Contents, Budget Form, Project Narrative and Supporting 
Documentation, Appendices, Assurances, Certifications, Disclosure of 
Lobbying Activities, and Checklist).
    [ballot] 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.]
    [ballot] Abstract--Your total abstract should be no longer than 35 
lines. In the first five lines or less of your abstract, write a 
summary of your project that can be used, if your project is funded, in 
publications, reporting to Congress, or press releases.
    [ballot] Table of Contents--Include page numbers for each of the 
major sections of your application and for each appendix.
    [ballot] Budget Form--Use SF 424A, which is part of the PHS 5161-1. 
Fill out Sections B, C, and E of the SF 424A. A sample budget and 
justification is included in Appendix G of this Program Announcement.
    [ballot] Project Narrative and Supporting Documentation--The 
Project Narrative describes your project. It consists of Sections A 
through E for Phase I and Sections A through D for Phase II. Sections 
A-E (Phase I) together may not be longer than 30 pages and Sections A 
though D (Phase II) together may not be longer than 30 pages. (For 
example, remember that if your Project Narrative starts on page 5 and 
ends on page 35, it is 31 pages long, not 30 pages.) More detailed 
instructions for completing each section of the Project Narrative are 
provided in ``Section V--Application Review Information'' of this 
document.
    The Supporting Documentation provides additional information 
necessary for the review of your application. This supporting 
documentation should be provided immediately following your Project 
Narrative in Sections F through I. (Note: Phase II applications will 
not have a Section E.) There are no page limits for these sections, 
except for Section H, the Biographical Sketches/Job Descriptions.
    [squf] Section F--Literature Citations. This section must contain 
complete citations, including titles and all authors, for any 
literature you cite in your application.
    [squf] Section G--Budget Justification, Existing Resources, Other 
Support. You must provide a narrative justification of the items 
included in your proposed budget, as well as a description of existing 
resources and other support you expect to receive for the proposed 
project. If you are applying for a Phase II award, show that no more 
than 25% of the total grant award will be used for evaluation of the 
pilot test of the best practice.
    [squf] Section H--Biographical Sketches and Job Descriptions.
    [ctrcir] 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 position description and/or a 
letter of commitment with a current biographical sketch from the 
individual.
    [ctrcir] Include job descriptions for key personnel. Job 
descriptions should be no longer than 1 page each.
    [ctrcir] Sample sketches and job descriptions are listed on page 
22, Item 6 in the Program Narrative section of the PHS 5161-1.
    [squf] Section I--Confidentiality and SAMHSA Participant 
Protection/Human Subjects. Section IV-2.4 of this document describes 
requirements for the protection of the confidentiality, rights and 
safety of participants in SAMHSA-funded activities. This section also 
includes guidelines for completing this part of your application.
    [ballot] Appendices 1 through 6--Use only the appendices listed 
below. If your application includes any appendices not required in the 
grant announcement or NOFA, they will be disregarded. Do not use more 
than a total of 30 pages for Appendices 1, 3, 4 and 6 combined. There 
are no page limitations for Appendices 2 and 5. Do not use appendices 
to extend or replace any of the sections of the Project Narrative 
unless specifically required in the NOFA. Reviewers will not consider 
them if you do.
    [squf] Appendix 1: Letters of Support.
    [squf] Appendix 2: Data Collection Instruments/Interview Protocols.
    [squf] Appendix 3: Sample Consent Forms.
    [squf] Appendix 4: Letter to the SSA (if applicable; see Section 
IV-4 of this document).
    [squf] Appendix 5: A copy of the State or County Strategic Plan, a 
State or county needs assessment, or a letter from the State or county 
indicating that the proposed project addresses a State- or county-
identified priority.
    [squf] Appendix 6: Evidence of Intent to Adopt (Phase II only).
    [ballot] Assurances--Non-Construction Programs. Use Standard Form 
424B found in PHS 5161-1. Some applicants will be required to complete 
the Assurance of Compliance with SAMHSA Charitable Choice Statutes and 
Regulations Form SMA 170. If this assurance applies to a specific 
funding opportunity, it will be posted on SAMHSA's Web site with the 
NOFA and provided in the application kits available at SAMHSA's 
clearinghouse (NCADI).
    [ballot] Certifications--Use the ``Certifications'' forms found in 
PHS 5161-1.

[[Page 62358]]

    [ballot] Disclosure of Lobbying Activities--Use Standard Form LLL 
found in PHS 5161-1. Federal law prohibits the use of appropriated 
funds for publicity or propaganda purposes, or for the preparation, 
distribution, or use of information designed to support or defeat 
legislation pending before the Congress or State legislatures. This 
includes ``grass roots'' lobbying, which consists of appeals to members 
of the public suggesting that they contact their elected 
representatives to indicate their support for or opposition to pending 
legislation or to urge those representatives to vote in a particular 
way.
    [ballot] 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.
    [ballot] Information provided must be sufficient for review.
    [ballot] 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.
    [ballot] Paper must be white paper and 8.5 inches by 11.0 inches in 
size.
    [ballot] To ensure equity among applications, the amount of space 
allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by using all 
margins (left, right, top, bottom) of at least one inch each, and 
adhering to the 30-page limit for the Project Narrative.
    [squf] Should an application not conform to these margin or page 
limits, SAMHSA will use the following method to determine compliance: 
The total area of the Project Narrative (excluding margins, but 
including charts, tables, graphs and footnotes) cannot exceed 58.5 
square inches multiplied by 30. This number represents the full page 
less margins, multiplied by the total number of allowed pages.
     Space will be measured on the physical page. Space left 
blank within the Project Narrative (excluding margins) is considered 
part of the Project Narrative, in determining compliance.
    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.
    [ballot] Pages should be typed single-spaced in black ink, with one 
column per page. Pages should not have printing on both sides.
    [ballot] Please 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.
    [ballot] The page limit of a total of 30 pages for Appendices 1, 3, 
4 and 6 combined should not be exceeded.
    [ballot] Send the original application and two copies to the 
mailing address in Section IV-6.1 of this document. Please do not use 
staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be copied 
or sent to reviewers. Do not include videotapes, audiotapes, or CD-
ROMs.
2.4 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations
    Applicants must describe procedures relating to Confidentiality, 
Participant Protection and the Protection of Human Subjects Regulations 
in Section I of the application, using the guidelines provided below. 
Problems with confidentiality, participant protection, and protection 
of human subjects identified during peer review of the application may 
result in the delay of funding.
Confidentiality and Participant Protection
    All applicants must describe how they will address requirements for 
each of the following elements relating to confidentiality and 
participant protection.
    1. Protect Clients and Staff from Potential Risks:
    [dec222] 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.
    [dec222] Describe the procedures you will follow to minimize or 
protect participants against potential risks, including risks to 
confidentiality.
    [dec222] Identify plans to provide guidance and assistance in the 
event there are adverse effects to participants.
    [dec222] 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:
    [dec222] Describe the target population(s) for the proposed 
project. Include age, gender, and racial/ethnic background and note if 
the population includes homeless youth, foster children, children of 
substance abusers, pregnant women, or other target groups.
    [dec222] 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.
    [dec222] Explain the reasons for including or excluding 
participants.
    [dec222] Explain how you will recruit and select participants. 
Identify who will select participants.
    3. Absence of Coercion:
    [dec222] 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.
    [dec222] If you plan to compensate participants, state how 
participants will be awarded incentives (e.g., money, gifts, etc.).
    [dec222] 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:
    [dec222] 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.
    [dec222] 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

[[Page 62359]]

made. Also, if needed, describe how the material will be monitored to 
ensure the safety of participants.
    [dec222] 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:
    [dec222] Explain how you will ensure privacy and confidentiality. 
Include who will collect data and how it will be collected.
    [dec222] Describe:
    [cir] How you will use data collection instruments.
    [cir] Where data will be stored.
    [cir] Who will or will not have access to information.
    [cir] How the identity of participants will be kept private, for 
example, through the use of a coding system on data records, limiting 
access to records, or storing identifiers separately from data.

    Note: If applicable, grantees must agree to maintain the 
confidentiality of alcohol and drug abuse client records according 
to the provisions of Title 42 of the Code of Federal Regulations, 
Part 2.

    6. Adequate Consent Procedures:
    [dec222] 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.
    [dec222] State:
    [cir] Whether or not their participation is voluntary.
    [cir] Their right to leave the project at any time without 
problems.
    [cir] Possible risks from participation in the project.
    [cir] Plans to protect clients from these risks.
    [dec222] 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.

    [dec222] 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?
    [dec222] 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.

    [dec222] 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?
    [dec222] Additionally, if other consents (e.g., consents to release 
information to others or gather information from others) will be used 
in your project, provide a description of the consents. Will 
individuals who do not consent to having individually identifiable data 
collected for evaluation purposes be allowed to participate in the 
project?
    7. Risk/Benefit Discussion:
    Discuss why the risks are reasonable compared to expected benefits 
and importance of the knowledge from the project.
Protection of Human Subjects Regulations
    All applicants proposing a pilot test of the best practice as part 
of a Phase II project must comply with the Protection of Human Subjects 
Regulations (45 CFR part 46).
    Even if you are not proposing a Phase II pilot test of the best 
practice, the Protection of Human Subjects Regulations could apply 
depending on the evaluation you propose.
    If you are a Phase II applicant proposing a pilot test or your 
project otherwise falls under the Protection of Human Subjects 
Regulations, you must describe the process for obtaining Institutional 
Review Board (IRB) approval in your application. While IRB approval is 
not required at the time of grant award, you will be required, as a 
condition of award, to provide the documentation that an Assurance of 
Compliance is on file with the Office for Human Research Protections 
(OHRP) and the IRB approval has been received before enrolling clients 
in the proposed project.
    General information about Protection of Human Subjects Regulations 
can be obtained on the web at http://hhs.gov/ohrp. You may also contact 
OHRP by e-mail ([email protected]) or by phone (301-496-7005). 
SAMHSA-specific questions related to Protection of Human Subjects 
Regulations should be directed to the program contact listed in Section 
VII of the NOFA.

3. Submission Dates and Times

    Deadlines for submission of applications for specific funding 
opportunities will be published in the NOFAs in the Federal Register 
and posted on the Federal grants Web site (www.grants.gov).
    Hand carried applications will not be accepted. Applications may be 
shipped using only DHL, Falcon Carrier, Federal Express (FedEx), United 
Parcel Service (UPS), or the United States Postal Service (USPS).
    Your application must be received by the application deadline, or 
you must have proof of its timely submission as specified below.
     For packages submitted via DHL, Falcon Carrier, Federal 
Express (FedEx), or United Parcel Service (UPS), timely submission 
shall be evidenced by a delivery service receipt indicating the 
application was delivered to a carrier service at least 24 hours prior 
to the application deadline.
     For packages submitted via the United States Postal 
Service (USPS), proof of timely submission shall be a postmark not 
later than 1 week prior to the application deadline, and the following 
upon request by SAMHSA:
    [cir] Proof of mailing using USPS Form 3817 (Certificate of 
Mailing), or
    [cir] A receipt from the Post Office containing the post office 
name, location, and date and time of mailing.
    You will be notified by postal mail that your application has been 
received.
    Applications not meeting the timely submission requirements above 
will not be considered for review. Please remember that mail sent to 
Federal facilities undergoes a security screening prior to delivery. 
Allow sufficient time for your package to be delivered.
    If an application is mailed to a location or office (including room 
number) that is not designated for receipt of the application, and that 
results in the designated office not receiving your application in 
accordance with the requirements for timely submission, it will cause 
the application to be considered late and ineligible for review.
    SAMHSA will not accept or consider any applications sent by 
facsimile.
    SAMHSA is collaborating with http://www.grants.gov to accept 
electronic submission of applications only for select funding 
opportunities. Unless specifically indicated in the NOFA,

[[Page 62360]]

electronic submission of applications will not be accepted.

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.
    [dec222] Check the list to determine whether your State 
participates in this program. You do not need to do this if you are a 
federally recognized Indian tribal government.
    [dec222] 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.
    [dec222] For proposed projects serving more than one State, you are 
advised to contact the SPOC of each affiliated State.
    [dec222] The SPOC should send any State review process 
recommendations to the following address within 60 days of the 
application deadline:
    For United States Postal Service: Crystal Saunders, Director of 
Grant Review, Office of Program Services, Substance Abuse and Mental 
Health Services Administration, Room 3-1044, 1 Choke Cherry Road, 
Rockville, MD 20857, ATTN: SPOC--Funding Announcement No. [fill in 
pertinent funding opportunity number from the NOFA].
    For other delivery service: Crystal Saunders, Director of Grant 
Review, Office of Program Services, Substance Abuse and Mental Health 
Services Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, 
MD 20850, ATTN: SPOC--Funding Announcement No. [fill in pertinent 
funding opportunity number from the NOFA].
    In addition, community-based, non-governmental service providers 
who are not transmitting their applications through the State must 
submit a Public Health System Impact Statement (PHSIS) (approved by OMB 
under control no. 0920-0428; see burden statement below) to the head(s) 
of appropriate State or local health agencies in the area(s) to be 
affected no later than the pertinent receipt date for applications. The 
PHSIS is intended to keep State and local health officials informed of 
proposed health services grant applications submitted by community-
based, non-governmental organizations within their jurisdictions. State 
and local governments and Indian tribal government applicants are not 
subject to these requirements.
    The PHSIS consists of the following information:
    [dec222] A copy of the face page of the application (SF 424); and
    [dec222] A summary of the project, no longer than one page in 
length, that provides: (1) A description of the population to be 
served, (2) a summary of the services to be provided, and (3) a 
description of the coordination planned with appropriate State or local 
health agencies.
    For SAMHSA grants, the appropriate State agencies are the Single 
State Agencies (SSAs) for substance abuse and mental health. A listing 
of the SSAs can be found on SAMHSA's Web site at http://www.samhsa.gov. 
If the proposed project falls within the jurisdiction of more than one 
State, you should notify all representative SSAs.
    Applicants who are not the SSA must include a copy of a letter 
transmitting the PHSIS to the SSA in Appendix 4, ``Letter to the SSA.'' 
The letter must notify the State that, if it wishes to comment on the 
proposal, its comments should be sent not later than 60 days after the 
application deadline to:
    For United States Postal Service: Crystal Saunders, Director of 
Grant Review, Office of Program Services, Substance Abuse and Mental 
Health Services Administration, Room 3-1044, 1 Choke Cherry Road, 
Rockville, MD 20857, ATTN: SSA--Funding Announcement No. [fill in 
pertinent funding opportunity number from NOFA].
    For other delivery service: Crystal Saunders, Director of Grant 
Review, Office of Program Services, Substance Abuse and Mental Health 
Services Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, 
MD 20850, ATTN: SSA--Funding Announcement No. [fill in pertinent 
funding opportunity number from NOFA].
    In addition:
    [dec222] Applicants may request that the SSA send them a copy of 
any State comments.
    [dec222] The applicant must notify the SSA within 30 days of 
receipt of an award.
    [Public reporting burden for the Public Health System Reporting 
Requirement is estimated to average 10 minutes per response, including 
the time for copying the face page of SF 424 and the abstract and 
preparing the letter for mailing. An agency may not conduct or sponsor, 
and a person is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number. The OMB 
control number for this project is 0920-0428. Send comments regarding 
this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24, 
Atlanta, GA 30333, ATTN: PRA (0920-0428).]

5. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
    [dec222] Institutions of Higher Education: OMB Circular A-21.
    [dec222] State and Local Governments: OMB Circular A-87.
    [dec222] Nonprofit Organizations: OMB Circular A-122.
    [dec222] Appendix E Hospitals: 45 CFR Part 74.
    In addition, SAMHSA BPPI Grant recipients must comply with the 
following funding restrictions:
    [dec222] No more than 25% of Phase II funding may be used to 
evaluate the pilot test.
    BPPI grant funds may not be used to:
    [dec222] Pay for any lease beyond the project period.
    [dec222] Provide services to incarcerated populations (defined as 
those persons in jail, prison, detention facilities, or in custody 
where they are not free to move about in the community).
    [dec222] Pay for the purchase or construction of any building or 
structure to house any part of the program. (Applicants may request no 
more than $75,000 for renovations and alterations of existing 
facilities, if appropriate and necessary to the project.)
    [dec222] Provide residential or outpatient treatment services when 
the facility has not yet been acquired, sited, approved, and met all 
requirements for human habitation and services provision. (Expansion or 
enhancement of existing residential services is permissible.)
    [dec222] Pay for housing other than residential mental health and/
or substance abuse treatment.
    [dec222] Provide inpatient treatment or hospital-based 
detoxification services. Residential services are not considered to be 
inpatient or hospital-based services.
    [dec222] Pay for incentives to induce clients to enter treatment. 
However, a grantee or treatment provider may provide up to $20 or 
equivalent (coupons, bus tokens, gifts, childcare, and vouchers) to 
clients as incentives to participate in required data collection 
follow-up. This amount may be paid for participation in each required 
interview.

[[Page 62361]]

    [dec222] Implement syringe exchange programs, such as the purchase 
and distribution of syringes and/or needles.
    [dec222] Pay for pharmacologies for HIV antiretroviral therapy, 
sexually transmitted diseases (STDs)/sexually transmitted illness 
(STI), TB, and hepatitis B and C, or for psychotropic drugs.
    [dec222] SAMHSA will not accept a ``research'' indirect cost rate. 
The grantee must use the ``other sponsored program rate'' or the lowest 
rate available.

6. Other Submission Requirements

6.1 Where to Send Applications
    Send applications to the following address:
    For United States Postal Service: Crystal Saunders, Director of 
Grant Review, Office of Program Services, Substance Abuse and Mental 
Health Services Administration, Room 3-1044, 1 Choke Cherry Road, 
Rockville, MD 20857.
    For other delivery service: Crystal Saunders, Director of Grant 
Review, Office of Program Services, Substance Abuse and Mental Health 
Services Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, 
MD 20850.
    Do not send applications to other agency contacts, as this could 
delay receipt. Be sure to include the funding announcement number from 
the NOFA in item number 10 on the face page of the application. If you 
require a phone number for delivery, you may use (240) 276-1199.
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.
    Hand carried applications will not be accepted. Applications may be 
shipped using only DHL, Falcon Carrier, Federal Express (FedEx), United 
Parcel Service (UPS), or the United States Postal Service (USPS).
    SAMHSA will not accept or consider any applications sent by 
facsimile.
    Unless specifically indicated in the NOFA, electronic submission of 
applications will not be accepted.

V. Application Review Information

1. Evaluation Criteria

    Your application will be reviewed and scored according to the 
quality of your response to the requirements listed below for 
developing the Project Narrative (Sections A-E for Phase I applications 
and A-D for Phase II applications). These sections describe what you 
intend to do with your project.
    [dec222] In developing the Project Narrative section of your 
application, use these instructions along with any additional 
instructions found in the NOFA. These are to be used instead of the 
``Program Narrative'' instructions found in the PHS 5161-1.
    [dec222] The Project Narrative may be no longer than 30 pages.
    [dec222] You must use the sections/headings listed below in 
developing your Project Narrative. Be sure to place the required 
information in the correct section, or it will not be considered. Your 
application will be scored according to how well you address the 
requirements for each section of the Project Narrative.
    [dec222] 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.''
    [dec222] The Supporting Documentation you provide in Sections F-I 
and Appendices 1-5 will be considered by reviewers in assessing your 
response, along with the material in the Project Narrative.
    [dec222] The number of points after each heading is the maximum 
number of points a review committee may assign to that section of your 
Project Narrative. Bullet statements in each section do not have points 
assigned to them. They are provided to invite the attention of 
applicants and reviewers to important areas within the criterion.
1.1 Phase I Criteria
Section A: Statement of Need (10 Points)
    [dec222] Describe the environment (organization, community, city, 
or State) where the project will be implemented.
    [dec222] Describe the target population (see Glossary) as well as 
the geographic area to be served, and justify the selection of both. Be 
sure to check the NOFA for any specific requirements regarding the 
target population and/or catchment area. Include numbers to be served 
and demographic information. Discuss the target population's language, 
beliefs, norms and values, as well as socioeconomic factors that must 
be considered in delivering programs to this population.
    [dec222] Describe the problem the project will address. 
Documentation of the problem may come from local data or trend 
analyses, State data (e.g., from State Needs Assessments), and/or 
national data (e.g., from SAMHSA's National Household Survey on Drug 
Abuse and Health or from National Center for Health Statistics/Centers 
for Disease Control reports). For data sources that are not well known, 
provide sufficient information on how the data were collected so 
reviewers can assess the reliability and validity of the data.
    [dec222] Non-tribal applicants must show that identified needs are 
consistent with the priorities of the State or county that has primary 
responsibility for the service delivery system. Include, in Appendix 5, 
a copy of the State or County Strategic Plan, a State or county needs 
assessment, or a letter from the State or county indicating that the 
proposed project addresses a State-or county-identified priority. 
Tribal applicants must provide similar documentation relating to tribal 
priorities.
    [dec222] Describe the best practice selected and how it will impact 
the problem.
    [dec222] Check the NOFA for any additional requirements.
Section B: Proposed Evidence-Based Practice (30 Points)
    [dec222] Clearly state the purpose, goals and objectives of your 
proposed project. Describe how achievement of the goals will address 
both the overall program purpose as specified in the NOFA and the needs 
you have identified in Section A. Provide a logic model (see Glossary) 
that links need, key components of the proposed project, and goals/
objectives/outcomes of the proposed project.
    [dec222] Identify the evidenced based practice that you propose to 
implement. Describe the evidence-base for the proposed practice and 
show that it incorporates the best objective information available 
regarding effectiveness and acceptability. Follow the instructions 
provided in 1, 2 or 3 below, as appropriate. 
Depending on the evidence you provide, you may follow more than one set 
of instructions:
    1. If you are proposing to implement a practice included in NREPP 
(see Appendix C), one of the CMHS tool-kits on evidence-based practices 
(see Appendix D), the list of Effective Substance Abuse Treatment 
Practices (see Appendix E), or the NOFA (if applicable), simply 
identify the practice and state the source from which it was selected. 
You do not need to provide further evidence of effectiveness.
    2. If you are providing evidence that includes scientific studies 
published in the peer-reviewed literature or other

[[Page 62362]]

studies that have not been published, describe the extent to which:

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

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

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

    [dec222] Justify the use of the proposed practice for the target 
population. Describe the types of modifications/adaptations that may be 
necessary to meet the needs of the target population, and describe how 
you will make a final determination about the adaptations/modifications 
to be made to meet the needs of the population.
    [dec222] Identify any additional adaptations or modifications that 
may be necessary to successfully implement the proposed practice in the 
target community. Describe how you will make a final determination 
about the adaptations/modifications to be made.
    [dec222] Describe how the proposed project will address issues of 
age, race, ethnicity, culture, language, sexual orientation, 
disability, literacy, and gender in the target population, while 
retaining fidelity to the chosen practice.
    [dec222] Check the NOFA for any additional requirements.
Section C: Proposed Implementation Approach (25 Points)
    [dec222] Describe how the proposed grant project will be 
implemented. Address any and all expectations/required activities 
specified in the NOFA.
    [dec222] Provide a realistic time line for the project (chart or 
graph) showing key activities, milestones, and responsible staff. 
[Note: The timeline should be part of the Project Narrative. It should 
not be placed in an appendix.]
    [dec222] Describe the strategies or models that will be used to 
build consensus, including a description of how key stakeholders (see 
Glossary) will be educated about the best practice. Describe potential 
barriers to achieving consensus among stakeholders. What resources and 
plans will you use to overcome these barriers?
    [dec222] Describe the process that will be used to develop a 
strategic plan to implement the best practice. Address such issues as 
needs assessment, identification of specific milestones that must be 
achieved in order to implement the best practice, and plans for 
assigning responsibility for achieving milestones among participating 
organizations/stakeholders. Identify potential funding source(s) that 
will help implement the best practice. Describe how the funder(s) will 
join in the consensus building and strategic planning.
    [dec222] Describe the key stakeholders (including representatives 
of the target population), how they were selected for participation in 
the project, and how they represent the community.
    [dec222] Describe the involvement of key stakeholders in the 
proposed project, including roles and responsibilities of each 
stakeholder. Clearly demonstrate each stakeholder's commitment to the 
consensus building and strategic planning processes. Attach letters of 
support and other documents showing stakeholder commitment in Appendix 
1: Letters of Support. Identify any cash or in-kind contributions that 
will be made to the project by the applicant or other partnering 
organizations.
    [dec222] Describe how the project components will be embedded 
within the existing service delivery system, including other SAMHSA-
funded projects, if applicable.
    [dec222] Check the NOFA for any additional requirements.
Section D: Management Plan and Staffing (20 Points)
    [dec222] Discuss the capability and experience of the applicant 
organization and other participating organizations with similar 
projects and populations, including experience in providing culturally 
appropriate/competent services.
    [dec222] Provide a list of staff members who will conduct the 
project, showing the role of each and their level of effort and 
qualifications. Include the Project Director and other key personnel, 
including evaluators and database management personnel.
    [dec222] Provide evidence that the service staff proposed to 
conduct the evidence-based practice have the level of abilities and 
experience necessary to implement the practice with fidelity to the 
model, once they have received any necessary training.
    [dec222] Identify the project staff or contractor(s) who will 
develop the implementation manual, and demonstrate that they have the 
requisite skills and experience.
    [dec222] Describe the racial/ethnic characteristics of key staff 
and indicate if any are members of the target population/community. If 
the target population is multi-linguistic, indicate if the staffing 
pattern includes bilingual or bicultural individuals.
    [dec222] If you plan to have an advisory body, describe its 
composition, roles, and frequency of meetings.
    [dec222] Describe the resources available for the proposed project 
(e.g., facilities, equipment), and provide evidence that services will 
be provided in a location that is adequate, accessible, compliant with 
the Americans with Disabilities Act (ADA), and amenable to the target 
population.
    [dec222] Check the NOFA for any additional requirements.
Section E:Evaluation Design and Analysis (15 Points)
    [dec222] Describe the design for evaluating the consensus building 
and strategic planning processes. Include a detailed discussion of how 
all variables (e.g., community representation and stakeholder support) 
will be defined and measured. Explain how the evaluation plan will 
ensure that the decision to adopt is an accurate reflection of the 
stakeholders' intent.
    [dec222] Document your ability to collect and report on the 
required performance measures as specified in the NOFA,

[[Page 62363]]

including data required by SAMHSA to meet GPRA requirements. Specify 
and justify any additional measures you plan to use for your grant 
project.
    [dec222] Describe the process for providing regular feedback from 
evaluation activities to the Project Director and participants.
    [dec222] Describe plans for data collection, management, analysis, 
interpretation and reporting. Describe the existing approach to the 
collection of relevant data, along with any necessary modifications.
    [dec222] Discuss the reliability and validity of evaluation methods 
and instruments(s) in terms of the gender/age/ culture of the target 
population.
    [dec222] Check the NOFA for any additional requirements.
1.2 Phase II Criteria
Section A: Need, Justification of Best Practice, and Readiness (30 
Points)
    If you previously received a Phase I BBPI award and are applying 
for a Phase II award to continue the project, include the following 
information:
    [dec222] Describe briefly the target population (see Glossary), 
setting, need and best practice approved for the Phase I award.
    [dec222] Describe and justify any changes to the target population 
and setting. Discuss the factors that led to a decision change in the 
target population and setting.
    [dec222] Describe any changes in the need for the best practice in 
the target community. The statement of need should include a clearly 
established baseline for the project. Documentation of need may come 
from a variety of qualitative and quantitative sources. The 
quantitative data could come from local data or trend analyses, State 
data (e.g., from State Needs Assessments), and/or national data (e.g., 
from SAMHSA's National Household Survey on Drug Abuse and Health or 
from National Center for Health Statistics/Centers for Disease Control 
reports). For data sources that are not well known, provide sufficient 
information on how the data were collected so reviewers can assess the 
reliability and validity of the data.
    [dec222] Provide an updated projection of the number of individuals 
to be served as well as demographic information. Discuss the target 
population's language, beliefs, norms and values, as well as 
socioeconomic factors that must be considered in delivering programs to 
this population.
    [dec222] Describe and justify any additional modifications or 
adaptations to the best practice as compared to the practice approved 
for your Phase I project.
    [dec222] Provide evidence that the community of stakeholders (see 
Glossary) achieved a ``decision to adopt'' the practice. Attach a copy 
of the Phase I process evaluation or other evidence including 
contracts, memoranda of agreement, administrative memos, or other 
documents signed by key stakeholders that show their firm commitment to 
support the practice. Attach these supporting documents in Appendix 6: 
Evidence of Intent to Adopt.
    [dec222] Provide and describe the financing plan. Include 
anticipated costs and sources of revenue that will maintain the 
practice. Attach the financing plan, signed by the funding source(s), 
stating their intent to fund in Appendix 6: Evidence of Intent to 
Adopt.
    [dec222] Check the NOFA for any additional requirements.
    If you are applying for a Phase II award but did not previously 
receive a Phase I award, include the following information:
    [dec222] Clearly state the purpose, goals and objectives of your 
proposed project. Describe how achievement of the goals will address 
the overall program purpose as specified in the NOFA and produce 
meaningful and relevant results. Provide a logic model (see Glossary) 
that links need, the services or practice to be implemented, and 
outcomes.
    [dec222] Describe the target population as well as the geographic 
area to be served, and justify the selection of both. Include the 
numbers to be served and demographic information. Discuss the target 
population's language, beliefs, norms and values, as well as 
socioeconomic factors that must be considered in delivering programs to 
this population.
    [dec222] Describe the nature of the problem and extent of the need 
for the target population based on data. The statement of need should 
include a clearly established baseline for the project. Documentation 
of need may come from a variety of qualitative and quantitative 
sources. The quantitative data could come from local data or trend 
analyses, State data (e.g., from State Needs Assessments), and/or 
national data (e.g., from SAMHSA's National Household Survey on Drug 
Abuse and Health or from National Center for Health Statistics/Centers 
for Disease Control reports). For data sources that are not well known, 
provide sufficient information on how the data were collected so 
reviewers can assess the reliability and validity of the data.
    [dec222] Non-tribal applicants must show that identified needs are 
consistent with priorities of the State or county. Include, in Appendix 
5, a copy of the State or County Strategic Plan, a State or county 
needs assessment, or a letter from the State or county indicating that 
the proposed project addresses a State-or county-identified priority. 
Tribal applicants must provide similar documentation relating to tribal 
priorities.
    [dec222] Identify the evidenced based service/practice that you 
propose to implement. Describe the evidence-base for the proposed 
service/practice and show that it incorporates the best objective 
information available regarding effectiveness and acceptability. Follow 
the instructions provided in 1, 2 or 3 
below, as appropriate:
    1. If you are proposing to implement a service/practice included in 
NREPP (see Appendix C), one of the CMHS tool-kits on evidence-based 
practices (see Appendix D), the list of Effective Substance Abuse 
Treatment Practices (see Appendix E), or the NOFA (if applicable), 
simply identify the practice and state the source from which it was 
selected. You do not need to provide further evidence of effectiveness.
    2. If you are providing evidence that includes scientific studies 
published in the peer-reviewed literature or other studies that have 
not been published, describe the extent to which:
--The service/practice has been evaluated and the quality of the 
evaluation studies (e.g., whether they are descriptive, quasi-
experimental studies, or experimental studies)
--The service/practice has demonstrated positive outcomes and for what 
populations the positive outcomes have been demonstrated
--The service/practice has been documented (e.g., through development 
of guidelines, tool kits, treatment protocols, and/or manuals) and 
replicated
--Fidelity measures have been developed (e.g., no measures developed, 
key components identified, or fidelity measures developed)

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

--The experts involved in developing consensus on the proposed service/
practice (e.g., members of an expert panel formally convened by SAMHSA, 
NIH, the Institute of Medicine or other nationally recognized 
organization). The consensus must have been developed by a group of 
experts whose work is recognized and respected by others in the field. 
Local recognition of an

[[Page 62364]]

individual as a respected or influential person at the community level 
is not considered a ``recognized expert'' for this purpose.
--The nature of the consensus that has been reached and the process 
used to reach consensus
--The extent to which the consensus has been documented (e.g., in a 
consensus panel report, meeting minutes, or an accepted standard 
practice in the field)
--Any empirical evidence (whether formally published or not) supporting 
the effectiveness of the proposed services/practice
--The rationale for concluding that further empirical evidence does not 
exist to support the effectiveness of the proposed services/practice
    [dec222] Justify the use of the proposed service/practice for the 
target population. Describe and justify any adaptations necessary to 
meet the needs of the target population, as well as evidence that such 
adaptations will be effective for the target population.
    [dec222] Identify and justify any additional adaptations or 
modifications to the proposed service/practice.
    [dec222] Describe the community of stakeholders in the project, and 
provide evidence that they have achieved a ``decision to adopt'' the 
practice. Such evidence may include contracts, memoranda of agreement, 
administrative memos, or other documents signed by key stakeholders 
that show their firm commitment to support the practice. Attach these 
supporting documents in Appendix 6: Evidence of Intent to Adopt.
    [dec222] Provide and describe the financing plan. Include 
anticipated costs and sources of revenue that will maintain the 
practice. Attach the financing plan, signed by the funding source(s), 
stating their intent to fund in Appendix 6: Evidence of Intent to 
Adopt.
    [dec222] Check the NOFA for any additional requirements.
Section B: Proposed Approach (25 Points)
    [dec222] Provide a strategic plan, including key action steps, that 
addresses each of the following elements, as appropriate: pilot testing 
the best practice, evaluating the pilot test, modifying the best 
practice based on the pilot test, developing training materials, 
hiring/training staff, and securing funding to sustain services beyond 
the project period. Address any and all expectations/required 
activities specified in the NOFA.
    [dec222] Describe the involvement of key stakeholders in the 
proposed project, including roles and responsibilities of each 
stakeholder. Demonstrate each stakeholder's commitment to the proposed 
project. Attach letters of support and similar documents showing 
stakeholder commitment in Appendix 1: Letters of Support. Identify any 
cash or in-kind contributions that will be made to the project.
    [dec222] Describe how the proposed project will address issues of 
age, race/ethnicity, culture, language, sexual orientation, disability, 
literacy, and gender in the target population.
    [dec222] Describe potential barriers to the successful conduct of 
the proposed project and how you will overcome them.
    [dec222] Describe oversight or feedback mechanisms to ensure that 
the implemented practice is consistent with the best practice model.
    [dec222] Check the NOFA for any additional requirements.
Section C: Management Plan and Staffing (25 Points)
    [dec222] Provide a realistic time line for the project (chart or 
graph) showing key activities, milestones, and responsible staff. 
[Note: The time line should be part of the Project Narrative. It should 
not be placed in an appendix.]
    [dec222] Discuss the capability and experience of the applicant 
organization and other participating organizations with similar 
projects and populations, including experience in providing culturally 
appropriate/competent services.
    [dec222] Provide a list of staff members who will conduct the 
project, showing the role of each and their level of effort and 
qualifications. Include the Project Director and other key personnel, 
including evaluators and database managers.
    [dec222] Describe the racial/ethnic characteristics of key staff 
and indicate if any are members of the target population/community. If 
the target population is multi-linguistic, indicate if the staffing 
pattern includes bilingual and bicultural individuals.
    [dec222] Describe the resources available for the proposed project 
(e.g., facilities, equipment), and provide evidence that services will 
be provided in a location that is adequate, accessible, Americans with 
Disabilities Act (ADA) compliant, and is amenable to the target 
population.
    [dec222] Check the NOFA for any additional requirements.
Section D: Evaluation Design and Analysis (20 Points)
    [dec222] Document your ability to collect and report on the 
required performance measures as specified in the NOFA, including data 
required by SAMHSA to meet GPRA requirements. Specify and justify any 
additional measures you plan to use for your grant project.
    [dec222] Provide a logic model (see Glossary) for the evaluation of 
the pilot test of the best practice as well as other implementation 
activities (e.g., training, securing financing).
    [dec222] Provide a plan for evaluating the pilot test of the best 
practice and other implementation activities that includes both process 
and client outcome measures. Describe the recruitment plan and sample 
size for your project. Describe any literature or pilot testing done to 
verify the validity and reliability of the instruments to be used. Also 
discuss the appropriateness of the evaluation methods and instrument(s) 
in terms of the gender/age/culture of the target population. Attach 
instrumentation in Appendix 2: Data Collection Instruments.
    [dec222] Describe how the adaptations of the best practice will be 
documented. Demonstrate its fidelity to the best practice model. If no 
fidelity scale exists for the practice, describe how you will develop 
one.
    [dec222] Describe the process for providing regular feedback from 
evaluation activities to the Project Director and participants.
    [dec222] Describe the database management system that will be 
developed.
    [dec222] Check the NOFA for any additional requirements.


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

2. Review and Selection Process

    SAMHSA applications are peer-reviewed according to the review 
criteria listed above. For those programs where the individual award is 
over $100,000, applications must also be reviewed by the appropriate 
National Advisory Council.
    Decisions to fund a grant are based on:
    [dec222] The strengths and weaknesses of the application as 
identified by peer reviewers and, when appropriate, approved by the 
appropriate National Advisory Council;
    [dec222] Availability of funds;
    [dec222] Equitable distribution of awards in terms of geography 
(including urban, rural and remote settings) and balance among target 
populations and program size; and
    [dec222] After applying the aforementioned criteria, the following 
method for breaking ties: When funds are not

[[Page 62365]]

available to fund all applications with identical scores, SAMHSA will 
make award decisions based on the application(s) that received the 
greatest number of points by peer reviewers on the evaluation criterion 
in Section V-1 with the highest number of possible points (for Phase I, 
Proposed Evidence-Based Practice'30 points; for Phase II, Need, 
Justification of Best Practice, and Readiness'30 points). Should a tie 
still exist, the evaluation criterion with the next highest possible 
point value will be used, continuing sequentially to the evaluation 
criterion with the lowest possible point value, should that be 
necessary to break all ties. If an evaluation criterion to be used for 
this purpose has the same number of possible points as another 
evaluation criterion, the criterion listed first in Section V-1 will be 
used first.

VI. Award Administration Information

1. Award Notices

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

2. Administrative and National Policy Requirements

    [dec222] 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/generalinfo/useful_info.aspx.

    [dec222] 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:
    [ctrcir] Actions required to be in compliance with human subjects 
requirements;
    [ctrcir] Requirements relating to additional data collection and 
reporting;
    [ctrcir] Requirements relating to participation in a cross-site 
evaluation; or
    [ctrcir] Requirements to address problems identified in review of 
the application.
    [dec222] 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.
    [dec222] 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
    [dec222] Grantees must provide annual and final progress reports. 
The final progress report must summarize information from the annual 
reports, describe the accomplishments of the project, and describe next 
steps for implementing plans developed during the grant period.
    [dec222] Grantees must provide annual and final financial status 
reports. These reports may be included as separate sections of annual 
and final progress reports or can be separate documents. Because SAMHSA 
is extremely interested in ensuring that its best practices efforts can 
be sustained, your financial reports must explain plans to ensure the 
sustainability (see Glossary) of efforts initiated under this grant. 
Initial plans for sustainability should be described in year 1 of the 
grant. In each subsequent year, you should describe the status of the 
project, successes achieved and obstacles encountered in that year.
    [dec222] SAMHSA will provide guidelines and requirements for these 
reports to grantees at the time of award and at the initial grantee 
orientation meeting after award. SAMHSA staff will use the information 
contained in the reports to determine the grantee's progress toward 
meeting its goals.
3.2 Government Performance and Results Act
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. To 
meet the GPRA requirements, SAMHSA must collect performance data (i.e., 
``GPRA data'') from grantees. These requirements will be specified in 
the NOFA for each funding opportunity.
3.3 Publications
    If you are funded under this grant program, you are required to 
notify the Government Project Officer (GPO) and SAMHSA's Publications 
Clearance Officer (240-276-2130) of any materials based on the SAMHSA-
funded project that are accepted for publication.
    In addition, SAMHSA requests that grantees:
    [dec222] Provide the GPO and SAMHSA Publications Clearance Officer 
with advance copies of publications.
    [dec222] Include acknowledgment of the SAMHSA grant program as the 
source of funding for the project.
    [dec222] Include a disclaimer stating that the views and opinions 
contained in the publication do not necessarily reflect those of SAMHSA 
or the U.S. Department of Health and Human Services, and should not be 
construed as such.
    SAMHSA reserves the right to issue a press release about any 
publication deemed by SAMHSA to contain information of program or 
policy significance to the substance abuse treatment/substance abuse 
prevention/mental health services community.

VII. Agency Contacts

    The NOFAs provide contact information for questions about program 
issues.
    For questions on grants management issues, contact: Kimberly 
Pendleton, Office of Program Services, Division of Grants Management, 
Substance Abuse and Mental Health Services Administration, 1 Choke 
Cherry Road, Room 7-1097, Rockville, Maryland 20850, (240) 276-1421, 
[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

[[Page 62366]]

to you without review. In addition to these formatting requirements, 
programmatic requirements (e.g., relating to eligibility) may be 
stated in the specific NOFA and in Section III of the standard grant 
announcement. Please check the entire NOFA and Section III of the 
standard grant announcement before preparing your application.
    [shabox3] Use the PHS 5161-1 application.
    [shabox3] Applications must be received by the application 
deadline or have proof of timely submission, as detailed in Section 
IV-3 of the grant announcement.
    [shabox3] Information provided must be sufficient for review.
    [shabox3] 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.
    [shabox3] Paper must be white paper and 8.5 inches by 11.0 
inches in size.
    [shabox3] To ensure equity among applications, the amount of 
space allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by using all 
margins (left, right, top, bottom) of at least one inch each, and 
adhering to the page limit for the Project Narrative stated in the 
specific funding announcement.
     Should an application not conform to these margin or 
page limits, SAMHSA will use the following method to determine 
compliance: The total area of the Project Narrative (excluding 
margins, but including charts, tables, graphs and footnotes) cannot 
exceed 58.5 square inches multiplied by the page limit. This number 
represents the full page less margins, multiplied by the total 
number of allowed pages.
     Space will be measured on the physical page. Space left 
blank within the Project Narrative (excluding margins) is considered 
part of the Project Narrative, in determining compliance.
    To facilitate review of your application, follow these 
additional guidelines. Failure to adhere to the following guidelines 
will not, in itself, result in your application being screened out 
and returned without review. However, the information provided in 
your application must be sufficient for review. Following these 
guidelines will help ensure your application is complete, and will 
help reviewers to consider your application.
    [shabox3] The 10 application components required for SAMHSA 
applications should be included. These are:

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

    [shabox3] 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 FY2005 standard funding announcements.
     Budgetary limitations as specified in Section I, II, 
and IV-5 of the FY 2005 standard funding announcements.
     Documentation of nonprofit status as required in the 
PHS 5161-1.
    [shabox3] Pages should be typed single-spaced in black ink, with 
one column per page. Pages should not have printing on both sides.
    [shabox3] Please 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.
    [shabox3] The page limits for Appendices stated in the specific 
funding announcement should not be exceeded.
    [shabox3] Send the original application and two copies to the 
mailing address in the funding announcement. Please do not use 
staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be 
copied or sent to reviewers. Do not include videotapes, audiotapes, 
or CD-ROMs.

Appendix B--Glossary

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

[[Page 62367]]

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 and Practices

    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 and Practices 
(NREPP) to review and identify effective programs. NREPP seeks 
candidates from the practice community and the scientific 
literature. While the initial focus of NREPP was substance abuse 
prevention programming, NREPP 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.
    NREPP 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 NREPP 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 NREPP standards for each category can 
be identified by accessing the NREPP Model Programs Web site at 
http://www.modelprograms.samhsa.gov.

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

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

1. Illness Management and Recovery
2. Family Psychoeducation
3. Medication Management Approaches in Psychiatry
4. Assertive Community Treatment
5. Supported Employment
6. Integrated Dual Disorders Treatment

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

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

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

Appendix E--Effective Substance Abuse Treatment Practices

    To assist potential applicants, SAMHSA's Center for Substance 
Abuse Treatment (CSAT) has identified the following listing of 
current publications on effective treatment practices for use by 
treatment professionals in treating individuals with substance abuse 
disorders. These publications are available from the National 
Clearinghouse for Alcohol and Drug Information (NCADI); Tele: 1-800-
729-6686 or http://www.health.org and http://www.samhsa.gov/centers/csat2002/publications.html.
    CSAT Treatment Improvement Protocols (TIPs) are consensus-based 
guidelines developed by clinical, research, and administrative 
experts in the field.

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

[[Page 62368]]

 Intensive Outpatient Treatment for Alcohol and Other Drug 
Abuse. TIP 8 (1994) NCADI  BKD139

Other Effective Practice Publications

    CSAT Publications--

Anger Management for Substance Abuse and Mental Health Clients: A 
Cognitive Behavioral Therapy Manual (2002) NCADI  BKD444
 Anger Management for Substance Abuse and Mental Health 
Clients: Participant Workbook (2002) NCADI  BKD445
 Multidimensional Family Therapy for Adolescent Cannabis 
Users. CYT Cannabis Youth Treatment Series Vol. 5 (2002) NCADI 
 BKD388
 Navigating the Pathways: Lessons and Promising Practices in 
Linking Alcohol and Drug Services with Child Welfare. TAP 27 (2002) 
NCADI  BKD436
 The Motivational Enhancement Therapy and Cognitive 
Behavioral Therapy Supplement: 7 Sessions of Cognitive Behavioral 
Therapy for Adolescent Cannabis Users. CYT Cannabis Youth Treatment 
Series Vol. 2 (2002) NCADI  BKD385
 Family Support Network for Adolescent Cannabis Users. CYT 
Cannabis Youth Treatment Series Vol. 3 (2001) NCADI  BKD386
 Identifying Substance Abuse Among TANF-Eligible Families. 
TAP 26 (2001) NCADI  BKD410
 Motivational Enhancement Therapy and Cognitive Behavioral 
Therapy for Adolescent Cannabis Users: 5 Sessions. CYT Cannabis 
Youth Treatment Series Vol. 1 (2001) NCADI  BKD384
 The Adolescent Community Reinforcement Approach for 
Adolescent Cannabis Users. CYT Cannabis Youth Treatment Series Vol. 
4 (2001) NCADI  BKD387
 Substance Abuse Treatment for Women Offenders: Guide to 
Promising Practices. TAP 23 (1999) NCADI  BKD310
 Addiction Counseling Competencies: The Knowledge, Skills, 
and Attitudes of Professional Practice. TAP 21 (1998) NCADI 
 BKD246
 Bringing Excellence to Substance Abuse Services in Rural 
and Frontier America. TAP 20 (1997) NCADI  BKD220
 Counselor's Manual for Relapse Prevention with Chemically 
Dependent Criminal Offenders. TAP 19 (1996) NCADI  BKD723
 Draft Buprenorphine Curriculum for Physicians (Note: the 
Curriculum is in DRAFT form and is currently being updated) http://www.buprenorphine.samhsa.gov
 CSAT Guidelines for the Accreditation of Opioid Treatment 
Programs http://www.samhsa.gov/centers/csat/content/dpt/accreditation.htm

 Model Policy Guidelines for Opioid Addiction Treatment in 
the Medical Office http://www.samhsa.gov/centers/csat/content/dpt/model_policy.htm

    NIDA Manuals--Available through NCADI

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

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

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

Appendix F--Logic Model Resources

Chen, W.W., Cato, B.M., & Rainford, N. (1998-9). Using a logic model 
to plan and evaluate a community intervention program: A case study. 
International Quarterly of Community Health Education, 18(4), 449-
458.
Edwards, E.D., Seaman, J.R., Drews, J., & Edwards, M.E. (1995). A 
community approach for Native American drug and alcohol prevention 
programs: A logic model framework. Alcoholism Treatment Quarterly, 
13(2), 43-62.
Hernandez, M. & Hodges, S. (2003). Crafting Logic Models for Systems 
of Care: Ideas into Action. [Making children's mental health 
services successful series, volume 1]. Tampa, FL: University of 
South Florida, The Louis de la Parte Florida Mental Health 
Institute, Department of Child & Family Studies. http://cfs.fmhi.usf.edu or phone (813) 974-4651.
Hernandez, M. & Hodges, S. (2001). Theory-based accountability. In 
M. Hernandez & S. Hodges (Eds.), Developing Outcome Strategies in 
Children's Mental Health, pp. 21-40. Baltimore: Brookes.
Julian, D.A. (l997). Utilization of the logic model as a system 
level planning and evaluation device. Evaluation and Planning, 
20(3), 251-257.
Julian, D.A., Jones, A., & Deyo, D. (1995). Open systems evaluation 
and the logic model: Program planning and evaluation tools. 
Evaluation and Program Planning, 18(4), 333-341.
Patton, M.Q. (1997). Utilization-Focused Evaluation (3rd Ed.), pp. 
19, 22, 241. Thousand Oaks, CA: Sage.
Wholey, J.S., Hatry, H.P., Newcome, K.E. (Eds.) (1994). Handbook of 
Practical Program Evaluation. San Francisco, CA: Jossey-Bass Inc.

Appendix G--Sample Budget and Justification

Illustration of a Sample Detailed Budget and Narrative Justification To 
Accompany SF 424A: Section B for 01 Budget Period

Object Class Categories

Personnel

----------------------------------------------------------------------------------------------------------------
                                                                                                  Salary being
             Job title                        Name            Annual salary    Level of effort      requested
----------------------------------------------------------------------------------------------------------------
Project Director...................  J. Doe...............           $30,000               1.0           $30,000
Secretary..........................  Unnamed..............            18,000               0.5             9,000
Counselor..........................  R. Down..............            25,000               1.0            25,000
----------------------------------------------------------------------------------------------------------------

Enter Personnel subtotal on 424A, Section B, 6.a. $64,000

Fringe Benefits (24%) $15,360

Enter Fringe Benefits subtotal on 424A, Section B, 6.b. $15,360

Travel

[[Page 62369]]



------------------------------------------------------------------------
 
------------------------------------------------------------------------
2 trips for SAMHSA Meetings for 2 Attendees (Airfare @ $600       $5,280
 x 4 = $2,400) x (per diem @ $120 x 4 x 6 days = $2,880)...
Local Travel (500 miles x .24 per mile)....................          120
------------------------------------------------------------------------

Enter Travel subtotal on 424A, Section B, 6.c. $5,400

Equipment (List Individually)

    ``Equipment'' means an article of nonexpendable, tangible 
personal property having a useful life of more than one year and an 
acquisition cost which equals the lesser of (a) the capitalization 
level established by the governmental unit or nongovernmental 
applicant for financial statement purposes, or (b) $5000.

Enter Equipment subtotal on 424A, Section B, 6.d.

Supplies

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Office Supplies............................................         $500
Computer Software--1 WordPerfect...........................          500
------------------------------------------------------------------------

Enter Supplies subtotal on 424A, Section B, 6.e. $1,000

Contractual Costs

Evaluation

----------------------------------------------------------------------------------------------------------------
                                                                                                           Level
                     Job title                            Name          Annual salary     Salary being      of
                                                                                            requested     effort
----------------------------------------------------------------------------------------------------------------
Evaluator.........................................         J. Wilson           $48,000           $24,000  0.5
Other Staff.......................................  ................           $18,000           $18,000  1.0
----------------------------------------------------------------------------------------------------------------

Fringe Benefits (25%) $10,500

Travel

------------------------------------------------------------------------
 
------------------------------------------------------------------------
2 trips x 1 Evaluator ($600 x 2)...........................      $ 1,200
per diem @ $120 x 6........................................          720
Supplies (General Office)..................................          500
------------------------------------------------------------------------


------------------------------------------------------------------------
 
------------------------------------------------------------------------
Evaluation Direct..........................................      $54,920
Evaluation Indirect Costs (19%)............................       10,435
                                                            ------------
    Evaluation Subtotal....................................       65,355
------------------------------------------------------------------------

Training

----------------------------------------------------------------------------------------------------------------
                                                                                                  Salary being
                  Job title                                Name                Level of effort      requested
----------------------------------------------------------------------------------------------------------------
Coordinator.................................  M. Smith......................               0.5           $12,000
Admin. Asst.................................  N. Jones......................               0.5             9,000
----------------------------------------------------------------------------------------------------------------

Fringe Benefits (25%) $5,250

Travel

------------------------------------------------------------------------
 
------------------------------------------------------------------------
2 Trips for Training Airfare @ $600 x 2....................       $1,200
Per Diem $120 x 2 x 2 days.................................          480
Local (500 miles x .24/mile)...............................          120
------------------------------------------------------------------------

Supplies

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Office Supplies............................................         $500
Software (WordPerfect).....................................          500
------------------------------------------------------------------------

Other

[[Page 62370]]



------------------------------------------------------------------------
 
------------------------------------------------------------------------
Rent (500 Sq. Ft. x $9.95).................................       $4,975
Telephone..................................................          500
Maintenance (e.g., van)....................................        2,500
Audit......................................................        3,000
------------------------------------------------------------------------


------------------------------------------------------------------------
 
------------------------------------------------------------------------
Training Direct............................................      $40,025
Training Indirect..........................................            0
------------------------------------------------------------------------

Enter Contractual subtotal on 424A, Section B, 6.f. $105,380

Other

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Consultants = Expert @ $250/day x 6 day (If expert is             $1,500
 known, should list by name)...............................
------------------------------------------------------------------------

Enter Other subtotal on 424A, Section B, 6.h. $1,500

Total Direct Charges (sum of 6.a-6.h)

Enter Total Direct on 424A, Section B, 6.i. $192,640

Indirect Costs

    15% of Salary and Wages (copy of negotiated indirect cost rate 
agreement attached)

Enter Indirect subtotal of 424A, Section B, 6.j. $9,600

Totals

Enter Total on 424A, Section B, 6.k. $202,240

Justification

    Personnel--Describe the role and responsibilities of each 
position.
    Fringe Benefits--List all components of the fringe benefit rate.
    Equipment--List equipment and describe the need and the purpose 
of the equipment in relation to the proposed project.
    Supplies--Generally self-explanatory; however, if not, describe 
need. Include explanation of how the cost has been estimated.
    Travel--Explain need for all travel other than that required by 
SAMHSA.
    Contractual Costs--Explain the need for each contractual 
arrangement and how these components relate to the overall project.
    Other--Generally self-explanatory. If consultants are included 
in this category, explain the need and how the consultant's rate has 
been determined.
    Indirect Cost Rate--If your organization has no indirect cost 
rate, please indicate whether your organization plans to (a) waive 
indirect costs if an award is issued, or (b) negotiate and establish 
an indirect cost rate with DHHS within 90 days of award issuance.

                  Calculation of Future Budget Periods (Based on First 12-Month Budget Period)
[Review and verify the accuracy of future year budget estimates. Increases or decreases in the future years must
be explained and justified and no cost of living increases will be honored. (Note: new salary cap of $175,700 is
                                      effective for all FY 2005 awards.)*]
----------------------------------------------------------------------------------------------------------------
                                                             First 12-month    Second 12-month   Third 12-month
                                                                 period            period            period
----------------------------------------------------------------------------------------------------------------
Personnel:
    Project Director......................................            30,000            30,000            30,000
    Secretary**...........................................             9,000            18,000            18,000
    Counselor.............................................            25,000            25,000            25,000
                                                           -------------------
        Total Personnel...................................            64,000            73,000            73,000
===========================================================
Fringe Benefits (24%).....................................            15,360            17,520            17,520
Travel....................................................             5,400             5,400             5,400
Equipment.................................................               -0-               -0-               -0-
Supplies***...............................................             1,000               520               520
Contractual:
    Evaluation****........................................            65,355            67,969            70,688
    Training..............................................            40,025            40,025            40,025
    Other.................................................             1,500             1,500             1,500
    Total Direct Costs....................................           192,640           205,934           208,653
    Indirect Costs (15% S&W)..............................             9,600             9,600             9,600
                                                           -------------------
        Total Costs.......................................           202,240           216,884          219,603
----------------------------------------------------------------------------------------------------------------
*Consistent with the requirement in the Consolidated Appropriations Act, Public Law 108-199.
**Increased from 50% to 100% effort in 02 through 03 budget periods.
***Increased amount in 01 year represents costs for software.
****Increased amounts in 02 and 03 years are reflected of the increase in client data collection.

    The Federal dollars requested for all object class categories 
for the first 12-month budget period are entered on Form 424A, 
Section B, Column (1), lines 6a-6i. The total Federal dollars 
requested for the second up to the fifth 12-month budget periods are 
entered on Form 424A, Section E, Columns (b)-(e), line 20. The RFA 
will specify the maximum number of years of support that may be 
requested.

Service-to-Science Grants--STS 05 PA (Initial Announcement)

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

[[Page 62371]]

specified in a NOFA in the Federal Register and on http://www.grants.gov)

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

Table of Contents

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

I. Funding Opportunity Description

1. Introduction

    The Substance Abuse and Mental Health Services Administration 
(SAMHSA) announces its intent to solicit applications for Service-to-
Science grants. This program announcement must be considered in 
conjunction with a full Notice of Funding Availability (NOFA), which 
specifies the grant program's purpose, target population, and other 
requirements of the program. These grants will document and evaluate 
innovative practices that address critical substance abuse and mental 
health service gaps but have not yet been formally evaluated. 
Applicants who seek to stabilize, document, and evaluate promising 
practices for mental health and/or substance abuse treatment, 
prevention, and support services should apply for awards under this 
announcement.
    SAMHSA also funds grants under three other standard grant 
announcements:
     Services Grants provide funding to implement substance 
abuse and mental health services.
     Infrastructure Grants support identification and 
implementation of systems changes but are not designed to fund 
services.
     Best Practices Planning and Implementation Grants help 
communities and providers identify practices to effectively meet local 
needs, develop strategic plans for implementing/adapting those 
practices and pilot-test practices prior to full-scale implementation.
    This announcement describes the general program design and provides 
application instructions for all SAMHSA Service-to-Science Grants. The 
availability of funds for specific Service-to-Science Grants will be 
announced in supplementary Notices of Funding Availability (NOFAs) in 
the Federal Register and at http://www.grants.gov--the Federal grant 
announcement web page.
    SAMHSA's Service-to-Science Grants are authorized under Section 
509, 516 and/or 520A of the Public Health Service Act, unless otherwise 
specified in a NOFA in the Federal Register and on http://www.grants.gov.
    Typically, funding for Service-to-Science Grants will be targeted 
to specific populations and/or issue areas, which will be specified in 
the NOFAs. The NOFAs will also:
    [dec222] Specify total funding available for the first year of the 
grants and the expected size and number of awards;
    [dec222] Provide the application deadline;
    [dec222] Note any specific program requirements for each funding 
opportunity; and
    [dec222] Include any limitations or exceptions to the general 
provisions in this announcement (e.g., eligibility, award size, 
allowable activities).
    It is, therefore, critical that you consult the NOFA as well as 
this announcement in developing your grant application.

2. Expectations

    While there is a well-established evidence base for many behavioral 
health practices, critical service gaps exist for which there is no 
formal evidence base. Stakeholders have developed many innovative 
practices to fill these gaps, but they may lack the expertise and/or 
resources to formally document and evaluate their practices. 
Consequently, it is not clear whether these innovative practices are 
effective, and they are not disseminated widely. SAMHSA seeks to 
encourage continued development of evidence-based practices to fill 
service gaps by documenting and evaluating promising stakeholder-
initiated practices. This program will help organizations that have 
identified promising new practices to evaluate and package those 
innovations for review and inclusion in the National Registry of 
Effective Programs and Practices (NREPP) as well as for further 
research.
2.1 Program Design
    SAMHSA will fund Service-to-Science grants in two phases. You may 
apply for Phase I and II combined or for Phase II alone. Applications 
for Phase I alone will not be accepted. The program design requirements 
for Phase I and Phase II are described below. Applicants must, however, 
consult the NOFA for any program design requirements (e.g., required 
activities) specific to the funding opportunity.
    Phase I provides support for up to 2 years to stabilize and 
document an existing practice that fills an identified gap. During 
Phase I, you may:
    [dec222] Further develop or refine the promising practice;
    [dec222] Develop training and practice manuals;
    [dec222] Train persons who are implementing the practice;
    [dec222] More systematically implement the practice;
    [dec222] Develop measurement instruments; and

[[Page 62372]]

    [dec222] Ensure that the intended target population (see Glossary) 
is being reached by the practice.
    The desired endpoint of Phase I is readiness to conduct a high-
quality, systematic evaluation.
    Phase II provides support for 1-3 years to evaluate the success of 
the practice. The purpose of Phase II is to conduct a high-quality, 
systematic evaluation to document short-term outcomes and demonstrate 
that the practice is worthy of an experimental study. On the basis of 
the evaluation, you may need to further refine the practice and further 
refine the practice manual. The evaluation may use a pre-post approach, 
an open trial model, other quasi or non-experimental model, or an 
experimental model.
    The desired endpoint for Phase II is readiness to submit the 
practice for inclusion in SAMHSA's NREPP and/or to submit applications 
to various research institutions for additional research.
    SAMHSA's Service-to-Science grants will provide support to 
stabilize practices so that they may be documented and evaluated. 
However, these grants are not intended to support development of 
entirely new practices. The practices must be in place and operational 
for at least one year prior to application, and you must have at least 
anecdotal evidence that the practice is effective.
    You may apply for a combination of Phases I and II in a single 
grant application if you have identified a priority gap for which a 
fully developed and documented practice currently does not exist.
    [dec222] During Phase I, you will further develop and document the 
practice.
    [dec222] During Phase II, you will evaluate the practice.
    At the conclusion of Phase I, SAMHSA staff will review your 
progress to determine whether Phase II is warranted. This decision will 
be based on review of the documentation required by the end of Phase I, 
as described under the Performance Expectations section below. You must 
provide compelling evidence that the practice has been sufficiently 
developed and documented to be evaluated and has produced positive 
results.
    For practices that are already fully developed, implemented, 
stabilized, and documented but that have not yet been formally 
evaluated, you may apply for Phase II only. Applications for Phase I 
alone will not be accepted.
    Depending on your readiness, you may receive a combination of 
Phases I and II for a period of up to, but not more than, 5 years. You 
may apply for a shorter grant period than the maximum, and SAMHSA may 
award a grant for a shorter time period than you request.
2.2 Establishing Need
    Service-to-Science grants are intended to develop solutions to 
widespread needs. This grant program is not intended to address a local 
community's need for funds to solve a local problem. Therefore, you 
must demonstrate that the broader substance abuse and/or mental health 
field--not just your local community--has a need for the practice. You 
must also show that no well-documented solution to the problem exists, 
and that your local community can support an evaluation that will 
increase the knowledge base of the field.
2.3 Allowable Activities
Phase I: Practice Development and Documentation
    In Phase I, you will further develop and document the practice. The 
types of activities that may be needed and that are allowable include, 
but are not limited to, the following:
    [dec222] Strategic planning.
    [dec222] Convening stakeholder meetings.
    [dec222] Training of practitioners.
    [dec222] Efforts to overcome policy and funding barriers to 
practice stability.
    [dec222] Development of an action plan for systematizing and 
stabilizing the practice.
    [dec222] Development of a practice support system.
    [dec222] Developing needed partnerships for ongoing implementation.
    [dec222] Logic model development.
    [dec222] Documentation of core elements of the practice.
    [dec222] Practice manual development.
    [dec222] Measurement instrument development/selection.
    [dec222] Participant recruitment.
    [dec222] Development of quality assurance and accountability 
mechanisms.
    [dec222] Implementation and refinement of the practice.
    [dec222] Implementation process evaluation.
    [dec222] Management information system development.
    [dec222] Collection of pilot outcome data.
Phase II: Practice Evaluation.
    During Phase II, SAMHSA will (if necessary) continue to fund 
implementation of the practice being evaluated. Other types of 
allowable activities include, but are not limited to, the following:
    [dec222] Convening relevant stakeholder meetings.
    [dec222] Alignment of management information systems with data 
collection needs.
    [dec222] Training evaluators.
    [dec222] Measurement instrument development/selection.
    [dec222] Data collection.
    [dec222] Database management.
    [dec222] Data and cost analysis.
    [dec222] Dissemination of results.
    [dec222] Refinement of logic model and practice manual based on 
evaluation results.
2.4 Performance Expectations
    All grantees will be expected to meet the following performance 
requirements by the end of their grant projects.
Phase I
    By the end of Phase I, documentation for the practice must include:
    [dec222] A logic model depicting the principles and concepts 
underlying the practice.
    [dec222] A manual describing the practice in detail that would 
allow others to replicate the practice.
    [dec222] Documentation of how critical stakeholders were included 
in the development of the practice.
    [dec222] A detailed description of the population that the practice 
is designed to serve, and demographic characteristics of the people 
served by the practice over the past year.
    [dec222] Documentation that the number of people being served by 
the practice has been stabilized.
    [dec222] Documentation of the number and percentage of staff 
trained in the practice, and a mechanism for ongoing training for any 
new staff.
    [dec222] A process evaluation demonstrating that the practice is in 
full operation and that a routine service delivery process is in place.
    [dec222] Pilot outcome results. (Note: Collection of these data 
need not include an extensive set of outcomes systematically collected 
on all participants, but quantitative project data should provide some 
indication that key outcomes are being achieved.)
Phase II
    By the end of Phase II, the evaluation of the practice must have 
demonstrated that:
    [dec222] Key outcome measures have been clearly identified and 
defined.
    [dec222] Participant data collection systems are in place that 
include:
    [cir] Demographic characteristics.
    [cir] Practice outcomes.
    [cir] Service utilization.
    [cir] Service delivery costs.
    [cir] Satisfaction with services.
    [dec222] Demographic characteristics of participants, as well as 
the types of services that participants have received, are consistent 
with expectations based on the logic model for the practice.

[[Page 62373]]

    [dec222] Service delivery patterns are stable.
    [dec222] A fidelity scale has been developed for assessing the 
integrity of the practice, and the practice has been implemented with 
fidelity according to the scale.
    [dec222] Systematically collected short-term outcome measures 
indicate meaningful results.
    [dec222] Consumers, family members, and other critical stakeholders 
are satisfied with the practice.
    In addition, at the end of Phase II, grantees must:
    [dec222] Demonstrate how consumers, family members, and other 
critical stakeholders participated in the evaluation of the practice.
    [dec222] Demonstrate how the practice will be sustained over the 5 
years following the end of the grant period.
    [dec222] As appropriate, submit the practice to the SAMHSA National 
Registry of Effective Programs and Practices (NREPP).
    [dec222] Demonstrate the willingness of those who initiated the 
practice to participate in rigorous research over the next 5 years 
(e.g., through submission of grant applications to the National 
Institutes of Health, private foundations, or other research funding 
sources; through formal agreements between practice initiators and 
researchers; etc.)
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 set program performance 
targets and report annually on the degree to which the previous year's 
targets were met.
    Agencies are expected to evaluate their programs regularly and to 
use results of these evaluations to explain their successes and 
failures and justify requests for funding.
    To meet the GPRA requirements, SAMHSA must collect performance data 
(i.e., ``GPRA data'') from grantees. Grantees are required to report 
these GPRA data to SAMHSA on a timely basis.
    Specifically, grantees will be required to provide data on a set of 
required measures, as specified in the NOFA. The data collection tools 
to be used for reporting the required data will be provided in the 
application kits distributed by SAMHSA's clearinghouses and posted on 
SAMHSA's website along with each NOFA. In your application, you must 
demonstrate your ability to collect and report on these measures, and 
you may be required to provide some baseline data.
    The terms and conditions of the grant award also will specify the 
data to be submitted and the schedule for submission. Grantees will be 
required to adhere to these terms and conditions of award.
    Applicants should be aware that SAMHSA is working to develop a set 
of required core performance measures for each of SAMHSA's standard 
grants (i.e., Services Grants, Infrastructure Grants, Best Practices 
Planning and Implementation Grants, and Service-to-Science Grants). As 
this effort proceeds, some of the data collection and reporting 
requirements included in SAMHSA's NOFAs may change. All grantees will 
be expected to comply with any changes in data collection requirements 
that occur during the grantee's project period.
2.6 Grantee Meetings
    You must plan to send a minimum of two people (including the 
Project Director) to at least one joint grantee meeting in each year of 
the grant, and you must include funding for this travel in your budget. 
At these meetings, grantees will present the results of their projects 
and Federal staff will provide technical assistance. Each meeting will 
be 3 days. These meetings will usually be held in the Washington, DC, 
area and attendance is mandatory.

II. Award Information

1. Award Amount

    The NOFA will specify the expected award amount for each funding 
opportunity. Regardless of the amount specified in the NOFA, the actual 
award amount will depend on the availability of funds.
    You may apply for either a combined Phase I & II grant or for a 
Phase II only grant.
    [dec222] Awards for Phase I of the combined grants are for up to 
$150,000 (direct and indirect costs) per year for up to 2 years.
    [dec222] Awards for Phase II are $300,000-$500,000 (direct and 
indirect costs) per year for 1-3 years.
    [dec222] Awards for combined Phase I and II grants may not exceed 5 
years.
    Phase II funding will be approved only if you provide compelling 
evidence that the practice has been sufficiently developed and 
documented to be evaluated and has produced positive results.
    Proposed budgets cannot exceed the allowable amount as specified in 
the NOFA in any year of the proposed project. Annual continuation 
awards will depend on the availability of funds, grantee progress in 
meeting project goals and objectives, and timely submission of required 
data and reports.
    Summary Table:

----------------------------------------------------------------------------------------------------------------
                                           Years of                                 Funding level (direct and
        Phase and activity focus           support     Application requirement           indirect costs)
----------------------------------------------------------------------------------------------------------------
I--Practice Development and                     0-2  Optional..................  Up to $150,000 per year.
 Documentation.
II Practice Evaluation..................        1-3  Required..................  $300,000-$500,000 per year.
                                         -----------
      Total.............................        1-5                              ...............................
----------------------------------------------------------------------------------------------------------------

2. Funding Mechanism

    The NOFA will indicate whether awards for each funding opportunity 
will be made as grants or cooperative agreements (see the Glossary in 
Appendix B for further explanation of these funding mechanisms). For 
cooperative agreements, the NOFA will describe the nature of Federal 
involvement in project performance and specify roles and 
responsibilities of grantees and Federal staff.

III. Eligibility Information

1. Eligible Applicants

    Eligible applicants are domestic public and private nonprofit 
entities. For example, State, local or tribal governments; public or 
private universities and colleges; community- and faith-based 
organizations; and tribal organizations may apply. The statutory 
authority for this program precludes grants to for-profit 
organizations. The NOFA will indicate any limitations on eligibility.
    Though not required, SAMHSA encourages community-based providers 
and independent researchers to partner when applying for Service-to-
Science grants. Such partnerships will use the

[[Page 62374]]

expertise of each partner to ensure sound service delivery, high-
quality evaluation, independent results, and relevance of the 
evaluation design to service delivery outcomes.

2. Cost Sharing

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

3. Other

    Applications must comply with the following requirements, or they 
will be screened out and will not be reviewed: Use of the PHS 5161-1 
application; application submission requirements in Section IV-3 of 
this document; and formatting requirements provided in Section IV-2.3 
of this document. Applicants should be aware that the NOFA may include 
additional requirements that, if not met, will result in applications 
being screened out and returned without review. These requirements will 
be specified in Section III-3 of the NOFA.
    You also must comply with any additional program requirements 
specified in the NOFA, such as the required signature of certain 
officials on the face page of the application and/or required memoranda 
of understanding with certain signatories.

IV. Application and Submission Information

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

1. Address to Request Application Package

    You may request a complete application kit by calling one of 
SAMHSA's national clearinghouses:
    [dec222] For substance abuse prevention or treatment grants, call 
the National Clearinghouse for Alcohol and Drug Information (NCADI) at 
1-800-729-6686.
    [dec222] For mental health grants, call the National Mental Health 
Information Center at 1-800-789-CMHS (2647).
    You also may download the required documents from the SAMHSA Web 
site at http://www.samhsa.gov. Click on ``Grant Opportunities.''
    Additional materials available on this web site include:
    [dec222] A technical assistance manual for potential applicants;
    [dec222] Standard terms and conditions for SAMHSA grants;
    [dec222] Guidelines and policies that relate to SAMHSA grants 
(e.g., Guidelines on cultural competence, consumer and family 
participation, and evaluation); and
    [dec222] Enhanced instructions for completing the PHS 5161-1 
application.

2. Content and Form of Application Submission

2.1 Application Kit
    SAMHSA application kits include the following documents:
    [dec222] PHS 5161-1 (revised July 2000)--Includes the face page, 
budget forms, assurances, certification, and checklist. You must use 
the PHS 5161-1 unless otherwise specified in the NOFA. Applications 
that are not submitted on the required application form will be 
screened out and will not be reviewed.
    [dec222] Program Announcement (PA)--Includes instructions for the 
grant application. This document is the PA.
    [dec222] Notice of Funding Availability (NOFA)--Provides specific 
information about availability of funds, as well as any exceptions or 
limitations to provisions in the PA. The NOFAs will be published in the 
Federal Register as well as on the Federal grants Web site (http://www.grants.gov). It is very important that you read the entire NOFA 
before beginning to write your application.
    You must use all of the above documents in completing your 
application.
2.2 Required Application Components
    To ensure equitable treatment of all applications, applications 
must be complete. In order for your application to be complete, it must 
include the required ten application components (Face Page, Abstract, 
Table of Contents, Budget Form, Project Narrative and Supporting 
Documentation, Appendices, Assurances, Certifications, Disclosure of 
Lobbying Activities, and Checklist).
    [ballot] 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.]
    [ballot] Abstract--Your total abstract should be no longer than 35 
lines. In the first five lines or less of your abstract, write a 
summary of your project that can be used, if your project is funded, in 
publications, reporting to Congress, or press releases.
    [ballot] Table of Contents--Include page numbers for each of the 
major sections of your application and for each appendix.
    [ballot] Budget Form--Use SF 424A, which is part of the PHS 5161-1. 
Fill out Sections B, C, and E of the SF 424A. A sample budget and 
justification is included in Appendix D of this Program Announcement.
    [ballot] Project Narrative and Supporting Documentation--The 
Project Narrative describes your project. It consists of Sections A 
through D. These sections in total may be no longer than 25 pages. (For 
example, remember that if your Project Narrative starts on page 5 and 
ends on page 30, it is 26 pages long, not 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, the Biographical Sketches/Job 
Descriptions.
    [ssbox] Section E--Literature Citations. This section must contain 
complete citations, including titles and all authors, for any 
literature you cite in your application.
    [ssbox] 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.
    [ssbox] Section G--Biographical Sketches and Job Descriptions.
    [cir] Include a biographical sketch for the Project Director and 
other key positions. Each sketch should be 2 pages or less. If the 
person has not been hired, include a position description/and or a 
letter of commitment with a current biographical sketch from the 
individual.
    [cir] Include job descriptions for key personnel. Job descriptions 
should be no longer than 1 page each.
    [cir] Sample sketches and job descriptions are listed on page 22, 
Item

[[Page 62375]]

6 in the Program Narrative section of the PHS 5161-1.
    [ssbox] 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.
    [ballot] Appendices 1 through 5--Use only the appendices listed 
below. If your application includes any appendices not required in the 
grant announcement or NOFA, they will be disregarded. Do not use more 
than a total of 30 pages for Appendices 1, 4, and 5 combined. There are 
no page limitations for Appendices 2 and 3. Do not use appendices to 
extend or replace any of the sections of the Project Narrative unless 
specifically required in the NOFA. Reviewers will not consider them if 
you do.
    [dec222] Appendix 1: Letters of Support.
    [dec222] Appendix 2: Documentation of the Practice (Phase II only 
applicants)
    [dec222] Appendix 3: Data Collection Instruments/Interview 
Protocols
    [dec222] Appendix 4: Sample Consent Forms
    [dec222] Appendix 5: Letter to the SSA (if applicable; see Section 
IV-4 of this ocument)
    [ballot] Assurances--Non-Construction Programs. Use Standard Form 
424B found in PHS 5161-1. Some applicants will be required to complete 
the Assurance of Compliance with SAMHSA Charitable Choice Statutes and 
Regulations Form SMA 170. If this assurance applies to a specific 
funding opportunity, it will be posted on SAMHSA's web site with the 
NOFA and provided in the application kits available at SAMHSA's 
clearinghouse (NCADI).
    [ballot] Certifications--Use the ``Certifications'' forms found in 
PHS 5161-1.
    [ballot] Disclosure of Lobbying Activities--Use form SF 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.
    [ballot] 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.
    [ballot] Information provided must be sufficient for review.
    [ballot] 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.
    [ballot] Paper must be white paper and 8.5 inches by 11.0 inches in 
size.
    [shabox3] 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.
    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.
    [shabox3] Pages should be typed single-spaced in black ink, with 
one column per page. Pages should not have printing on both sides.
    [shabox3] Please 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.
    [shabox3] The page limit of a total of 30 pages for Appendices 1, 4 
and 5 combined should not be exceeded.
    [shabox3] 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 Confidentiality and Human Subjects Protection
    Applicants must describe procedures relating to Confidentiality and 
the Protection of Human Subjects Regulations in Section H of the 
application, using the guidelines provided below. Problems with 
confidentiality 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:
    [dec222] 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.
    [dec222] Describe the procedures you will follow to minimize or 
protect participants against potential risks, including risks to 
confidentiality.
    [dec222] Identify plans to provide guidance and assistance in the 
event there are adverse effects to participants.
    [dec222] 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:
    [dec222] 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,

[[Page 62376]]

children of substance abusers, pregnant women, or other targeted 
groups.
    [dec222] 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.
    [dec222] Explain the reasons for including or excluding 
participants.
    [dec222] Explain how you will recruit and select participants. 
Identify who will select participants.
    3. Absence of Coercion:
    [dec222] 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.
    [dec222] If you plan to compensate participants, state how 
participants will be awarded incentives (e.g., money, gifts, etc.).
    [dec222] 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:
    [dec222] 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.
    [dec222] 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.
    [dec222] Provide in Appendix 3: Data Collection Instruments/
Interview Protocols, copies of all available data collection 
instruments and interview protocols that you plan to use.
    5. Privacy and Confidentiality:
    [dec222] Explain how you will ensure privacy and confidentiality. 
Include who will collect data and how it will be collected.
    [dec222] Describe:
    [cir] How you will use data collection instruments.
    [cir] Where data will be stored.
    [cir] Who will or will not have access to information.
    [cir] How the identity of participants will be kept private, for 
example, through the use of a coding system on data records, limiting 
access to records, or storing identifiers separately from data.

    Note: If applicable, grantees must agree to maintain the 
confidentiality of alcohol and drug abuse client records according 
to the provisions of Title 42 of the Code of Federal Regulations, 
Part 2.

    6. Adequate Consent Procedures:
    [dec222] 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.
    [dec222] State:
    [cir] Whether or not their participation is voluntary.
    [cir] Their right to leave the project at any time without 
problems.
    [cir] Possible risks from participation in the project.
    [cir] Plans to protect clients from these risks.
    [dec222] 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.

    [dec222] 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?
    [dec222] 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 4, ``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.

    [dec222] 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?
    [dec222] Additionally, if other consents (e.g., consents to release 
information to others or gather information from others) will be used 
in your project, provide a description of the consents. Will 
individuals who do not consent to having individually identifiable data 
collected for evaluation purposes be allowed to participate in the 
project?
    7. Risk/Benefit Discussion:
    Discuss why the risks are reasonable compared to expected benefits 
and importance of the knowledge from the project.
Protection of Human Subjects Regulations
    All applicants for Service-to-Science grants must comply with the 
Protection of Human Subjects Regulations (45 CFR part 46).
    Applicants 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, you will be 
required, as a condition of award, to provide the documentation that an 
Assurance of Compliance is on file with the Office for Human Research 
Protections (OHRP) and that IRB approval has been received prior to 
enrolling any participants in the proposed project.
    General information about Protection of Human Subjects Regulations 
can be obtained on the web at http://www.hhs.gov/ohrp. You may also 
contact OHRP by e-mail ([email protected]) or by phone (301-496-
7005). SAMHSA-specific questions related to Protection of Human 
Subjects Regulations should be directed to the program contact listed 
in Section VII of the NOFA.

3. Submission Dates and Times

    Deadlines for submission of applications for specific funding 
opportunities will be published in the NOFAs in the Federal Register 
and posted on the Federal grants web site (www.grants.gov).
    Hand carried applications will not be accepted. Applications may be 
shipped using only DHL, Falcon Carrier, Federal Express (FedEx), United 
Parcel Service (UPS), or the United States Postal Service (USPS).
    Your application must be received by the application deadline, or 
you must have proof of its timely submission as specified below.
     For packages submitted via DHL, Falcon Carrier, Federal 
Express (FedEx), or United Parcel Service (UPS), timely submission 
shall be evidenced by a delivery service receipt indicating the 
application was delivered to a carrier

[[Page 62377]]

service at least 24 hours prior to the application deadline.
     For packages submitted via the United States Postal 
Service (USPS), proof of timely submission shall be a postmark not 
later than 1 week prior to the application deadline, and the following 
upon request by SAMHSA:
    [cir] Proof of mailing using USPS Form 3817 (Certificate of 
Mailing), or
    [cir] A receipt from the Post Office containing the post office 
name, location, and date and time of mailing.
    You will be notified by postal mail that your application has been 
received.
    Applications not meeting the timely submission requirements above 
will not be considered for review. Please remember that mail sent to 
Federal facilities undergoes a security screening prior to delivery. 
Allow sufficient time for your package to be delivered.
    If an application is mailed to a location or office (including room 
number) that is not designated for receipt of the application, and that 
results in the designated office not receiving your application in 
accordance with the requirements for timely submission, it will cause 
the application to be considered late and ineligible for review.
    SAMHSA will not accept or consider any applications sent by 
facsimile.
    SAMHSA is collaborating with http://www.grants.gov to accept 
electronic submission of applications only for select funding 
opportunities. Unless specifically indicated in the NOFA, electronic 
submission of applications will not be accepted.

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.
    [dec222] Check the list to determine whether your State 
participates in this program. You do not need to do this if you are a 
federally recognized Indian tribal government.
    [dec222] 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.
    [dec222] For proposed projects serving more than one State, you are 
advised to contact the SPOC of each affiliated State.
    [dec222] The SPOC should send any State review process 
recommendations to the following address within 60 days of the 
application deadline:
    For United States Postal Service: Crystal Saunders, Director of 
Grant Review, Office of Program Services, Substance Abuse and Mental 
Health Services Administration, Room 3-1044, 1 Choke Cherry Road, 
Rockville, MD 20850, ATTN: SPOC `` Funding Announcement No. [fill in 
pertinent funding opportunity number from NOFA].
    For other delivery service: Crystal Saunders, Director of Grant 
Review, Office of Program Services, Substance Abuse and Mental Health 
Services Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, 
MD 20850, ATTN: SPOC--Funding Announcement No. [fill in pertinent 
funding opportunity number from NOFA].
    In addition, community-based, non-governmental service providers 
who are not transmitting their applications through the State must 
submit a Public Health System Impact Statement (PHSIS) (approved by OMB 
under control no. 0920-0428; see burden statement below) to the head(s) 
of appropriate State or local health agencies in the area(s) to be 
affected no later than the pertinent receipt date for applications. The 
PHSIS is intended to keep State and local health officials informed of 
proposed health services grant applications submitted by community-
based, non-governmental organizations within their jurisdictions. State 
and local governments and Indian tribal government applicants are not 
subject to these requirements.
    The PHSIS consists of the following information:
    [dec222] A copy of the face page of the application (SF 424); and
    [dec222] A summary of the project, no longer than one page in 
length, that provides: (1) A description of the population to be 
served, (2) a summary of the services to be provided, and (3) a 
description of the coordination planned with appropriate State or local 
health agencies.
    For SAMHSA grants, the appropriate State agencies are the Single 
State Agencies (SSAs) for substance abuse and mental health. A listing 
of the SSAs can be found on SAMHSA's Web site at http://www.samhsa.gov. 
If the proposed project falls within the jurisdiction of more than one 
State, you should notify all representative SSAs.
    Applicants who are not the SSA must include a copy of a letter 
transmitting the PHSIS to the SSA in Appendix 4, ``Letter to the SSA.'' 
The letter must notify the State that, if it wishes to comment on the 
proposal, its comments should be sent not later than 60 days after the 
application deadline to:
    For United States Postal Service: Crystal Saunders, Director of 
Grant Review, Office of Program Services, Substance Abuse and Mental 
Health Services Administration, Room 3-1044, 1 Choke Cherry Road, 
Rockville, MD 20857, ATTN: SSA--Funding Announcement No. [fill in 
pertinent funding opportunity number from NOFA].
    For other delivery service: Crystal Saunders, Director of Grant 
Review, Office of Program Services, Substance Abuse and Mental Health 
Services Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, 
MD 20850, ATTN: SSA--Funding Announcement No. [fill in pertinent 
funding opportunity number from NOFA].
    In addition:
    [dec222] Applicants may request that the SSA send them a copy of 
any State comments.
    [dec222] The applicant must notify the SSA within 30 days of 
receipt of an award.
    [Public reporting burden for the Public Health System Reporting 
Requirement is estimated to average 10 minutes per response, including 
the time for copying the face page of SF 424 and the abstract and 
preparing the letter for mailing. An agency may not conduct or sponsor, 
and a person is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number. The OMB 
control number for this project is 0920-0428. Send comments regarding 
this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24, 
Atlanta, GA 30333, ATTN: PRA (0920-0428).]

5. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
    [dec222] Institutions of Higher Education: OMB Circular A-21.
    [dec222] State and Local Governments: OMB Circular A-87.
    [dec222] Nonprofit Organizations: OMB Circular A-122.
    [dec222] Appendix E Hospitals: 45 CFR Part 74.
    In addition, SAMHSA Service-to-Science grant funds may not be used 
to:
    [dec222] Pay for any lease beyond the project period.

[[Page 62378]]

    [dec222] Provide services to incarcerated populations (defined as 
those persons in jail, prison, detention facilities, or in custody 
where they are not free to move about in the community).
    [dec222] Pay for the purchase or construction of any building or 
structure to house any part of the program. (Applicants may request up 
to $75,000 for renovations and alterations of existing facilities, if 
necessary and appropriate to the project.)
    [dec222] Provide residential or outpatient treatment services when 
the facility has not yet been acquired, sited, approved, and met all 
requirements for human habitation and services provision. (Expansion or 
enhancement of existing residential services is permissible.)
    [dec222] Pay for housing other than residential mental health and/
or substance abuse treatment.
    [dec222] Provide inpatient treatment or hospital-based 
detoxification services. Residential services are not considered to be 
inpatient or hospital-based services.
    [dec222] Pay for incentives to induce clients to enter treatment. 
However, a grantee or treatment provider may provide up to $20 or 
equivalent (coupons, bus tokens, gifts, childcare, and vouchers) to 
clients as incentives to participate in required data collection 
follow-up. This amount may be paid for participation in each required 
interview.
    [dec222] Implement syringe exchange programs, such as the purchase 
and distribution of syringes and/or needles.
    [dec222] Pay for pharmacologies for HIV antiretroviral therapy, 
sexually transmitted diseases (STDs)/sexually transmitted illnesses 
(STI), TB, and hepatitis B and C, or for psychotropic drugs.
    [dec222] SAMHSA will not accept a ``research'' indirect cost rate. 
The grantee must use the ``other sponsored program rate'' or the lowest 
rate available.

6. Other Submission Requirements

6.1 Where To Send Applications
    Send applications to the following address:
    For United States Postal Service: Crystal Saunders, Director of 
Grant Review, Office of Program Services, Substance Abuse and Mental 
Health Services Administration, Room 3-1044, 1 Choke Cherry Road, 
Rockville, MD 20857.
    For other delivery service: Crystal Saunders, Director of Grant 
Review, Office of Program Services, Substance Abuse and Mental Health 
Services Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, 
MD 20850.
    Do not send applications to other agency contacts, as this could 
delay receipt. Be sure to include the funding announcement number from 
the NOFA in item number 10 on the face page of the application. If you 
require a phone number for delivery, you may use (240) 276-1199.
6.2 How To Send Applications
    Mail or deliver an original application and 2 copies (including 
appendices) to the mailing address provided above, according to the 
instructions in Section IV-3. The original and copies must not be 
bound. Do not use staples, paper clips, or fasteners. Nothing should be 
attached, stapled, folded, or pasted.
    Hand carried applications will not be accepted. Applications may be 
shipped using only DHL, Falcon Carrier, Federal Express (FedEx), United 
Parcel Service (UPS), or the United States Postal Service (USPS).
    SAMHSA will not accept or consider any applications sent by 
facsimile.
    Unless specifically indicated in the NOFA, electronic submission of 
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.
    [dec222] In developing the Project Narrative section of your 
application, use these instructions along with any additional 
instructions found in the NOFA. These are to be used instead of the 
``Program Narrative'' instructions found in the PHS 5161-1.
    [dec222] You must use the four sections/headings listed below in 
developing your Project Narrative. Be sure to place the required 
information in the correct section, or it will not be considered. Your 
application will be scored according to how well you address the 
requirements for each section.
    [dec222] Reviewers will be looking for evidence of cultural 
competence in each section of the Project Narrative. Points will be 
assigned based on how well you address the cultural competence aspects 
of the evaluation criteria. SAMHSA's guidelines for cultural competence 
can be found on the SAMHSA web site at www.samhsa.gov. Click on ``Grant 
Opportunities.''
    [dec222] The Supporting Documentation you provide in Sections E-H 
and Appendices 1 through 5 will be considered by reviewers in assessing 
your response, along with the material in the Project Narrative.
    [dec222] 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 (15 Points)
    [dec222] Describe the problem the project will address. Describe 
the national significance of the problem. Documentation of need may 
come from a variety of qualitative and quantitative sources in the 
professional literature. The quantitative data could also come from 
national data available regarding mental health and substance use 
needs, gaps, and priorities. For example:
    [cir] Applications focusing on substance abuse might draw from 
SAMHSA's National Household Survey on Drug Use and Health (NHSDUH); 
Drug Abuse Warning Network (DAWN); and Drug and Alcohol Services 
Information System (DASIS), which includes the Treatment Episode Data 
Set (TEDS).
    [cir] Applications focusing on mental health might draw on data 
available from the National Association of State Mental Health Program 
Directors (NASMHPD), SAMHSA (http://www.samhsa.gov/cmhs/MentalHealthStatistics), or other sources.
    Qualitative sources may also include conclusions of conferences and 
events of national significance.
    [dec222] Describe the target population for the practice, including 
demographic information. Be sure to check the NOFA for any specific 
requirements regarding the target population and catchment area. 
Discuss the target population's language, beliefs, norms and values, as 
well as socioeconomic factors that must be considered in delivering 
programs to this population.
    [dec222] Review the literature that demonstrates a need to develop 
or adapt an effective practice for the target population. Demonstrate 
through the literature review that current evidence-based approaches to 
the problem do not exist or have not been evaluated for the specific 
target populations, or that approaches of greater clinical or cost 
effectiveness are needed.
    [dec222] Demonstrate that the need in the community in which the 
project will be carried out is of sufficient magnitude that an adequate 
evaluation of the practice can be conducted. To the extent possible, 
use locally generated data or

[[Page 62379]]

State data such as that available through State needs assessments.
    [dec222] Check the NOFA for any additional requirements.
Section B: Proposed Approach (30 Points)
    [dec222] Describe the practice proposed for evaluation. Document 
that the practice has been in place and operational for at least one 
year prior to the application due date.
    [dec222] Describe how the proposed practice will respond to the 
needs described in Section A of your Project Narrative and is 
consistent with the program purpose described in the NOFA. Address any 
and all program requirements specified in the NOFA.
    [dec222] Discuss the potential effectiveness of the practice 
proposed for evaluation. Why has this practice been selected? Present 
the theoretical underpinnings, core principles, and major assumptions 
of the proposed practice. Outline the key operational elements of the 
practice and summarize any relevant literature.
    [dec222] Identify any necessary collaborators on the project, 
including their roles and responsibilities. Demonstrate their 
commitment to the project. Include letters of support in Appendix 1: 
Letters of Support. Identify any cash or in-kind contributions that 
will be made to the project by the applicant or other partnering 
organizations.
    [dec222] Describe your experience with similar collaborative 
projects, and explain why you believe you will be able to sustain this 
collaboration throughout the project period.
    [dec222] If applying for combined Phase I and II, describe the 
extent to which the practice has been previously developed, 
implemented, stabilized, and documented. Include a description of the 
extent to which the support system needed for full implementation of 
the proposed practice is in place--e.g., community collaboration and 
consensus building; alignment of management information systems, 
policies, and funding mechanisms; documentation of core elements of the 
practice; reliable recruitment and intake procedures; quality assurance 
and accountability mechanisms; training and overall readiness of those 
implementing the practice; and involvement of families and consumers in 
the project.
    [dec222] If applying for Phase II only, show that the practice is 
ready for systematic evaluation by providing documentation, in Appendix 
2, that includes all of the following:
    [cir] A logic model depicting the principles and concepts 
underlying the practice.
    [cir] A copy of the Title Page and Table of Contents for a manual 
describing the practice in detail that would allow others to replicate 
the practice, and details on how the manual can be acquired.
    [cir] Documentation of how critical stakeholders were included in 
the development of the practice.
    [cir] A detailed description of the population that the practice is 
designed to serve, and demographic characteristics of the people served 
by the practice over the past year.
    [cir] Demonstration of stability in the number of people being 
served by the practice.
    [cir] Documentation that staff are trained in the practice (via the 
number and percentage of staff trained), and a mechanism for ongoing 
training for any new staff.
    [cir] Evidence demonstrating that the practice is in full operation 
and that a routine service delivery process is in place.
    [cir] Pilot outcome results. (Note: Collection of these data need 
not include an extensive set of outcomes systematically collected on 
all participants, but quantitative project data should provide some 
indication that key outcomes are being achieved.)
    [dec222] Present the goals and measurable objectives of the 
project. Describe why the practice can better be evaluated for 
effectiveness following completion of the grant activities. For 
applications that include Phase I, include in your description how 
achievement of your goals will fulfill the Performance Expectations 
cited in Section I-2 of this document.
    [dec222] Describe the action steps to accomplish the goals and 
objectives. Demonstrate that the action steps will lead to successful 
accomplishment of the goals and objectives.
    [dec222] Describe the potential barriers to successful conduct of 
the proposed project and how you will overcome them.
    [dec222] Describe how the proposed project will address issues of 
age, race/ethnicity, culture, language, sexual orientation, disability, 
literacy, and gender in the target population.
    [dec222] Check the NOFA for any additional requirements.
Section C: Evaluation Design and Analysis (40 Points)
    [dec222] Describe in detail your evaluation design for determining 
the effectiveness of the practice. For applications that include Phase 
I, describe your process evaluation to determine that the practice is 
in full operation, as well as how you will track the number and 
percentage of staff fully trained in the practice.
    [dec222] Describe the process and outcome evaluation protocols you 
intend to use. Include in Appendix 3 evaluation instruments to be used. 
Describe any literature or pilot testing done to verify the validity 
and reliability of the instruments to be used or how you plan to 
develop the instruments during the grant period.
    [dec222] Discuss the reliability and validity of evaluation methods 
and instrument(s) in terms of the gender/age/culture of the target 
population.
    [dec222] Describe how you will develop and manage a database 
management system to record participant demographic characteristics, 
practice outcomes, service utilization, practice costs, and 
satisfaction of stakeholders with the practice.
    [dec222] Describe how the integrity of the practice will be 
assessed using a fidelity (see Glossary) scale. If no fidelity scale 
currently exists for the practice, describe the process by which you 
will develop one during the grant period. Describe how you will 
document and assess changes to the model that occur throughout the 
project.
    [dec222] Document your ability to collect and report on the 
required performance measures as specified in the NOFA, including data 
required by SAMHSA to meet GPRA requirements. Specify and justify any 
additional measures you plan to use for your grant project.
    [dec222] Describe how you will analyze the data collected. Include 
any analyses that will be done to determine the effectiveness of the 
practice for diverse subgroups, as well as the satisfaction of various 
stakeholder groups with the practice.
    [dec222] Describe how your process evaluation will document the 
role of critical stakeholders in the development and/or evaluation of 
the practice.
    [dec222] Check the NOFA for any additional requirements.
Section D: Management Plan and Staffing (15 Points)
    [dec222] Provide a realistic time line for the project (chart or 
graph) showing key activities, milestones, and responsible staff. 
[Note: The time line should be part of the Project Narrative. It should 
not be placed in an appendix.]
    [dec222] Discuss the capability and experience of the applicant 
organization and other participating organizations with similar 
projects and populations, including experience in providing culturally 
appropriate/competent services.
    [dec222] Provide a list of staff members who will conduct the 
project, showing the

[[Page 62380]]

role of each and their level of effort and qualifications. Include the 
Project Director and other key personnel, such as evaluators and 
database management personnel.
    [dec222] Describe the racial/ethnic characteristics of key staff 
and indicate if any are members of the target population/community. If 
the target population is multi-linguistic, indicate if the staffing 
pattern includes bilingual and bicultural individuals.
    [dec222] If you plan to include an advisory body in your project, 
describe its membership, roles and functions, and frequency of 
meetings.
    [dec222] Describe the resources available for the proposed project 
(e.g., facilities, equipment), and provide evidence that resources are 
adequate for conducting a high-quality evaluation of the identified 
practice.
    [dec222] Check the NOFA for any additional requirements.

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

2. Review and Selection Process

    SAMHSA applications are peer-reviewed according to the review 
criteria listed above. For those programs where the individual award is 
over $100,000, applications must also be reviewed by the appropriate 
National Advisory Council.
    Decisions to fund a grant are based on:
    [dec222] The strengths and weaknesses of the application as 
identified by the peer review committee and approved by the appropriate 
National Advisory Council;
    [dec222] Availability of funds; and
    [dec222] 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 (Evaluation Design and Analysis--40 
points). Should a tie still exist, the evaluation criterion with the 
next highest possible point value will be used, continuing sequentially 
to the evaluation criterion with the lowest possible point value, 
should that be necessary to break all ties. If an evaluation criterion 
to be used for this purpose has the same number of possible points as 
another evaluation criterion, the criterion listed first in Section V-1 
will be used first.

VI. Award Administration Information

1. Award Notices

    After your application has been reviewed, you will receive a letter 
from SAMHSA through postal mail that describes the general results of 
the review, including the score that your application received.
    If you are approved for funding, you will receive an additional 
notice, the Notice of Grant Award, signed by SAMHSA's Grants Management 
Officer. The Notice of Grant Award is the sole obligating document that 
allows the grantee to receive Federal funding for work on the grant 
project. It is sent by postal mail and is addressed to the contact 
person listed on the face page of the application.
    If you are not funded, you can re-apply if there is another receipt 
date for the program.
2. Administrative and National Policy Requirements
    [dec222] You must comply with terms and conditions of the grant 
award. Standard SAMHSA terms and conditions are available on SAMHSA's 
Web site at http://www.samhsa.gov/grants/generalinfo/useful_info.aspx.
    [dec222] 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:
    [cir] Actions required to be in compliance with human subjects 
requirements;
    [cir] Requirements relating to additional data collection and 
reporting;
    [cir] Requirements relating to participation in a cross-site 
evaluation; or
    [cir] Requirements to address problems identified in review of the 
application.
    [dec222] 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.
    [dec222] 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
    [dec222] Grantees must provide annual and final progress reports. 
The final progress report must summarize information from the annual 
reports, describe the accomplishments of the project, and describe next 
steps for implementing plans developed during the grant period.
    [dec222] Grantees must provide annual and final financial status 
reports. These reports may be included as separate sections of annual 
and final progress reports or can be separate documents. Because SAMHSA 
is extremely interested in ensuring that treatment or prevention 
service efforts are sustained, your financial reports should explain 
plans to ensure the sustainability (see Glossary) of efforts initiated 
under this grant. Initial plans for sustainability should be described 
in year 1 of the grant. In each subsequent year, you should describe 
the status of the project, successes achieved and obstacles encountered 
in that year.
    [dec222] SAMHSA will provide guidelines and requirements for these 
reports to grantees at the time of award and at the initial grantee 
orientation meeting after award. SAMHSA staff will use the information 
contained in the reports to determine the grantee's progress toward 
meeting its goals.
3.2 Government Performance and Results Act (GPRA)
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. To 
meet the GPRA requirements, SAMHSA must collect performance data (i.e., 
``GPRA data'') from grantees. These requirements will be specified in 
the NOFA for each funding opportunity.
3.3 Publications
    If you are funded under this grant program, you are required to 
notify the Government Project Officer (GPO) and SAMHSA's Publications 
Clearance Officer (240-276-2130) of any materials based on the SAMHSA-
funded project that are accepted for publication.
    In addition, SAMHSA requests that grantees:
    [dec222] Provide the GPO and SAMHSA Publications Clearance Officer 
with advance copies of publications.

[[Page 62381]]

    [dec222] Include acknowledgment of the SAMHSA grant program as the 
source of funding for the project.
    [dec222] Include a disclaimer stating that the views and opinions 
contained in the publication do not necessarily reflect those of SAMHSA 
or the U.S. Department of Health and Human Services, and should not be 
construed as such.
    SAMHSA reserves the right to issue a press release about any 
publication deemed by SAMHSA to contain information of program or 
policy significance to the substance abuse treatment/substance abuse 
prevention/mental health services community.

VII. Agency Contacts

    The NOFAs provide contact information for questions about program 
issues.
    For questions on grants management issues, contact: Kimberly 
Pendleton, Office of Program Services, Division of Grants Management, 
Substance Abuse and Mental Health Services Administration, 1 Choke 
Cherry Road, Room 7-1097, Rockville, Maryland 20857, (240) 276-1421, 
[email protected].

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

    SAMHSA's goal is to review all applications submitted for grant 
funding. However, this goal must be balanced against SAMHSA's 
obligation to ensure equitable treatment of applications. For this 
reason, SAMHSA has established certain formatting requirements for 
its applications. If you do not adhere to these requirements, your 
application will be screened out and returned to you without review. 
In addition to these formatting requirements, programmatic 
requirements (e.g., relating to eligibility) may be stated in the 
specific NOFA and in Section III of the standard grant announcement. 
Please check the entire NOFA and Section III of the standard grant 
announcement before preparing your application.
    [ballot] Use the PHS 5161-1 application.
    [ballot] Applications must be received by the application 
deadline or have proof of timely submission, as detailed in Section 
IV-3 of the grant announcement.
    [ballot] Information provided must be sufficient for review.
    [ballot] 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.
    [ballot] Paper must be white paper and 8.5 inches by 11.0 inches 
in size.
    [ballot] To ensure equity among applications, the amount of 
space allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by using all 
margins (left, right, top, bottom) of at least one inch each, and 
adhering to the page limit for the Project Narrative stated in the 
specific funding announcement.
     Should an application not conform to these margin or 
page limits, SAMHSA will use the following method to determine 
compliance: The total area of the Project Narrative (excluding 
margins, but including charts, tables, graphs and footnotes) cannot 
exceed 58.5 square inches multiplied by the page limit. This number 
represents the full page less margins, multiplied by the total 
number of allowed pages.
     Space will be measured on the physical page. Space left 
blank within the Project Narrative (excluding margins) is considered 
part of the Project Narrative, in determining compliance.
    To facilitate review of your application, follow these 
additional guidelines. Failure to adhere to the following guidelines 
will not, in itself, result in your application being screened out 
and returned without review. However, the information provided in 
your application must be sufficient for review. Following these 
guidelines will help ensure your application is complete, and will 
help reviewers to consider your application.
    [ballot] The 10 application components required for SAMHSA 
applications should be included. These are:
     Face Page (Standard Form 424, which is in PHS 5161-1).
     Abstract.
     Table of Contents.
     Budget Form (Standard Form 424A, which is in PHS 5161-
1).
     Project Narrative and Supporting Documentation.
     Appendices.
     Assurances (Standard Form 424B, which is in PHS 5161-
1).
     Certifications (a form within PHS 5161-1).
     Disclosure of Lobbying Activities (Standard Form LLL, 
which is in PHS 5161-1).
     Checklist (a form in PHS 5161-1).
    [ballot] Applications should comply with the following 
requirements:
     Provisions relating to confidentiality, participant 
protection and the protection of human subjects specified in Section 
IV-2.4 of the FY 2005 standard funding announcements.
     Budgetary limitations as specified in Section I, II, 
and IV-5 of the FY 2005 standard funding announcements.
     Documentation of nonprofit status as required in the 
PHS 5161-1.
    [ballot] Pages should be typed single-spaced in black ink, with 
one column per page. Pages should not have printing on both sides.
    [ballot] Please 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.
    [ballot] The page limits for Appendices stated in the specific 
funding announcement should not be exceeded.
    [ballot] Send the original application and two copies to the 
mailing address in the funding announcement. Please do not use 
staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be 
copied or sent to reviewers. Do not include videotapes, audiotapes, 
or CD-ROMs.

Appendix B--Glossary

    Best Practice: Best practices are practices that incorporate the 
best objective information currently available regarding 
effectiveness and acceptability.
    Catchment Area: A catchment area is the geographic area from 
which the target population to be served by a program will be drawn.
    Cooperative Agreement: A cooperative agreement is a form of 
Federal grant. Cooperative agreements are distinguished from other 
grants in that, under a cooperative agreement, substantial 
involvement is anticipated between the awarding office and the 
recipient during performance of the funded activity. This 
involvement may include collaboration, participation, or 
intervention in the activity. HHS awarding offices use grants or 
cooperative agreements (rather than contracts) when the principal 
purpose of the transaction is the transfer of money, property, 
services, or anything of value to accomplish a public purpose of 
support or stimulation authorized by Federal statute. The primary 
beneficiary under a grant or cooperative agreement is the public, as 
opposed to the Federal Government.
    Cost Sharing or Matching: Cost sharing refers to the value of 
allowable non-Federal contributions toward the allowable costs of a 
Federal grant project or program. Such contributions may be cash or 
in-kind contributions. For SAMHSA grants, cost sharing or matching 
is not required, and applications will not be screened out on the 
basis of cost sharing. However, applicants often include cash or in-
kind contributions in their proposals as evidence of commitment to 
the proposed project. This is allowed, and this information may be 
considered by reviewers in evaluating the quality of the 
application.
    Fidelity: Fidelity is the degree to which a specific 
implementation of a program or practice resembles, adheres to, or is 
faithful to the evidence-based model on which it is based. Fidelity 
is formally assessed using rating scales of the major elements of 
the evidence-based model. A toolkit on how to develop and use 
fidelity instruments is available from the SAMHSA-funded Evaluation 
Technical Assistance Center at http://tecathsri.org or by calling 
(617) 876-0426.
    Grant: A grant is the funding mechanism used by the Federal 
Government when the principal purpose of the transaction is the 
transfer of money, property, services, or anything of value to 
accomplish a public

[[Page 62382]]

purpose of support or stimulation authorized by Federal statute. The 
primary beneficiary under a grant or cooperative agreement is the 
public, as opposed to the Federal Government.
    In-Kind Contribution: In-kind contributions toward a grant 
project are non-cash contributions (e.g., facilities, space, 
services) that are derived from non-Federal sources, such as State 
or sub-State non-Federal revenues, foundation grants, or 
contributions from other non-Federal public or private entities.
    Logic Model: A logic model is a diagrammatic representation of a 
theoretical framework. A logic model describes the logical linkages 
among program resources, conditions, strategies, short-term 
outcomes, and long-term impact. More information on how to develop 
logics models and examples can be found through the resources listed 
in Appendix 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--Logic Model Resources

    Chen, W.W., Cato, B.M., & Rainford, N. (1998-9). Using a logic 
model to plan and evaluate a community intervention program: A case 
study. International Quarterly of Community Health Education, 18(4), 
449-458.
    Edwards, E.D., Seaman, J.R., Drews, J., & Edwards, M.E. (1995). 
A community approach for Native American drug and alcohol prevention 
programs: A logic model framework. Alcoholism Treatment Quarterly, 
13(2), 43-62.
    Hernandez, M. & Hodges, S. (2003). Crafting Logic Models for 
Systems of Care: Ideas into Action. [Making children's mental health 
services successful series, volume 1]. Tampa, FL: University of 
South Florida, The Louis de la Parte Florida Mental Health 
Institute, Department of Child & Family Studies. http://cfs.fmhi.usf.edu or phone (813) 974-4651.
    Hernandez, M. & Hodges, S. (2001). Theory-based accountability. 
In M. Hernandez & S. Hodges (Eds.), Developing Outcome Strategies in 
Children's Mental Health, pp. 21-40. Baltimore: Brookes.
    Julian, D.A. (l997). Utilization of the logic model as a system 
level planning and evaluation device. Evaluation and Planning, 
20(3), 251-257.
    Julian, D.A., Jones, A., & Deyo, D. (1995). Open systems 
evaluation and the logic model: Program planning and evaluation 
tools. Evaluation and Program Planning, 18(4), 333-341.
    Patton, M.Q. (1997). Utilization-Focused Evaluation (3rd Ed.), 
pp. 19, 22, 241. Thousand Oaks, CA: Sage.
    Wholey, J.S., Hatry, H.P., Newcome, K.E. (Eds.) (1994). Handbook 
of Practical Program Evaluation. San Francisco, CA: Jossey-Bass Inc.

Appendix D--Sample Budget and Justification

Illustration of a Sample Detailed Budget and Narrative Justification to 
Accompany SF 424A: Section B for 01 Budget Period

Object Class Categories

Personnel

----------------------------------------------------------------------------------------------------------------
                                                                                                  Salary being
             Job title                        Name            Annual salary    Level of effort      requested
----------------------------------------------------------------------------------------------------------------
Project Director...................  J. Doe...............           $30,000               1.0           $30,000
Secretary..........................  Unnamed..............            18,000               0.5             9,000
Counselor..........................  R. Down..............            25,000               1.0            25,000
----------------------------------------------------------------------------------------------------------------

Enter Personnel subtotal on 424A, Section B, 6.a. $64,000

Fringe Benefits (24%) $15,360

Enter Fringe Benefits subtotal on 424A, Section B, 6.b. $15,360

Travel

------------------------------------------------------------------------
 
------------------------------------------------------------------------
2 trips for SAMHSA Meetings for 2 Attendees (Airfare @ $600       $5,280
 x 4 = $2,400) + (per diem @ $120 x 4 x 6 days = $2,880)...
Local Travel (500 miles x .24 per mile)....................          120
------------------------------------------------------------------------

Enter Travel subtotal on 424A, Section B, 6.c. $5,400

Equipment (List Individually)

    ``Equipment'' means an article of nonexpendable, tangible 
personal property having a useful life of more than one year and an 
acquisition cost which equals the lesser of (a) the capitalization 
level established by the governmental unit or nongovernmental 
applicant for financial statement purposes, or (b) $5000.

Enter Equipment subtotal on 424A, Section B, 6.d.

Supplies

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Office Supplies............................................         $500
Computer Software-1 WordPerfect............................          500
------------------------------------------------------------------------


[[Page 62383]]

Enter Supplies subtotal on 424A, Section B, 6.e. $1,000

Contractual Costs

Evaluation

----------------------------------------------------------------------------------------------------------------
                                                                                Salary being
             Job title                        Name            Annual salary       requested      Level of effort
----------------------------------------------------------------------------------------------------------------
Evaluator..........................  J. Wilson............           $48,000           $24,000               0.5
Other Staff........................  .....................            18,000            18,000               1.0
----------------------------------------------------------------------------------------------------------------

Fringe Benefits (25%) $10,500

Travel

------------------------------------------------------------------------
 
------------------------------------------------------------------------
2 trips x 1 Evaluator ($600 x 2)...........................       $1,200
per diem @ $120 x 6........................................          720
Supplies (General Office)..................................          500
------------------------------------------------------------------------


------------------------------------------------------------------------
 
------------------------------------------------------------------------
Evaluation Direct..........................................      $54,920
                                                            ------------
Evaluation Indirect Costs (19%)............................       10,435
    Evaluation Subtotal....................................       65,355
------------------------------------------------------------------------

Training

----------------------------------------------------------------------------------------------------------------
                                                                                                  Salary being
                Job title                                 Name                 Level of effort      requested
----------------------------------------------------------------------------------------------------------------
Coordinator..............................  M. Smith.........................               0.5           $12,000
2Admin. Asst.............................  N. Jones.........................               0.5             9,000
----------------------------------------------------------------------------------------------------------------

Fringe Benefits (25%) $5,250

Travel

------------------------------------------------------------------------
 
------------------------------------------------------------------------
2 Trips for Training Airfare @ $600 x 2....................       $1,200
Per Diem $120 x 2 x 2 days.................................          480
Local (500 miles x .24/mile)...............................          120
------------------------------------------------------------------------

Supplies

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Office Supplies............................................         $500
Software (WordPerfect).....................................          500
------------------------------------------------------------------------

Other

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Rent (500 Sq. Ft. x $9.95).................................       $4,975
Telephone..................................................          500
Maintenance (e.g., van)....................................        2,500
Audit......................................................        3,000
------------------------------------------------------------------------


------------------------------------------------------------------------
 
------------------------------------------------------------------------
Training Direct............................................      $40,025
Training Indirect..........................................          -0-
------------------------------------------------------------------------

Enter Contractual subtotal on 424A, Section B, 6.f. $105,380

Other

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Consultants = Expert @ $250/day X 6 day (If expert is             $1,500
 known, should list by name)...............................
------------------------------------------------------------------------


[[Page 62384]]

Enter Other subtotal on 424A, Section B, 6.h. $1,500

Total Direct Charges (sum of 6.a-6.h)

Enter Total Direct on 424A, Section B, 6.i. $192,640

Indirect Costs

    15% of Salary and Wages (copy of negotiated indirect cost rate 
agreement attached)

Enter Indirect subtotal of 424A, Section B, 6.j. $9,600

Totals

Enter TOTAL on 424A, Section B, 6.k. $202,240

Justification

    Personnel--Describe the role and responsibilities of each 
position.
    Fringe Benefits--List all components of the fringe benefit rate.
    Equipment--List equipment and describe the need and the purpose 
of the equipment in relation to the proposed project.
    Supplies--Generally self-explanatory; however, if not, describe 
need. Include explanation of how the cost has been estimated.
    Travel--Explain need for all travel other than that required by 
SAMHSA.
    Contractual Costs--Explain the need for each contractual 
arrangement and how these components relate to the overall project.
    Other--Generally self-explanatory. If consultants are included 
in this category, explain the need and how the consultant's rate has 
been determined.
    Indirect Cost Rate--If your organization has no indirect cost 
rate, please indicate whether your organization plans to (a) waive 
indirect costs if an award is issued, or (b) negotiate and establish 
an indirect cost rate with DHHS within 90 days of award issuance.

                  Calculation of Future Budget Periods (Based on First 12-Month Budget Period)
[Review and verify the accuracy of future year budget estimates. Increases or decreases in the future years must
be explained and justified and no cost of living increases will be honored. (Note: new salary cap of $175,700 is
                                      effective for all FY 2005 awards.) *]
----------------------------------------------------------------------------------------------------------------
                                                             First 12-month    Second 12-month   Third 12-month
                                                                 Period            Period            Period
----------------------------------------------------------------------------------------------------------------
Personnel:
    Project Director......................................            30,000            30,000            30,000
    Secretary **..........................................             9,000            18,000            18,000
    Counselor.............................................            25,000            25,000            25,000
                                                           -------------------
        Total Personnel...................................            64,000            73,000            73,000
-----------------------------------------------------------
Fringe Benefits (24%).....................................            15,360            17,520            17,520
Travel....................................................             5,400             5,400             5,400
Equipment.................................................               -0-               -0-               -0-
Supplies ***..............................................             1,000               520               520
Contractual:
    Evaluation ****.......................................            65,355            67,969            70,688
    Training..............................................            40,025            40,025            40,025
    Other.................................................             1,500             1,500             1,500
    Total Direct Costs....................................           192,640           205,934           208,653
    Indirect Costs (15% S&W)..............................             9,600             9,600             9,600
                                                           -------------------
        Total Costs.......................................           202,240           216,884          219,603
----------------------------------------------------------------------------------------------------------------
* Consistent with the requirement in the Consolidated Appropriations Act, Public Law 108-199.
** Increased from 50% to 100% effort in 02 through 03 budget periods.
*** Increased amount in 01 year represents costs for software.
**** Increased amounts in 02 and 03 years are reflected of the increase in client data collection.

    The Federal dollars requested for all object class categories 
for the first 12-month budget period are entered on Form 424A, 
Section B, Column (1), lines 6a-6i. The total Federal dollars 
requested for the second through the fifth 12-month budget periods 
are entered on Form 424A, Section E, Columns (b)-(e), line 20. The 
RFA will specify the maximum number of years of support that may be 
requested.

    Dated: October 12, 2004.
Daryl Kade,
Director, Office of Policy, Planning and Budget, Substance Abuse and 
Mental Health Services Administration.
[FR Doc. 04-23297 Filed 10-22-04; 8:45 am]
BILLING CODE 4162-20-P