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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Veterans Affairs Department

NOTICE: Part II

DOCUMENT ACTION: Notice of final Services Grants announcement.

SUBJECT CATEGORY: Notice of Final Standard Services Grants Announcement

DATES: Use of the standard Services Grants announcement will be effective November 21, 2003. The standard Services Grants announcement must be used in conjunction with separate Notices of Funding Availability (NOFAs) that will provide application due dates and other key dates for specific SAMHSA grant funding opportunities.
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DOCUMENT SUMMARY: On August 21, 2003, the Substance Abuse and Mental Health Services Administration (SAMHSA) announced plans to change its approach to announcing and soliciting applications for its discretionary grant programs in Fiscal Year (FY) 2004. These changes involved the publication of four standard grant announcements that would provide the basic program design and application instructions for four types of grantsServices Grants, Infrastructure Grants, Best Practices Planning and Implementation Grants, and ServicetoScience Grants. The four announcements were made available for public review and comment for 60 days. The comments received and changes made to the standard grant announcements are described in a separate Federal Register notice. This notice provides the final text for SAMHSA's standard Services Grants announcement.

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

SUMMARY: Health and Human Services Department, Substance Abuse and Mental Health Services Administration,

SUPPLEMENTAL INFORMATION

Starting in FY 2004, SAMHSA is changing its approach to announcing and soliciting applications for its discretionary grants. SAMHSA will publish four standard grant announcements that will describe the general program design and provide application instructions for four types of grantsServices Grants, Infrastructure Grants, Best Practices Planning and Implementation Grants, and ServicetoScience Grants. The text for the final standard Services Grants announcement is provided below.

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

Services GrantsSVC 04 (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).

Authority: Sections 509, 516 and/or 520A of the Public Health Service Act, as amended, and subject to the availability of funds (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)/Single appropriate State and local health State Agency Coordination. agencies by application deadline. Comments from Single State Agency are due no later than 60 days after application deadline.
Table of Contents
I. Funding Opportunity Description

A. Introduction

B. Expectations
II. Award Information

A. Award Amount

B. Funding Mechanism
III. Eligibility Information

A. Eligible Applicants

B. CostSharing

C. Other
IV. Application and Submission Information

A. Address To Request Application Package

B. Content and Form of Application Submission

C. Submission Dates and Times

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

E. Funding Limitations/Restrictions

F. Other Submission Requirements
V. Application Review Information

A. Evaluation Criteria

B. Review and Selection Process

C. Award Criteria
VI. Award Administration Information

A. Award Notices

B. Administrative and National Policy Requirements

C. Reporting Requirements
VII. Agency Contacts

VIII. Other Information

A. SAMHSA Confidentiality and Participant Protection Requirements and Protection of Human Subjects Regulations

B. Intergovernmental Review (E.O. 12372) Instructions

C. Public Health System Impact Statement
Appendix A: Checklist for Application Formatting Requirements Appendix B: Glossary
Appendix C: National Registry of Effective Programs
Appendix D: Center for Mental Health Services EvidenceBased Practice Toolkits
Appendix E: Effective Substance Abuse Treatment Practices
Appendix F: Statement of Assurance
Appendix G: Logic Model Resources
I. Funding Opportunity Description

A. Introduction

The Substance Abuse and Mental Health Services Administration (SAMHSA) announces its intent to solicit applications for Services Grants. 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:
[sbull] Infrastructure Grants support identification and implementation of systems changes but are not designed to fund services.
[sbull] 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 pilottest practices prior to fullscale implementation. [sbull] 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.

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:
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[sbull] Specify total funding available for the first year of the grants and the expected size and number of awards;
[sbull] Provide the application deadline;
[sbull] Note any specific program requirements for each funding opportunity; and
[sbull] 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.

B. 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 faithbased 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.
1. Documenting the EvidenceBase 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 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 evidencebased 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 EvidenceBased Practice/Service. SAMHSA has already determined that certain services/practices are solidly evidencebased services/practices and encourages applicants to select services/ practices from following sources (though this is not required): [sbull] SAMHSA's National Registry of Effective Programs (NREP) (see Appendix C)
[sbull] Center for Mental Health Services (CMHS) Evidence Based Practice Tool Kits (see Appendix D)
[sbull] List of Effective Substance Abuse Treatment Practices (see Appendix E)
[sbull] Additional practices identified in the NOFA for a specific funding opportunity, if applicable

Applicants proposing services/practices that are not included in the abovereferenced 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 peerreviewed literature.

In areas where little or no research has been published in the peerreviewed scientific literature, the applicant may present evidence involving studies that have not been published in the peerreviewed 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 evidencebase 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 evidencebased 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 evidencebased service/practice to be implemented. However, SAMHSA recognizes that adaptations or modifications to the original model may be necessary for a variety of reasons:
[sbull] To allow implementers to use resources efficiently [sbull] To adjust for specific needs of the client population [sbull] 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. Services Delivery

SAMHSA's Services Grant funds must be used primarily to support direct services, including the following types of activities: [sbull] Conducting outreach and preservice strategies to expand access to treatment or prevention services to underserved populations. If you propose to provide only outreach and preservice strategies, you must show that your organization is an effective and integral part of a network of service providers.
[sbull] 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. [sbull] Purchasing or providing ``wraparound'' services (see Glossary) (e.g., child care, vocational, educational and transportation services) designed to improve access and retention.
[sbull] 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.)
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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.
[sbull] Building partnerships to ensure the success of the project and entering into service delivery and other agreements.
[sbull] Developing or changing the infrastructure to expand treatment or prevention services.
[sbull] Training to assist treatment or prevention providers and community support systems to identify and address mental health or substance abuse issues.

4. Data and Performance Measurement

The Government Performance and Results Act of 1993 (Pub. L. 10362, 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 Web site 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 ServicetoScience 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.

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.

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: [sbull] How closely did implementation match the plan?
[sbull] What types of deviation from the plan occurred? [sbull] What led to the deviations?
[sbull] What effect did the deviations have on the planned intervention and evaluation?
[sbull] 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: [sbull] What was the effect of treatment on participants? [sbull] What program/contextual factors were associated with outcomes?
[sbull] What individual factors were associated with outcomes? [sbull] How durable were the effects?

No more than 20% of the total grant award may be used for evaluation and data collection, including GPRA.
II. Award Information

A. 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.

Applications with proposed budgets that exceed the allowable amount specified in the NOFA in any year of the proposed project will be screened out and will not be reviewed. 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.

B. 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

A. 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 faithbased organizations; and tribal organizations may apply. The statutory authority for this program prohibits grants to forprofit
organizations. The NOFA will indicate any limitations on eligibility. B. CostSharing

Costsharing (see Glossary) is not required in this program, and applications will not be screened out on the basis of costsharing. However, you may include cash or inkind contributions (see Glossary) in your proposal as evidence of commitment to the proposed project. [[Page 65773]]
C. Other

1. Additional Eligibility Requirements

SAMHSA applicants must comply with certain program requirements, including:
[sbull] budgetary limitations as specified in Sections I, II, and IVE of this document;
[sbull] documentation of nonprofit status as required in the PHS 51611;
[sbull] requirements relating to provider organization experience and provider organization certification and licensure, described below.

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.

Applications that do not comply with the specific program requirements for the funding opportunity for which the application is submitted will be screened out and will not be reviewed.

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:
[sbull] 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;
[sbull] Each direct service provider organization must have at least 2 years experience providing services in the geographic area(s) covered by the application, as of the due date of the application; and [sbull] 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:
[sbull] meet the 2year experience requirement
[sbull] meet applicable licensing, accreditation, and certification requirements, and,
[sbull] if the application is within the funding range, will provide the Government Project Officer (GPO) with the required documentation within the time specified.

If Appendix 1 of the application does not contain items (1)(3), the application will be considered ineligible and will not be reviewed.

In addition, if, following application review, an application's score is within the fundable range for a grant award, the GPO will call the applicant and request that the following documentation be sent by overnight mail:
[sbull] 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; [sbull] 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
[sbull] 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. A. Address To Request Application Package

You may request a complete application kit by calling one of SAMHSA's national clearinghouses:
[sbull] For substance abuse prevention or treatment grants, call the National Clearinghouse for Alcohol and Drug Information (NCADI) at 18007296686.
[sbull] For mental health grants, call the National Mental Health Information Center at 1800789CMHS (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: [sbull] A technical assistance manual for potential applicants; [sbull] Standard terms and conditions for SAMHSA grants; [sbull] Guidelines and policies that relate to SAMHSA grants (e.g., guidelines on cultural competence, consumer and family participation, and evaluation); and
[sbull] Enhanced instructions for completing the PHS 51611 application.
B. Content and Form of Application Submission

1. Required Documents

SAMHSA application kits include the following documents: [sbull] PHS 51611 (revised July 2000)Includes the face page, budget forms, assurances, certification, and checklist. Use the PHS 51611, 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.
[sbull] Program Announcement (PA)Includes instructions for the grant application. This document is the PA.
[sbull] 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).

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

2. Required Application Components

To ensure equitable treatment of all applications, SAMHSA will accept only
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complete applications for review. 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). Applications that do not contain the required components will be screened out and will not be reviewed.
[sbull] Face PageUse Standard Form (SF) 424, which is part of the PHS 51611. [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 18667055711. 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.]
[sbull] AbstractYour 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.
[sbull] Table of ContentsInclude page numbers for each of the major sections of your application and for each appendix.
[sbull] Budget FormUse SF 424A, which is part of the PHS 51611. Fill out Sections B, C, and E of the SF 424A.
[sbull] Project Narrative and Supporting DocumentationThe Project Narrative describes your project. It consists of Sections A through E. Sections AE together may not be longer than 30 pages. More detailed instructions for completing each section of the Project Narrative are provided in ``Section VApplication 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.
[sbull] Section FLiterature Citations. This section must contain complete citations, including titles and all authors, for any literature you cite in your application.
[sbull] Section GBudget 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.
[sbull] Section HBiographical Sketches and Job Descriptions. [sbull] Include a biographical sketch for the Project Director and other key positions. Each sketch should be 2 pages or less. If the person has not been hired, include a letter of commitment from the individual with a current biographical sketch.
[sbull] Include job descriptions for key personnel. Job descriptions should be no longer than 1 page each.
[sbull] Sample sketches and job descriptions are listed on page 22, Item 6 in the Program Narrative section of the PHS 51611.
[sbull] Section IConfidentiality and SAMHSA Participant Protection/Human Subjects. Section VIIIA of this document describes requirements for the protection of the confidentiality, rights and safety of participants in SAMHSAfunded activities. This section also includes guidelines for completing this part of your application. [sbull] Appendices 1 through 5Use only the appendices listed below. Do not use more than 30 pages for Appendices 1, 3 and 4. 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.
[sbull] Appendix 1: Letters of commitment/support. Identification of at least one experienced, licensed service provider organization. A list of all direct service provider organizations that have agreed to participate in the proposed project, including the applicant agency, if it is a treatment or prevention service provider organization. The Statement of Assurance (provided in Appendix F of this announcement) signed by the authorized representative of the applicant organization identified on the face page of the application, that assures SAMHSA that all listed providers meet the 2year 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. [sbull] Appendix 2: Data Collection Instruments/Interview Protocols [sbull] Appendix 3: Sample Consent Forms
[sbull] Appendix 4: Letter to the SSA (if applicable; see Section VIIIC of this document)
[sbull] 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.
[sbull] AssurancesNonConstruction Programs. Use Standard Form 424B found in PHS 51611. 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).
[sbull] CertificationsUse the ``Certifications'' forms found in PHS 51611.
[sbull] Disclosure of Lobbying ActivitiesUse Standard Form LLL found in the PHS 51611. 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.
[sbull] ChecklistUse the Checklist found in PHS 51611. The Checklist ensures that you have obtained the proper signatures, assurances and certifications and is the last page of your application. 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.
[sbull] Text must be legible.
[sbull] Paper must be white and 8.5'' by 11.0'' in size. [sbull] Pages must be typed singlespaced with one column per page. [sbull] Page margins must be at least one inch.
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[sbull] Type size in the Project Narrative cannot exceed an average of 15 characters per inch when measured with a ruler. (Type size in charts, tables, graphs, and footnotes will not be considered in determining compliance.)
[sbull] Photo reduction or condensation of type cannot be closer than 15 characters per inch or 6 lines per inch.
[sbull] Pages cannot have printing on both sides.
[sbull] Page limitations specified for the Project Narrative and Appendices cannot be exceeded.
[sbull] Information provided must be sufficient for review.

To facilitate review of your application, follow these additional guidelines:
[sbull] Applications should be prepared using black ink. This improves the quality of the copies of applications that are provided to reviewers.
[sbull] Do not use heavy or lightweight paper or any material that cannot be photocopied using automatic photocopying machines. Oddsized and oversized attachments, such as posters, will not be copied or sent to reviewers. Do not send videotapes, audiotapes, or CDROMs. [sbull] Pages should be numbered consecutively from beginning to end so that information can be located easily during review of the application. For example, the cover page should be labeled ``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 in the sequence.

C. 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).

Your application must be received by the application deadline. Applications received after this date must have a proofofmailing date from the carrier dated at least 1 week prior to the due date. Private metered postmarks are not acceptable as proof of timely mailing.

You will be notified by postal mail that your application has been received.

Applications not received by the application deadline or not postmarked by a week prior to the application deadline will be screened out and will not be reviewed.

D. 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. Instructions for this review are included in Section VIIIB of this document. Section VIIIC provides instructions for the Public Health System Impact Statement (PHSIS) and submission of comments from the Single State Agency (SSA).

E. Funding Limitations/Restrictions

Cost principles describing allowable and unallowable expenditures for Federal grantees, including SAMHSA grantees, are provided in the following documents:
[sbull] Institutions of Higher Education: OMB Circular A21. [sbull] State and Local Governments: OMB Circular A87.
[sbull] Nonprofit Organizations: OMB Circular A122.

[sbull] Appendix E Hospitals: 45 CFR Part 74.

In addition, SAMHSA Services Grant recipients must comply with the following funding restrictions:
[sbull] No more than 15% of the total grant award may be used for developing the infrastructure necessary for expansion of services. [sbull] No more than 20% of the total grant award may be used for evaluation and data collection, including GPRA.

Service Grant funds must be used for purposes supported by the program and may not be used to:
[sbull] Pay for any lease beyond the project period.
[sbull] 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).
[sbull] 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.)
[sbull] 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.) [sbull] Pay for housing other than residential mental health and/or substance abuse treatment.
[sbull] Provide inpatient treatment or hospitalbased
detoxification services. Residential services are not considered to be inpatient or hospitalbased services.
[sbull] 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 followup. This amount may be paid for participation in each required interview.
[sbull] Implement syringe exchange programs, such as the purchase and distribution of syringes and/or needles.
[sbull] 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. F. Other Submission Requirements

1. Where To Send Applications

Send applications to the following address: Substance Abuse and Mental Health Services Administration, Office of Program Services, Review Branch, 5600 Fishers Lane, Room 1789, Rockville, Maryland 20857.

Be sure to include the funding announcement number from the NOFA in item number 10 on the face page of the application. If you require a phone number for delivery, you may use (301) 4434266.

2. How To Send Applications

Mail an original application and 2 copies (including appendices) to the mailing address provided above. The original and copies must not be bound. Do not use staples, paper clips, or fasteners. Nothing should be attached, stapled, folded, or pasted.

You must use a recognized commercial or governmental carrier. Hand carried applications will not be accepted. Faxed or emailed applications will not be accepted.
V. Application Review Information

A. 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 AE). These sections describe what you intend to do with your project.
[sbull] In developing the Project Narrative section of your application, use these instructions, which have been tailored to this program. These are to be used instead of the ``Program Narrative'' instructions found in the PHS 51611.
[sbull] The Project Narrative (Sections AE) together may be no longer than 30 pages.
[sbull] You must use the five sections/headings listed below in developing your Project Narrative. Be sure to place
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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. [sbull] 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.''
[sbull] The Supporting Documentation you provide in Sections FI and Appendices 15 will be considered by reviewers in assessing your response, along with the material in the Project Narrative. [sbull] 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)
[sbull] Describe the target population (see Glossary) as well as the geographic area to be served, and justify the selection of both. Include the numbers to be served and demographic information. 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.
[sbull] 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. [sbull] Nontribal 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 countyidentified priority. Tribal applicants must provide similar documentation relating to tribal priorities.
[sbull] Check the NOFA for any additional requirements. Section B: Proposed EvidenceBased Service/Practice (30 points) [sbull] Clearly state the purpose, goals and objectives of your proposed project. Describe how achievement of goals will produce meaningful and relevant results (e.g., increase access, availability, prevention, outreach, preservices, treatment, and/or intervention). [sbull] Identify the evidenced based service/practice that you propose to implement. Describe the evidencebase for the proposed service/practice and show that it incorporates the best objective information available regarding effectiveness and acceptability. Follow the instructions provided in 1, 2 or 3 below, as appropriate:

1. If you are proposing to implement a service/practice included in NREP (see Appendix C), one of the CMHS toolkits on evidencebased 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 peerreviewed 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 [sbull] 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.
[sbull] Identify and justify any additional adaptations or modifications to the proposed service/practice.
[sbull] 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.
[sbull] 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. [sbull] Check the NOFA for any additional requirements. Section C: Proposed Implementation Approach (25 points)
[sbull] Describe how the proposed service or practice will be implemented. Provide a realistic time line for the project (chart or graph) showing key activities, milestones, and responsible staff. [Note: The time line should be part of the Project Narrative. It should not be placed in an appendix.]
[sbull] 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
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services to be provided and anticipated outcomes. Describe how the target population will be identified, recruited, and retained. [sbull] Describe how members of the target population helped prepare the application, and how they will help plan, implement, and evaluate the project.
[sbull] Describe how the project components will be embedded within the existing service delivery system, including other SAMHSAfunded 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 inkind contributions that will be made to the project by the applicant or other partnering organizations.
[sbull] 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.
[sbull] Describe the potential barriers to successful conduct of the proposed project and how you will overcome them.
[sbull] Provide a plan to secure resources to sustain the proposed project when Federal funding ends.
[sbull] Check the NOFA for any additional requirements. Section D: Staff and Organizational Experience (20 points)
[sbull] 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.
[sbull] 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.
[sbull] Describe the racial/ethnic characteristics of key staff and indicate if any are members of the target population/community. If the target population is multilinguistic, indicate if the staffing pattern includes bilingual and bicultural individuals.
[sbull] 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.
[sbull] Check the NOFA for any additional requirements. Section E: Evaluation and Data (15 points)
[sbull] 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. [sbull] 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. [sbull] Discuss the reliability and validity of evaluation methods and instrument(s) in terms of the gender/age/culture of the target population.
[sbull] 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.
[sbull] Describe how the evaluation will be used to ensure the fidelity to the practice.
[sbull] Provide a perperson 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.
[sbull] 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.

B. Review and Selection Process

SAMHSA applications are peerreviewed 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.
C. Award Criteria

Decisions to fund a grant are based on:
[sbull] the strengths and weaknesses of the application as identified by peer reviewers and, when applicable, approved by the appropriate National Advisory Council;
[sbull] availability of funds; and
[sbull] equitable distribution of awards in terms of geography (including urban, rural and remote settings) and balance among target populations and program size.
VI. Award Administration Information

A. 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 reapply if there is another receipt date for the program.
B. Administrative and National Policy Requirements
[sbull] You must comply with all terms and conditions of the grant award. SAMHSA's standard terms and conditions are available on the SAMHSA Web site (http://www.samhsa.gov). [sbull] 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: [sbull] actions required to be in compliance with human subjects requirements;
[sbull] requirements relating to additional data collection and reporting;
[sbull] requirements relating to participation in a crosssite evaluation; or
[sbull] requirements to address problems identified in review of the application.
[sbull] 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
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objectives may result in suspension or termination of the grant award, or in reduction or withholding of continuation awards.
[sbull] 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.
C. Reporting Requirements
1. Progress and Financial Reports
[sbull] 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.
[sbull] 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.
[sbull] 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.

2. Government Performance and Results Act (GPRA)

The Government Performance and Results Act (GPRA) mandates accountability and performancebased 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. 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 (3014438596) of any materials based on the SAMHSA funded grant project that are accepted for publication.

In addition, SAMHSA requests that grantees:
[sbull] Provide the GPO and SAMHSA Publications Clearance Officer with advance copies of publications.
[sbull] Include acknowledgment of the SAMHSA grant program as the source of funding for the project.
[sbull] 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: Stephen Hudak, Office of Program Services, Division of Grants Management, Substance Abuse and Mental Health Services Administration, 5600 Fishers Lane, Rockwall II 6th Floor, Rockville, MD 20857, (301) 4439666, shudak@samhsa.gov. VIII. Other Information
A. SAMHSA Confidentiality and Participant Protection Requirements and Protection of Human Subjects Regulations

You must describe your procedures relating to Confidentiality, Participant Protection and the Protection of Human Subjects Regulations in Section I of your application, using the guidelines provided below. Problems with confidentiality, participant protection, and protection of human subjects identified during peer review of your application may result in the delay of funding.

Confidentiality and Participant Protection:

All applicants must address each of the following elements relating to confidentiality and participant protection. You must describe how you will address these requirements.
1. Protect Clients and Staff from Potential Risks
[sbull] 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. [sbull] Describe the procedures you will follow to minimize or protect participants against potential risks, including risks to confidentiality.
[sbull] Identify plans to provide guidance and assistance in the event there are adverse effects to participants.
[sbull] 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
[sbull] 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. [sbull] 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.
[sbull] Explain the reasons for including or excluding participants.
[sbull] Explain how you will recruit and select participants. Identify who will select participants.
3. Absence of Coercion
[sbull] 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. [sbull] If you plan to compensate participants, state how participants will be awarded incentives (e.g., money, gifts, etc.). [sbull] 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
[sbull] 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. [[Page 65779]]
[sbull] 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. [sbull] 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:
[sbull] Explain how you will ensure privacy and confidentiality. Include who will collect data and how it will be collected. [sbull] Describe:
[sbull] How you will use data collection instruments.
[sbull] Where data will be stored.
[sbull] Who will or will not have access to information. [sbull] How the identity of participants will be kept private, for example, through the use of a coding system on data records, limiting access to records, or storing identifiers separately from data.

Note: If applicable, grantees must agree to maintain the confidentiality of alcohol and drug abuse client records according to the provisions of Title 42 of the Code of Federal Regulations, Part II.
6. Adequate Consent Procedures
[sbull] List what information will be given to people who participate in the project. Include the type and purpose of their participation. Identify

FOR FURTHER INFORMATION CONTACT Cathy Friedman, M.A., Office of Policy, Planning and Budget, 5600 Fishers Lane, Room 12C26, Rockville, Maryland, 20857. Fax: (3015946159) Email: cfriedma@samhsa.gov. Phone: (301) 4431910.