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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Veterans Affairs Department

NOTICE: Part II

DOCUMENT ACTION: Notice of final Best Practices Planning and Implementation Grants announcement.

SUBJECT CATEGORY: Notice of Final Standard Best Practices Planning and Implementation Grants Announcement

DATES: Use of the standard Best Practices Planning and Implementation Grants announcement will be effective November 21, 2003. The standard Best Practices Planning and Implementation 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.

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 Best Practices Planning and Implementation 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 Best Practices Planning and Implementation Grants announcement is provided below.

The standard Best Practices Planning and Implementation 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.).
Best Practices Planning and Implementation Grants BPPI 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 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.......... (E.O. 12372) Letters from State Single Point of Contact (SPOC) are due 60 days after application deadline.
Public Health System Impact....... Statement (PHSIS)/Single State Agency Coordination Applicants must send the PHSIS to appropriate State and local health agencies by application deadline. Comments from Single State Agency are due 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

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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 Prevention Programs Appendix D: Center for Mental Health Services EvidenceBased Practices Toolkits
Appendix E: Effective Substance Abuse Treatment Practices
Appendix F: 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 Best Practices Planning and Implementation (BPPI) grants for substance abuse prevention, substance abuse treatment, and mental health services. These grants will help communities and providers identify substance abuse prevention, substance abuse treatment, and/or mental health practices, develop strategic plans for implementing/adapting those practices, and pilottest 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:
[sbull] Services Grants provide funding to implement substance abuse and mental health services.
[sbull] Infrastructure Grants support identification and implementation of systems changes but are not designed to fund services.
[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 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.

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:
[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, award size, allowable activities).

It is, therefore, critical that you consult the NOFA as well as this announcement in developing your grant application.

B. 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.

1. Documenting the EvidenceBase for Selected Practices

Applicants must document in their applications that the practices they propose to implement are evidencebased 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 EvidenceBased Practice/Service. SAMHSA has already determined that certain practices are solidly evidencebased practices and encourages applicants to select practices from the 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 EvidenceBased Substance Abuse Treatment Practices (see Appendix E).
[sbull] 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 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 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 evidencebase 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 evidencebased 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 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. [[Page 65795]]
[sbull] To adjust for specific needs of the client population. [sbull] 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. Program Design

SAMHSA will fund BPPI grants in two phases. Phase I is a planning and consensusbuilding phase that supports grantees for up to 18 months. Phase II is a pilot, adaptation, implementation, and evaluation phase that supports grantees for up to 3 years.

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:
[sbull] Build and maintain a coalition of stakeholders to fund, oversee, use, and provide a sustainable best practice.
[sbull] Train and educate key stakeholders about the best practice. [sbull] Consult experts about the practice.
[sbull] Consult leaders from other communities about their experiences in implementing the practice.
[sbull] Reimburse stakeholders for their transportation or child care costs.
[sbull] Engage professionals to help build consensus and plan strategy.
[sbull] Adapt the best practice to community needs without sacrificing its effectiveness.
[sbull] Identify and obtain the commitment of permanent sources to fund the best practice.
[sbull] Design the evaluation of the best practice.
[sbull] 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 fullscale implementation. Implementation does not include service delivery. The following are examples of activities that can be funded during Phase II:
[sbull] Pilot test the practice on a sample of service recipients and evaluate the pilot test.
[sbull] Modify the best practice based on consultation with stakeholders and practice experts, other community experiences, and pilot test results.
[sbull] Revise the manual or documentation that describes in detail how the best practice was modified.
[sbull] Maintain the coalition of stakeholders to oversee Phase II activities.
[sbull] Secure consultants to make changes required to implement and finance the best practice.
[sbull] Make organizational changes (e.g., hiring staff) necessary to implement the best practice.
[sbull] 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.

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:
[sbull] A report that summarizes the evaluation of the consensus building process.
[sbull] A description of how key stakeholders were included in the consensus building.
[sbull] Letters of support or other demonstration of stakeholders' commitment to adopt the practice.
[sbull] 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:
[sbull] Pilot test results.
[sbull] Results from process/outcome evaluation of full Phase II project.
[sbull] 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. [sbull] 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. [sbull] Documentation that staff are trained in the practice and of a mechanism for training new staff.
[sbull] 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.
[sbull] Outcome evaluation results that describe:
[sbull] Demographic characteristics of the clients served. [sbull] Service utilization.
[sbull] Practice outcomes.
[sbull] Client satisfaction.
[sbull] Fidelity of the modified practice to the best practice. [sbull] Plans for fully implementing the best practice after the end of the Phase II award.

4. 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.

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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. 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: [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 intervention and evaluation?
[sbull] 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: [sbull] What was the effect of the project on the service delivery system and/or on participants in the project?
[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 Phase I grant award and 25% of the total Phase II grant award may be used for evaluation and data collection.

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

A. 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 IPhase 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 IIPhase 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.

Applications with proposed budgets that exceed the allowable amount as 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 precludes 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 (see Glossary) contributions in your proposal as evidence of commitment to the proposed project. C. Other

SAMHSA applicants must comply with certain program requirements, including:
[sbull] Budgetary limitations as specified in Sections I, II, and IVE of this document; and
[sbull] Documentation of nonprofit status as required in the PHS 51611.

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.

Applications that do not comply with the eligibility and specific program requirements for the funding opportunity for which the application is submitted will be screened out and will not be reviewed. 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
[[Page 65797]]
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. Applicants must use the PHS 51611 for their application, unless otherwise specified in the NOFA. Applications that are not submitted on the required application form (i.e., the PHS 51611 in most situations) 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 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 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.
[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 for Phase I and Section A through D for Phase II. Sections AE (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. 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. (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. [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. 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.
[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 1Confidentiality 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, 4 and 6. 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 Support.
[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] Appendix 6: Evidence of Intent to Adopt (Phase II only). [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 PHS 51611. Federal law prohibits the use of appropriated funds for publicity or
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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.
[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.
[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 easily located 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 BPPI Grant recipients must comply with the following funding restrictions:
[sbull] No more than 25% of Phase II funding may be used to evaluate the pilot test.

BPPI grant funds 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 no more than $75,000 for renovations and alterations of existing facilities, if appropriate and necessary 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 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 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 (STDs)/sexually transmitted illness (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.

[[Page 65799]]

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 for Phase I applications and AD for Phase II applications). 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 may be no longer than 30 pages. [sbull] 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.
[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. 1. Phase I Criteria
Section A: Statement of Need (10 Points)
[sbull] Describe the environment (organization, community, city, or State) where the project will be implemented.
[sbull] Describe the target population (see Glossary) as well as the geographic area to be served, and justify the selection of both. 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.
[sbull] 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. [sbull] Nontribal 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 Stateor countyidentified priority. Tribal applicants must provide similar documentation relating to tribal priorities.
[sbull] Describe the best practice selected and how it will impact the problem.
[sbull] Check the NOFA for any additional requirements. Section B: Proposed EvidenceBased Practice (30 Points)
[sbull] Clearly state the purpose, goals and objectives of your proposed project. Describe how achievement of goals will address the needs 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.
[sbull] Identify the evidenced based practice that you propose to implement. Describe the evidencebase 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 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 practice has been evaluated and the quality of the evaluation studies (e.g., whether they are descriptive, quasiexperimental 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 [sbull] 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/
[[Page 65800]]
modifications to be made to meet the needs of the population. [sbull] 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.
[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] Check the NOFA for any additional requirements. Section C: Proposed Implementation Approach (25 Points)
[sbull] Describe how the proposed grant project will be implemented. 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.]
[sbull] 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?
[sbull] 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.
[sbull] 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.
[sbull] 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.
[sbull] Describe how the project components will be embedded within the existing service delivery system, including other SAMHSAfunded projects, if applicable.
[sbull] Check the NOFA for any additional requirements. Section D: Management Plan and Staffing (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 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.
[sbull] Provide evidence that the service staff proposed to conduct the evidencebased 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.
[sbull] Identify the project staff or contractor(s) who will develop the implementation manual, and demonstrate that they have the requisite skills and experience.
[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 or bicultural individuals.
[sbull] If you plan to have an advisory body, describe its composition, roles, and frequency of meetings.
[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 Design and Analysis (15 Points)
[sbull] 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.
[sbull] 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.
[sbull] Describe the process for providing regular feedback from evaluation activities to the Project Director and participants. [sbull] 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. [sbull] Discuss the reliability and validity of evaluation methods and instruments(s) in terms of the gender/age/ culture of the target population.
[sbull] Check the NOFA for any additional requirements. 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:
[sbull] Describe briefly the target population (see Glossary), setting, need and best practice approved for the Phase I award. [sbull] 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.
[sbull] 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.
[sbull] 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.
[sbull] Describe and justify any additional modifications or adaptations to the best practice as compared to the practice approved for your Phase I project.
[[Page 65801]]
[sbull] 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.
[sbull] 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.
[sbull] 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: [sbull] Clearly state the purpose, goals and objectives of your proposed project. Describe how achievement of goals will produce meaningful and relevant results. Provide a logic model (see Glossary) that links need, the services or practice to be implemented, and outcomes.
[sbull] 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.
[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. 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 Stateor countyidentified priority. Tribal applicants must provide similar documentation relating to tribal priorities.
[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 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 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 [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 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. [sbull] 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.
[sbull] Check the NOFA for any additional requirements. Section B: Proposed Approach (25 Points)
[sbull] 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.
[sbull] 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 [[Page 65802]]
stakeholder commitment in Appendix 1: Letters of Support. Identify any cash or inkind contributions that will be made to the project. [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.
[sbull] Describe potential barriers to the successful conduct of the proposed project and how you will overcome them.
[sbull] Describe oversight or feedback mechanisms to ensure that the implemented practice is consistent with the best practice model. [sbull] Check the NOFA for any additional requirements. Section C: Management Plan and Staffing (25 Points)
[sbull] 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] 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 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.
[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, Americans with Disabilities Act (ADA) compliant, and is amenable to the target population.
[sbull] Check the NOFA for any additional requirements. Section D: Evaluation Design and Analysis (20 Points)
[sbull] 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.
[sbull] 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).
[sbull] 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. [sbull] Des

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.