**DEPARTMENT OF HEALTH AND HUMAN SERVICES**

**Substance Abuse and Mental Health Services Administration**

**Center for Mental Health Services**

**Request for Applications (RFA) No. SM 03-008**

**Part I -- Programmatic Guidance**

**Cooperative Agreement for National Consumer and Consumer Supporter**

**Self-Help Technical Assistance Centers**

**Short Title: Self-Help Technical Assistance Centers**

**Application Due Date: August 7, 2003**

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

Gail P. Hutchings, M.P.A. Charles G. Curie, M.A., A.C.S.W.

Acting Director Administrator

Center for Mental Health Services Substance Abuse and Mental Health

Substance Abuse and Mental Health Services Administration

Services Administration

Date of Issuance: June 2003

Catalog of Federal Domestic Assistance (CFDA) No. 93.243

Authority: Section: 520A of the Public Health Service Act, as amended
and subject to the availability of funds

**Table of Contents**

\[Note to Applicants: To prepare a complete application, "Part II --
General Policies and Procedures Applicable to all SAMHSA Applications
for Cooperative Agreements" must be used in conjunction with this
document, "Part I - Programmatic Guidance."\]

Agency 4

Purpose of this Announcement 4

Who Can Apply? 4

Application Kit 4

How to Get an Application Kit 5

Where to Send the Application 5

Application Due Date 5

How to Get Help 5

Cooperative Agreement 5

Funding Criteria 6

Post-award Requirements 6

Program Overview 7

Program Expectations 8

Program Priorities 9

Specific Activities 9

Alternatives Conference 11

GPRA and Evaluation Activities 12

What to Include in Your Application 12

Face Page

Abstract

Table of Contents

Budget Form

Project Narrative and Supporting Documentation

Appendices

Assurances

Certifications

Disclosure of Lobbying Activities

Checklist

Project Narrative -- Sections A through G 15

Section A: Expertise and Understanding of the Project

Section B: Material Development, Dissemination, and Repository
Activities

Section C: Provision of Consultation and Training

Section D: Stakeholder Engagement

Section E: Organizational Capabilities and Project Management Plan

Section F: Evaluation Plan Methodology

Section G: Plan for Alternatives Conference

SAMHSA's Participant Protection Requirements 17

Special Considerations and Requirements 20

Appendices

Appendix A: Certification of Eligibility 21

Appendix B: Requirements for Alternatives Conference 23

Appendix C: SAMHSA Priorities: Programs and Principles Matrix 25

Appendix D: Guidelines For Assessing Consumer and Family Participation
26

**[Agency]{.underline}**

Department of Health and Human Services (DHHS), Substance Abuse and
Mental Health Services Administration

**[Purpose of this Announcement]{.underline}**

Number range CHAPTERThe Substance Abuse and Mental Health Services
Administration (SAMHSA),

The Center for Mental Health Services (CMHS), is accepting applications
for Fiscal Year (FY) 2003 cooperative agreements to support five
National Consumer and Consumer Supporter Self-Help Technical Assistance
(TA) Centers.

The purpose of these technical assistance centers is to assist with the
improvement of State and local level mental health service systems by
providing consumers, as well as supporters, service providers, and the
general public, with necessary skills to foster
self-help/self-management approaches.

There is \$1,865,000 available for five awards in FY 2003 for three
national consumer self-help technical assistance centers and two
national consumer-supporter self-help technical assistance centers. An
additional \$122,000 will be competitively awarded to one of the three
successful national consumer self-help technical assistance centers to
facilitate the Alternatives Conference. (See section entitled
Alternatives Conference). Awards may be requested for a period of 1
year. Each applicant may apply for up to \$373,000 for direct and
indirect costs.

Applications with proposed budgets that exceed

\$373,000 will be returned without review. Cost sharing is not required
in this program.

![](media/image1.wmf){width="9.305555555555556e-2in"
height="9.305555555555556e-2in"}**[Who Can Apply?]{.underline}**

In accordance with Congressional authorization, applications may be
submitted byNumber range CHAPTER public or private domestic, nonprofit
entities, including faith-based organizations, which meet the criteria
of consumer or consumer supporter organizations found in the Definitions
Section. Applicant organizations must have been in operation for a
minimum of one year, and key personnel supporting the grant must have
been employed by the organization for at least one year.

An applicant must complete the Certification of

Consumer or Consumer Supporter Organization Eligibility (See Appendix A
of this document.), indicating that they meet all eligibility
requirements. **If an application does not include the Certificate of
Eligibility and required supporting documentation as**

**part of Appendix 1 of the application, that application will be
returned without review.**

**[Application Kit]{.underline}**

SAMHSA application kits include the following:

1.  **PHS 5161-1-** (revised July 2000) -- Includes the face page,
    budget forms, assurances, certifications, and checklist.

**2. PART I** - of the Request for Applications

(RFA) provides information specific to the

cooperative agreement.

**This document is Part I.**

**3. PART II** - Has general policies and procedures that apply to most
SAMHSA grants and cooperative agreements. The policies in Part II that
apply to this program are listed in this document under "Special
Considerations and Requirements."

**You must use all of the above documents to apply for this SAMHSA
cooperative agreement.**

![](media/image1.wmf){width="9.305555555555556e-2in"
height="9.305555555555556e-2in"}**[How to Get an Application
Kit]{.underline}**

-   Call the SAMHSA/CMHS National Mental Health Information Center at
    800-789-2647; or

-   Download **Part I, Part II, and the PHS 5161-1** of the application
    kit from the SAMHSA web site at
    [www.samhsa.gov.](http://www.SAMHSA.gov./) Click on "Grant
    Opportunities" and then "Current Grant Funding Opportunities."

    **[Where to Send the Application]{.underline}**

    Send the original and two copies of your grant application to:

Number range CHAPTERRay Lucero

Extramural Activities, Policy& Review

SAMHSA

Room 17-89, Parklawn Building

5600 Fishers Lane

Rockville, MD 20857

**All applications MUST be sent via a recognized commercial or
governmental carrier. Hand carried applications will not be accepted.
Faxed or e-mailed applications will not be accepted. You will be
notified by letter that your application has been received.**

If you require a phone number for delivery, you may use (301) 443-9917.

**[Application Due Date]{.underline}**

Your application must be [received]{.underline} by

August 7, 2003.

Applications received after this date must have a proof-of-mailing date
from the carrier before

July 31, 2003.

Private metered postmarks [are not]{.underline} acceptable as proof of
timely mailing. Late applications will be returned without review.

**[How to Get Help]{.underline}**

**For questions on program issues, contact:**

Risa S. Fox, M.S.

Public Health Advisor

Center for Mental Health Services

SAMHSA

5600 Fishers Lane, Room 11C-22

Rockville, MD 20857

\(301\) 443-3653

E-mail: <rfox@samhsa.gov>

**For questions on grants management issues, contact:**

Stephan Hudak

Division of Grants Management

Substance Abuse and Mental Health Services Administration/OPS

5600 Fishers Lane/Rockwall II, 6^th^ floor

Rockville, MD 20857

\(301\) 443-9666

E-mail: <shudak@samhsa.gov>

**[Cooperative Agreement]{.underline}**

This award is being made as a cooperative agreement, because it requires
substantial Federal staff involvement.

**The Awardee must**:

• Comply with the terms of the agreement.

• Agree to collect and report to SAMHSA data required for the
*Government Performance* and *Results Act*. (See "GPRA and Evaluation"
section).

• Speak to the Government Project Officer (GPO) by telephone on a
regular basis (e.g., monthly), in order to review progress and mutually
determine day-to-day priorities for the TA Center activities.

• Devote at least one-fourth of the total budget

(direct plus indirect costs) to consultation activities.

• Include the GPO in meetings of importance regarding the direction of
the TA Center.

• Consult with the GPO, and obtain prior written approval from the GPO
and Grants Management Officer (GMO) on significant modifications to the
project plan.

• Respond to and incorporate the GPO's questions, comments, and
suggestions regarding TA Center activities and products.

• Properly credit CMHS/SAMHSA/DHHS for support of the TA Center on
papers, presentations, products, and web sites.

• Hire an independent evaluator to assess the self-help/self-managed
care materials produced, the amount of technical assistance services,
and level of customer satisfaction, and prepare a submission package
regarding this evaluation for approval from the Federal Office of
Management and Budget (OMB), in accordance with the Paperwork Reduction
Act of 1995.

• Cooperate with the GPO in responding to requests for information and
data relevant to the cooperative agreement, including the development of
a project web site to which inquiries may be referred.

**SAMHSA Staff will**:

• Provide the Federal interpretation

of the provisions of the Request for Applications (RFA).

• Speak with the Project Director by telephone

on a regular basis (e.g., at a minimum, monthly), in order to review
progress and mutually determine day-to-day priorities for technical
assistance.

• Provide direction to and participate in decision-making regarding all
aspects of the TA Center.

• Review and comment on drafts and final versions of technical
assistance materials and publications developed by the TA Center. The
GPO may co-author select manuscripts with TA Center staff.

• Assist in negotiations of consultation activities.

• Participate in and/or co-present with TA Center staff at meetings
organized or attended by the TA Center.

• Disseminate information about the TA Center through presentations at
conferences and meetings, written materials, referrals to the project
web site, and communications with groups seeking technical assistance.

**[Funding Criteria]{.underline}**

Decisions to fund a cooperative agreement are based on:

-   The strengths and weaknesses of the application, as identified by
    the Peer Review Committee and approved by the CMHS National Advisory
    Council.

-   Availability of funds.

-   The quality of applications received.

    **[Post-award Requirements]{.underline}**

1.  Comply with the Cooperative Agreement requirements and Terms and
    Conditions of Award.

2.  Provide financial status reports, as required in the PHS Grants
    Policy Statement.

3\. Provide detailed written information via e-mail or first class mail
to the GPO on materials being proposed for development, and obtain prior
written (e-mail or first class mail) approval from the GPO.

3.  Provide a monthly progress report (format provided by GPO).

4.  Submit a final report at the end of the project period (format
    provided by GPO) including results of the annual independent
    evaluation and copies of all products developed.

5.  Collect and report data needed by SAMHSA to comply with the
    Government Performance and Results Act (GPRA) reporting
    requirements. (See "GPRA and Evaluation" section.)

6\. Participate at specified meetings and conferences (a minimum of four
a year) including the Alternatives Conference.

.

### DEFINITIONS

[Number range CHAPTERConsumer]{.underline} - An individual, 18 years of
age or older, with severe mental illness. CMHS recognizes that some
consumers may choose to identify themselves with other terminology.

[Consumer Supporter]{.underline} - An individual involved with the
support of a consumer (age 18 or older), including parents, siblings,
spouses and significant others, friends, co-workers, and neighbors, who
provide support in a nonprofessional capacity.

[Consumer Organization]{.underline} - An organization that is controlled
and managed by consumers and dedicated to the improvement of mental
health services. It must have a board of directors comprised of more
than 50 percent consumers.

[Consumer Supporter Organization]{.underline} -- An organization,
including volunteer mental health organizations, which is controlled and
managed by consumer supporters and dedicated to the improvement of
mental health services. It must have a board of directors comprised of
more than 50 percent consumer supporters.

**[Program Overview]{.underline}**

Number range CHAPTERSince its inception, SAMHSA\'s Center for Mental
Health Services (CMHS) has fostered self-help approaches in the
planning, delivery, and evaluation of mental health services. This
support originated with the National Institute of Mental Health
Community Support Program, as an integral part of a community support
system needed for individuals with serious mental illnesses to live
successfully in the community. Federal leadership and financial support,
combined with the efforts of consumers, supportive family members, and
dedicated State and local staff, prompted wide recognition of the role
of self-help in the recovery of persons with a severe mental illness. In
1992, to further the development of self-help programs, Federal funding
was used to finance the first national self-help technical assistance
centers (TACs) directed by and for mental health consumers. Assistance
to supporters of consumers was added to the program in 1998 in
recognition of the important role that persons who support and care for
consumers can play in achieving independence and recovery.

The TACs provide hands-on assistance and information to provide consumer
self-help approaches, such as the establishment and operation of
consumer-operated programs (self-help programs), recovery-oriented
programs, planning assistance, organizational skills, and funding and
information dissemination regarding mental illness and related
conditions (homelessness, co-occurring disorders), services, and
practices. The TACs have been instrumental in articulating recovery
principals; defining reasonable accommodations in the workplace;
promoting self-help within managed care systems; attending to the needs
of members of ethnic/minority populations; and clarifying the role of
consumer practitioners. [One of the important premises of the program is
to promote the infrastructure development of self-help groups at the
State and local levels.]{.mark}

[]{.mark}

[The Consumer and Consumer Supporter Technical Assistance Centers build
on the goals of the President's New Freedom Initiative by increasing the
independence and community integration of people with psychiatric
disabilities. This is accomplished by providing skill-based training to
overcome barriers that restrict the ability of people with psychiatric
disabilities to participate fully in their recovery. Furthermore, the
concept of recovery and the return of people to full functioning is a
SAMHSA Cross-Cutting Principle.]{.mark}

[]{.mark}

**[Program Expectations]{.underline}**

## Service Population

The primary focus for outreach by the national consumer and consumer
supporter self-help TACs must be people with serious mental illnesses.
As national TACs, services must be provided to the full range of
consumers and must not be limited to specific subpopulations.

In addition, outreach and assistance must be

available to a range of stakeholders, including State mental health
systems serving adults, consumer supporters, service providers, and the
general public.

The five TACs are expected to be leaders in the field regarding
self-help/self-management approaches that increase the independence and
community integration of people with psychiatric disabilities.

**Number range CHAPTER[Program Structure]{.underline}**

The Consumer and Consumer Supporter TACs will engage in the program
priorities activities identified under the section "Program Priorities:"

1.  Provision of consultation and training services. Approximately
    one-third of the total project effort must be spent on the provision
    of consultation and training services to the target populations, via
    telephone, online, and on-site.

2.  Development, production, dissemination, and repository of relevant
    materials. Development and production of materials should include
    in-depth summaries of materials, annotated bibliographies, analyses
    of policy reports, and how-to manuals on the content areas of
    concentration. Dissemination of materials and information must use
    methods that reach the largest number of stakeholders in accessible
    formats. Such formats may include newsletters and mailings,
    technical assistance center web sites, conference presentations and
    traveling exhibits, publications, mailings of product lists, and
    other means. The TACs must maintain a comprehensive repository of
    relevant material on content areas of concentration that will be
    analyzed, summarized, and updated, as appropriate, for
    dissemination.

3.  Promotion of, participation in, and convener of discussions among
    stakeholders about topics of importance. In order to ensure the
    relevance of the Consumer and Consumer Supporter Technical
    Assistance Centers' activities and to promote the importance of
    consumer/peer-run programs that support and permit people with a
    serious mental illness to live independently in the community, the
    TACs will be required to promote, participate in, and convene
    meetings of relevant stakeholders for the purpose of improving
    public mental health service systems.

    **[Program Priorities]{.underline}**

    Number range CHAPTERThe following priority areas describe the
    program focus for all five TACs:

**1. Self-care/Self-management** - to improve research and information
on best practices for self-help/self-management approaches for people
with serious mental illnesses.

**2.** **Employment -** to improve consumer workforce development.

**3. Program Management and Administration -** t[o ensure success and
growth by facilitating business and management training and other skill
development efforts for consumer operated self-help programs.]{.mark}

> []{.mark}

**4. Cultural Outreach and Self-Help Adaptation** - to ensure that
self-help/self-management approaches are available and accessible to
various cultural groups (e.g.

African Americans, Hispanics/Latinos, Asian & Pacific Islanders,
American Indians, and Alaska Natives).

> .

**5.** **Recovery** - to increase the knowledge on what facilitates or
hinders recovery at the individual, as well as systems, level.

**[Specific Activities]{.underline}**

**[The following are types or examples of program
priorities.]{.underline}** Number range CHAPTERTACs should engage in one
or more activities from each category.

Number range CHAPTER**1. Self-care/Self-management**

• Collect, analyze, summarize, and produce materials on research and
other relevant information on evidence-based/best practices for
self-help/self-care.

• Convene researchers to identify issues of methodology, application,
and barriers related to research on self-help/self-care.

• Convene policy makers, providers, and State- and community-level
stakeholders to identify barriers to and solutions for the
implementation of exemplary models of self-help/self management
approaches for people with serious mental illness.

• Provide technical assistance to consumer researchers on applying for
grants from other Federal agencies (e.g., NIMH and DOE/NIDRR), as well
as private foundations (e.g., Robert Wood Johnson, PEW, RAND), to
further research in this venue.

**2. Employment**

• Provide technical assistance to provider organizations and/or States
and communities on recruiting, hiring, retaining, and training consumers
in the mental health system to practice and implement self-help
technologies.

• Provide technical assistance to consumers re-entering the job market.

• Develop manuals (tool kits) for consumer groups or organizations on
employment procedures and activities.

• Work with professional guild associations to develop policies and
procedures for encouraging employment of consumers.

• Organize and convene groups of employers and consumers to develop
national certification guidelines for peer employees, including training
requirements.

• Develop materials for consumers on how to request accommodations.

• Provide technical assistance on identifying financing mechanisms
(e.g., Medicaid) to hire peer employees.

> **3. Program Management and**
>
> **Administration**
>
> • Provide technical assistance to consumer organizations on nonprofit
> management issues: developing and/or improving skills in leadership,
> supervision, financial management, board development and management,
> strategic planning, and fund-raising, as well as becoming incorporated
> and attaining non-profit status.

• Identify exemplary models (e.g., drop-in centers) for replication,
compilation, analysis, manualization, and dissemination.

• Provide technical assistance to States and communities on how to
implement self-help and self-management approaches.

• Develop and conduct Training of Trainers focused on skill development
to promote self-help for consumers. Attention will focus on the
development of content outlines, presentation skills, engagement of
participants, and importance of integrity and fidelity to the models
being used, with the understanding that the Trainers will, in turn,
provide training to others.

• Develop manuals and conduct training in public speaking and
interaction on boards and committees.

[• Foster self-help by promoting management, leadership, and computer
technology skills, and training on the availability of and access to
local, State, and national resources.]{.mark}

[]{.mark}

[•]{.mark} Foster [mutual understanding and cooperation among
stakeholders in the mental health system through the use of innovative
approaches, i.e., dispute resolution, networking, and modern information
processing technology, for the purpose of achieving their common
goals.]{.mark}

**4. Cultural Outreach**

• Identify exemplary models for serving diverse cultural groups.

• Convene policy makers and consumer leaders to develop guidelines on
how to serve ethnically diverse people regarding the practice of
self-help/self-management approaches.

• Provide technical assistance to community groups (e.g., faith-based
organizations) serving ethnically diverse populations on applicable
self-help and culturally appropriate approaches.

Note: Cultural outreach must include diverse populations and must not be
limited to individual specific cultural groups.

5\. **Recovery**

• Serve as a repository for the collection, analysis, and development of
materials about what facilitates or hinders recovery from a serious
mental illness at the individual, as well as system, level.

• Convene a group of researchers, policy makers, and other experts to
define what constitutes recovery for individuals, as well as what
components in the system facilitate or hinder it.

• Convene policy makers and State and community leaders to develop a
strategic plan for the implementation of recovery-based approaches.

• Provide training to regional academies, States, and communities on
recovery- based approaches.

۰ Educate supporters on the role they can play in facilitating the
recovery of consumers. Develop materials that increase knowledge about
the phases of recovery and the problems and issues that impede recovery.

• [Work collaboratively with other consumer and consumer supporter TACs
for the purpose of sharing information, identifying common technical
assistance needs, and developing training resources.]{.mark}

[]{.mark}

[Specific activities required of all grantees include:]{.mark}

[]{.mark}

[• Supporting the Alternatives Conference. One of the national consumer
technical assistance centers will]{.mark} arrange and host the annual
national conference entitled "Alternatives," a meeting of consumers from
across the Nation. This conference is intended to present a variety of
viewpoints, exchange information and ideas, and provide and receive
technical assistance on many topics. Guidelines for conducting this
conference can be found in Appendix B. Representatives from t[he two
national consumer supporter self-help technical assistance centers will
serve on the Alternatives Advisory Committees and attend the annual
meeting.]{.mark}

Number range CHAPTER• Developing and presenting two symposiums on
program priority areas at the annual Alternatives Conference.

• Being responsive to SAMHSA Priorities: Programs & Principles Matrix.
(See Appendix C.)

• Providing information to key constituent groups about their national
technical assistance center, by developing a center brochure, press
release, and other informational materials.

**[Alternatives Conference]{.underline}**

Number range CHAPTERSupport for the Alternatives Conference -- One of
the three consumer self-help technical assistance centers will arrange
for the 2004 annual national conference entitled "Alternatives," a
meeting of consumers from across the Nation. This conference is intended
to present a variety of viewpoints, provide for the exchange of
information and ideas, and provide and receive technical assistance on
many topics. The selection will be determined by review criteria, and
the grantee will be informed prior to the issuance of the Notice of
Grant Award. At that time, the applicant will be asked to submit a
budget for the Conference in the amount of \$125,000, and the core grant
award will be augmented accordingly. The money is for support of the
conference and does not include scholarship support. Guidelines for
Conducting the Alternatives Conference are in Appendix B.

Applicants applying for funding for a national consumer self-help
technical assistance center **[also must]{.underline}** apply for
facilitating the Alternatives Conference. Consumer organizations may not
apply only for facilitating the Alternatives Conference.

**[GPRA and Evaluation Activities]{.underline}**

The Government Performance and Results Act of 1993 (GPRA: Public
Law-103-62) requires all Federal departments and agencies to develop
strategic plans that specify what they will accomplish over a 3- to
5-year period; to annually set performance targets related to their
strategic plan; and, to annually report the degree to which the targets
set in the previous year were met. In addition, agencies are expected to
regularly conduct evaluations of their programs and to use the results
of those evaluations to "explain" their successes and failures, based on
the performance monitoring data.

GPRA holds SAMHSA accountable for demonstrating the effectiveness of all
its programs through performance data. In order to support current and
future funding, SAMHSA needs your full cooperation in collecting and
reporting performance data. SAMHSA's ability to support this award in
future years depends on the data you provide. Provision of timely and
complete GPRA data will carefully be considered in assessing awardees'
performance and may have implications for future awards.

CMHS will assess the performance of the Self-help Technical Assistance
Centers on the basis of:

• The number, timeliness, and quality of self-help/self-managed care
materials produced.

• The number of technical assistance services provided (e.g., number of
consultations provided, products ordered, meetings convened, web site
hits, etc.).

• Customer satisfaction.

The TACs must submit reports to the GPO on a monthly basis. These
reports must include lists and brief descriptions of all products
developed, technical assistance provided, meetings convened, and other
activities conducted.

The GPO will judge the quality of the products developed on the basis
of:

1.  Clarity and understanding for the intended audience.

2.  Incorporation of up-to-date information on the topic, including any
    relevant:

> a\. References from professional literature.
>
> b\. Information from unpublished studies.
>
> c\. Information from national and State meetings.
>
> d\. Policy information.
>
> e\. Consumer and family perspectives.
>
> f\. Perspectives from diverse cultural, racial, and ethnic groups.

The national consumer and consumer --supporter self-help technical
assistance centers must hire an independent evaluator who will: 1)
assess customer satisfaction of individuals directly receiving
assistance, as well as stakeholders and other relevant organizations;

and 2) submit a report outlining the methodology and results from the
independent evaluation to the GPO prior to the end of the grant. Each
TAC must set aside 5 percent of its total direct budget for evaluation
efforts.

**[What to Include in Your]{.underline} [Application]{.underline}**

In order for your application to be complete, it must include the
following in the order listed. Check off areas as you complete them for
your application.

-   **[1. FACE PAGE]{.underline}**

    Use Standard Form 424, which is part of the PHS 5161-1. See Appendix
    A in Part II of the RFA for instructions. In signing the face page
    of the application, you are agreeing that the information is
    accurate and complete.

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-   **[2. ABSTRACT]{.underline}**

For applicants applying for funding for a national consumer supporter
self-help technical assistance center, your total abstract should not be
longer than 35 lines. For applicants applying for funding for a National
Consumer TAC, your total abstract should not be longer than 40 lines.
For both National Consumer and Consumer Supporter TAC applicants, in the
[first five lines]{.underline} of your abstract, write a summary of your
project that can be used, if your project is funded, in publications,
reports to Congress, or press releases.

-   [**3. TABLE OF CONTENTS**]{.underline}

    Include page numbers for each of the major sections of your
    application [and]{.underline} for each appendix.

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-   **[4. BUDGET FORM]{.underline}**

    Standard Form (SF) 424A, which is part of the PHS 5161-1, is to be
    used for the budget. Fill out sections B, C, and E of the (SF) 424A.
    See Appendix B in Part II of the RFA for instructions.

    For applicants applying for funding for a National Consumer TAC, do
    not include budget information for the Alternatives Conference. That
    information will be requested and submitted at a later date. (See
    section on Alternatives Conference.)

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-   **[5. PROJECT NARRATIVE AND SUPPORTING DOCUMENTATION]{.underline}**

    **The Project Narrative describes your project. It consists of
    Sections A through F.** These sections may not be longer than 25
    pages and apply to both consumer and consumer supporter applicants.
    **[Section G is to be answered only by those applicants applying for
    funding for the national consumer self-help technical assistance
    centers.]{.underline}** **Please limit your answer to Section G to
    an additional seven pages.** More detailed information about
    Sections A through G follows #10 of this checklist.

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-   **Section A --** Expertise and Understanding of the Project

-   **Section B** -- Materials Development, Dissemination, and
    Repository Activities.

-   **Section C** -- Provision of Consultation and Training

-   **Section D** -- Stakeholder Engagement

-   **Section E --** Organizational Capabilities and Project Management
    Plan

-   **Section F** -- Evaluation Plan

-   **Section G** -- Plan for Alternatives Conference

    **The Supporting Documentation section of your application provides
    additional information necessary for the review of your application.
    This Supporting Documentation should be provided immediately
    following your Project Narrative in Sections H through J.** There
    are no page limits for these sections, except for Section I, the
    Biographical Sketches/Job Descriptions.

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-   **Section H** **-** Literature Citations. This section must contain
    complete citations, including titles, dates, and all authors, for
    any literature you cite in your application.

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-   **Section I** **-** Budget Justification, Existing Resources, Other
    Support. You must provide a narrative justification of the items
    included in your proposed budget, as well as a description of
    existing resources and other support you expect to receive for the
    proposed project.

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-   **Section J**- Biographical Sketches and Job Descriptions:

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-   Include a biographical sketch for the Project Director and for other
    key positions. Each sketch should not be longer than **two**
    **pages**. If the person has not been hired, include a letter of
    commitment from the individual, with a current biographical sketch.

-   Include job descriptions for key personnel. They should not be
    longer than **one page**.

-   **Sample sketches and job descriptions are listed** **on [page
    22]{.underline}, Item 6, in the Program Narrative section of the PHS
    5161-1.**

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-   **Section K** **-** SAMHSA's Participant Protection. The elements
    you need to address in this section are outlined after the Project
    Narrative description in this document.

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-   **[6. APPENDICES 1 THROUGH 5]{.underline}**

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-   Use only the appendices listed below.

-   **Do not** use appendices to extend or replace any of the sections
    of the Project Narrative, unless specifically required in this RFA.
    (Reviewers will not consider them if you do.)

-   **Do not** use more than ***30*** pages for the appendices.

    **Appendix 1**: Certification of Eligibility

    **Appendix 2:** Letters of Commitment

    **Appendix 3:** Copy of the letter from the United States Federal
    Government Internal Revenue

    Service (IRS) to your organization granting approval for exempt
    status, or other similar documentation from the IRS, dated prior to
    January 2003.

    **Appendix 4**: Data Collection Instruments/Interview Protocols

    **Appendix 5:** Sample Consent Forms

    .

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-   **[7. ASSURANCES]{.underline}**

    Non-Construction Programs. Use Standard Form 424B found in PHS
    5161-1 (revised July 2000).

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-   **[8*.* CERTIFICATIONS]{.underline}**

    Use the \"Certifications\" forms, which can be found in PHS 5161-1
    (revised July 2000). See Part II of the RFA for instructions.

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-   **[9. DISCLOSURE OF LOBBYING ACTIVITIES]{.underline} (See form in
    PHS 5161-1.)**

    Appropriated funds, other than for normal and recognized
    executive/legislative relationships, may not be used for lobbying
    the Congress or State legislatures. 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 "grassroots" lobbying, which consists of
    appeals to members of the public suggesting 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. (Please read **Part II** of the RFA***,*** General
    Policies and Procedures, for additional details for all SAMHSA
    applications.)

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-   **[10. CHECKLIST]{.underline}** (found in the PHS 5161)

    You must complete the Checklist. See Appendix C in Part II of the
    GFA for detailed instructions.

    [**Project** **Narrative **]{.underline}

    **Sections A through G**

    **Sections A through F are the Project Narrative of your
    application.** These sections describe what you intend to do with
    your project. Below you will find detailed information on how to
    respond to Sections A through F. Sections A through F [may
    not]{.underline} be longer than ***25*** pages.

    All applicants must respond to Sections A through F.

    Section G is to be answered only by those applicants applying for
    funding for a national consumer self-help technical assistance
    center.. Please limit your answer to Section G to an additional
    seven pages. Sections A through G [may not]{.underline} be longer
    than 32 pages.

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-   **Your application will be reviewed and scored against the
    requirements described below for sections A through F. These
    sections also function as review criteria.**

-   A peer review committee will assign a point value to your
    application, based on how well you address **each** of these
    sections.

-   The number of points after each main heading shows the maximum
    number of points a review committee may assign to that category.

-   **Applicants applying for funding for a consumer self-help technical
    assistance center must answer Section G. That Section and the points
    assigned to it will be used to determine which one of the three
    consumer self-help technical assistance center applicants approved
    for a grant also will be facilitating the Alternatives Conference.
    The number of points an applicant is given for Section G will not be
    added to the points given to them for Sections A through F.**

-   Bullet statements do not have points assigned to them; they are
    provided to draw attention to important areas within the criteria.

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-   Reviewers also 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 cultural competency aspects
    of the review criteria. SAMHSA's guidelines for cultural competence
    are included in Part II of the RFA, Appendix D.

    **Section A*:* Expertise and Understanding of the** **Project (20
    points)**

• Number range CHAPTERDescribe how consumers and consumer supporters
have been involved in the activities of your organization.

• Describe the types and amount of technical assistance services your
organization currently

provides to consumer and consumer supporters, stakeholders of the mental
health system, including faith- and community-based organizations
(representing diverse racial, ethnic, and cultural groups), and mental
health providers.

• Describe the demographics of the population for whom you are currently
providing technical assistance (i.e., which States, cultural background,
gender, age, etc.).

• Describe your organization\'s history and experience in providing
leadership in the field of self-help/self-management for people with a
serious mental illness.

• Describe your organization's experience in producing and disseminating
self-help/self-management materials to multiple stakeholder

groups.

• Describe your organization\'s experience in organizing, planning, and
conducting small working meetings.

**Section B: Materials Development, Dissemination, and Repository**

**Activities (15 points)**

• Briefly describe existing materials your

Center will disseminate.

• List and briefly describe materials you will develop, describe your
plan for disseminating these materials, and identify the target audience
for each product.

• Describe the technological systems you would use to serve as a
repository and procedures for stakeholders to access these materials in
a timely manner.

• Describe how existing materials and materials to be developed address
the SAMHSA priorities shown in Appendix C.

**Section C*:* Provision of Consultation and Training (20 points)**

• Describe your plans for providing consultation, training, and
technical assistance to the stakeholders.

• Describe your plans for developing training curricula.

۰ Describe your plans for developing and using web site and other web
technology to disseminate materials and information.

**Section D: Stakeholder Engagement** **(15** **points)**

• Describe the process you will use to solicit input from stakeholders
regarding the development and dissemination of materials and other
technical assistance services and activities.

• Describe the process you will use to identify and reach culturally
diverse (e.g., African Americans, Hispanics/Latinos, Asian & Pacific
Islanders, American Indians, and Alaska Natives) for input into your
Center's activities.

• Identify issues that you feel will be important topics of discussion
for the field. Describe which issue is most important for each
stakeholder group and how you will engage the stakeholders in such
discussions.

**Section E:** **Organizational Capabilities and Project Management
Plan** **(20 points)**

• Describe the organizational structure you will use to manage the
Center, including how resources will be allocated and prioritized.

• Describe the resources available and the capabilities of your
organization for synthesizing, summarizing and producing documents that
are visually appealing, using maps and graphics, as appropriate.

• Describe your plan to make relevant stakeholders aware of your TA
Center and the activities, services, and materials available.

• Describe the resources available and the capabilities of your
organization for developing and operating a web site and using other
Internet telecommunications technology.

• Describe the resources available and the capabilities of your
organization for promoting, participating in, and convening discussions
among stakeholders about topics of importance.

• Describe your plans for organizing the TA Center, including staffing
plans that reflect the expertise needed and consultants who supplement
the staff.

• Identify staff members of your organization who are members of racial,
ethnic, or cultural minority groups. Identify staff members who are
fluent in languages other than English and indicate the languages they
can read, write, speak, and understand in conversation.

• Describe the process and system you will use to ensure and track
requests for products and technical assistance services and activities.

**Section F: Evaluation Plan Methodology**

**(10 points)**

• Identify the independent evaluator who will assess customer
satisfaction. Briefly describe his/her experience in conducting similar
evaluations. In Section I, include a biographical sketch and a letter of
commitment from the evaluator describing the role he/she will play in
evaluating the TAC.

• Describe how the evaluator will assess customer satisfaction.

.

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.

#### Section G is to be answered only by applicants applying for funding for the national consumer self-help technical assistance centers. Applicants applying

#### for funding for a national consumer self-help technical assistance center **[also must]{.underline}** apply for facilitating the Alternatives Conference and provide answers to Section G.

#### Please limit your response to Section G to seven pages.

**Section G: Plan for the Alternatives Conference**

**(25 points)**

• Describe your organization's experience in organizing, planning, and
conducting very large conferences and meetings. Please include specific
numbers of participants at these events.

• Describe your experience with certified meeting planners and how you
would choose such an individual or organization.

• Describe how you would develop the theme for the Conference.

• Describe the process for selecting the steering committee.

• Describe the process for planning the conference and selecting the
location and the hotel.

• Identify issues you feel should be important topics for the next
Alternatives

Conference.

• Describe the resources available and the capabilities of your
organization for planning, organizing, and implementing the Conference.

• Describe the procedure for rating workshops.

• Describe the role of the State Consumer Co-host.

**[SAMHSA's Participant Protection Requirements]{.underline}**

Part II of the PA/RFA provides a description of SAMHSA's Participant
Protection Requirements and the Protection of Human Subjects
Regulations.

SAMHSA will place restrictions on the use of funds until all participant
protection issues are resolved. Problems with participant protection
identified during peer review of your application may result in the
delay of funding. See Part II of the RFA for more information on
participant protection.

You [must]{.underline} address each element regarding participant
protection in your supporting documentation. If any one or all of the
elements is not relevant to your project, you must document the reasons
that the element(s) does (do) not apply.

This information will:

1.  Reveal if the protection of participants is adequate or if more
    protection is needed.

2.  Be considered when making funding decisions.

    Projects may expose people to risks in many different ways. In this
    section of your application, you will need to:

-   Identify and report any possible risks for participants in your
    project.

-   State how you plan to protect participants from those risks.

-   Discuss how each type of risk will be dealt with or why it does not
    apply to the project.

    Each of the following elements [must be discussed]{.underline}:

     [Protection of Clients and Staff from Potential Risks]{.underline}

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-   Identify and describe any foreseeable physical, medical,
    psychological, social, legal, or other risks or adverse affects.

-   Discuss risks that are due either to participation in the project
    itself or to the evaluation activities.

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-   Describe the procedures that will be followed to minimize or protect
    participants against potential risks, including risks to
    confidentiality.

-   Give plans to provide help if there are adverse effects on
    participants.

-   Where appropriate, describe alternative treatments and procedures
    that may be beneficial to the participants. If you decide not to use
    these other beneficial treatments, provide the reasons for not using
    them.

    [Fair Selection of Participants]{.underline}

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-   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 groups.

-   Explain the reasons for including groups of pregnant women,
    children, people with mental disabilities, people in institutions,
    prisoners, or those who are likely to be vulnerable to HIV/AIDS.

-   Explain the reasons for [including or excluding]{.underline}
    participants.

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-   Explain how you will recruit and select participants. Identify who
    will select participants.

    [Absence of Coercion]{.underline}

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-   State whether participation in the project is voluntary or required.
    Identify possible reasons why it is required, such as court orders
    requiring people to participate in a program.

-   If you plan to pay participants, state how participants will be
    awarded money or gifts.

-   State how volunteer participants will be told that they may receive
    services and incentives, even if they do not complete the study.

     [Data Collection]{.underline}

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-   Identify from whom you will collect data. Examples include
    participants themselves, family members, teachers, and others.
    Describe the data collection procedure, and specify the sources for
    obtaining data. Examples include school records, interviews,
    psychological assessments, questionnaires, observations, or other
    sources. Where data are to be collected through observational
    techniques, questionnaires, interviews, or other direct means,
    describe the data collection setting.

-   Identify what types 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.

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-   Provide in Appendix 4, "Data Collection Instruments/Interview
    Protocols," copies of [all]{.underline} available data collection
    instruments and interview protocols you plan to use.

    [Privacy and Confidentiality]{.underline}

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-   Explain how you will ensure privacy and confidentiality. Include who
    will collect data and how it will be collected.

-   Describe:

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-   How you will use data collection instruments.

-   Where data will be stored.

-   Who will or will not have access to information.

-   How the identity of participants will be kept private, such as using
    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.**

     [Adequate Consent Procedures]{.underline}

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-   List what information will be given to people who participate in the
    project. Include the type and purpose of their participation.
    Include how the data will be used and how you will keep the data
    private.

-   State:

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-   Whether or not their participation is voluntary.

-   Their right to leave the project at any time without problems.

-   Possible risks from participation in the project.

-   Plans to protect clients from these risks.

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

    NOTE: If the project poses potential physical, medical,
    psychological, legal, social, or other risks, you **must** get
    [written,]{.underline} informed consent.

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

-   Include sample consent forms in your Appendix 5, titled "Sample
    Consent Forms." If needed, give English translations.

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

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-   Describe if separate consents will be obtained for different stages
    or parts of the project. For example, will they be needed for both
    participant protection in treatment intervention and for the
    collection and use of data?

-   Additionally, if other consents (e.g., to release information to
    others or gather information from others) will be used in your
    project, provide a description of the consents. Will individuals who
    do not consent to having individually identifiable data collected
    for evaluation purposes be allowed to participate in the project?

     [Risk/Benefit Discussion]{.underline}

    Discuss why the risks are reasonable, compared to the expected
    benefits and importance of the knowledge from the project.

    **[Special Considerations and Requirements]{.underline}**

    SAMHSA's policies and special considerations requirements related to
    this program are found in **Part II** of the RFA/PA.

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-   Population Inclusion Requirement

-   Government Performance and Results Act

-   Consumer Bill of Rights and Responsibilities

-   Promotion of the Nonuse of Tobacco

-   Supplantation of Existing Funds

-   Letter of Intent

-   Intergovernmental Review (E.O. 12372)

-   Coordination with Other Federal/Nonfederal Programs

-   Confidentiality/SAMHSA Participant and Human Subjects Protections

APPENDIX A: CERTIFICATE OF ELIGIBILITY FOR NATIONAL CONSUMER AND
CONSUMER SUPPORTER SELF-HELP TECHNICAL ASSISTANCE CENTERS APPLICANTS

An authorized representative of the applicant organization (whose
signature appears on page one of the face page of the application PHS
form 5161) must complete and sign this Certification. **Appendix 1** of
the application must include this Certificate and all supporting
documentation specified within it. Any application that does not include
a completed, signed copy of this Certificate, or does not include
necessary supportive documentation, will be deemed ineligible and will
not be reviewed. Any application that does not meet all eligibility
requirements will be deemed ineligible and will not be reviewed.

1\. All applicant organizations must meet the criteria of consumer or
consumer supporter organizations.

A\) Applicants for the **National Consumer Self-Help TACs** must certify
and attest the following:

I certify that:

♦ The applicant is an organization that is controlled and managed by
consumers and dedicated to the improvement of mental health services.

♦ The applicant organization has a board of directors comprised of more
than 50 per cent consumers.

♦ The consumers on the board of directors are individuals 18 years of
age or older with severe mental illness.

♦ The consumer board of directors has been in operation for more than
one year.

B\) Applicants for the **National Consumer-Supporter Self-Help TACs**
must certify and attest to the following:

I certify that:

♦ The applicant is an organization that is controlled and managed by
consumer supporters and dedicated to the improvement of mental health
services.

♦ The applicant organization has a board of directors comprised of more
than 50 per cent consumer supporters.

♦ The consumer supporters on the board of directors are individuals
involved with the support of a consumer (age 18 or older), including
parents, siblings, spouses, and significant others, friends, co-workers,
and neighbors who provide support in a non-professional capacity.

♦ The consumer supporter board of directors has been in operation for
more than one year.

C. All applicants for National Consumer and Consumer Supporter Self-Help
Technical Assistance Centers must certify and attest that:

♦ The applicant organization has been in operation as a legal entity for
a minimum of one year.

♦ Key personnel from the applicant organization and those being proposed
for support of this cooperative have been employed by the organization
for at least one year at a minimum of 70% of their time.

♦ The United States Federal Government Internal Revenue Service (I.R.S.)
has issued the application organization tax exempt status or similar
documentation of such status dated prior to January 2003 and a copy is
included in this application.

♦ The applicant organization will take an active role in the fiscal
management and oversight of the project, and will be legally, fiscally,
administratively, and programmatically responsible for the cooperative
and has not submitted a "pass through," "umbrella," or "cover letter"
application.

This form must be signed and dated below by an authorized representative
of the applicant organization certifying that the aforementioned
statements are accurate.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Type or print name and title

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Applicant certifying validity of Date of Signature

all information contained in this document

APPENDIX B: Number range CHAPTER**REQUIREMENTS FOR PLANNING
CSP-SUPPORTED**

**NATIONAL CONSUMER CONFERENCES**

Since 1985, the Center for Mental Health Services' (CMHS) Community
Support Program (CSP) has supported national conferences for primary
consumers (also referred to as ex-patients or survivors) of mental
health services. The purpose of this issuance is to facilitate the
planning of these conferences by clarifying CMHS and CSP policies and
defining the roles and responsibilities of grantees organizing the
event, the Government Project Officer (GPO), the Conference Advisory
Committee, and other CMHS staff involved in planning these conferences.

**[Purpose of Conference]{.underline}**

The purpose of this conference is to provide a forum for consumers from
across the Nation to meet, exchange information and ideas, and provide
and receive technical assistance on a variety of topics of interest,
such as peer support, consumer-operated services, self-help, protection
and advocacy issues, empowerment, and recovery. The conference also
transfers knowledge on best practices in mental health and support
services. The information and knowledge gained through attending this
conference enables consumers to advocate for effective individual
treatments and services, as well as for broader managed care and service
system improvements.

**[Participants]{.underline}**

The conference is open to all individuals who have had or are currently
experiencing a mental health disorder. It also is open to others at the
discretion of the Advisory Committee.

**[Grantee Organizing Conference]{.underline}**

The grantee organization responsible for overseeing the conference will
select a site that is accessible and affordable and, to the extent
possible, different from previous sites for national conferences. The
grantee also will be responsible for the logistics of the conference,
including moderating the Conference Advisory Committee meetings and
teleconference calls; developing and disseminating materials; handling
publicity; and arranging for lodging, meals, registration, meeting
rooms, emergency procedures, transportation, and the conference
evaluation. Within 3 months of the conference, the grantee is
responsible for submitting a final report on the conference that details
the expenditures, summarizes the evaluations, and provides
recommendations for future national consumer conferences.

**[Government Project Officer (GPO)]{.underline}**

The GPO will approve the individual(s) who have a major role in
coordinating the conference and will review and provide guidance on the
composition of the Conference Advisory Committee, the proposed budget
expenditures for the conference, policies regarding scholarships, and
logistical plans. Furthermore, the location, agenda, and specific
conference brochure providing presenters and workshop descriptions must
be approved by the GPO prior to finalizing and sending to the field. The
GPO will participate in Conference Advisory Committee meetings and
teleconferences. The GPO also will provide technical assistance, as
requested.

**[Advisory Committee and Planning Process]{.underline}**

The conference will be planned by a committee formed approximately 1
year prior (as funding permits) to the actual conference. The members
will include duly appointed representatives of the national consumer
organizations, Federal CMHS CSP staff (Grant Project Officer), CMHS
Consumer Affairs liaison staff, and the Directors or designees of the
CSP-funded Consumer Technical Assistance Centers. The Committee will
reflect gender, ethnic/minority representation, and, to the extent
possible, geographic distribution and involvement of individuals who
have not participated on previous Conference Advisory Committees.

The Committee will devise a process for gathering information from
consumers throughout the Nation on topics of interest for the agenda and
speakers. Final decisions regarding the agenda will be made by the
Advisory Committee. However, the workshop areas selected should
represent a variety of viewpoints and mainly include workshops run by
and for consumers.

The Advisory Committee is responsible for designing the programmatic
aspects of the conference, including the theme and logo. Only members of
the Committee may vote on decisions regarding the agenda and speakers
for the conference. The Advisory Committee should meet physically once
and handle continuing business through telephone conference calls,
mailings, and computer e-mail.

**[Involvement of National Consumer Organizations]{.underline}**

The conference agenda and official workshops [may not be
used]{.underline} to further the development of national consumer
organizations or for other purely parochial interests. However,
individuals from the various national consumer organizations may use the
times before and after the conference, free times scheduled on the
agenda, and evenings to conduct activities related to promoting or
planning for their respective organizations. Of course, national
consumer organizations and other organizations may sponsor substantive
workshops.

Information related to the business activities of individuals or
national organizations must be kept separate from the conference agenda
and sent out in separate mailings.

##### Appendix C

<table style="width:100%;">
<colgroup>
<col style="width: 36%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="10"><h5
id="samhsa-priorities-programs-and-principles-matrix"><strong>SAMHSA
Priorities: Programs and Principles Matrix</strong></h5></td>
</tr>
<tr class="even">
<td rowspan="2"></td>
<td colspan="9"><h5 id="cross-cutting-principles"><strong>Cross-Cutting
Principles</strong></h5></td>
</tr>
<tr class="odd">
<td><blockquote>
<p>Data and evidence-based outcomes</p>
</blockquote></td>
<td><blockquote>
<p>Collaboration with public and private partners</p>
</blockquote></td>
<td><blockquote>
<p>Recovery/ Reducing stigma &amp; barriers to services</p>
</blockquote></td>
<td><blockquote>
<p>Cultural competency/Eliminating disparities</p>
</blockquote></td>
<td><blockquote>
<p>Community and faith-based approaches</p>
</blockquote></td>
<td><blockquote>
<p>Trauma and Violence (e.g. physical and sexual abuse)</p>
</blockquote></td>
<td><blockquote>
<p>Financing strategies and cost-effectiveness</p>
</blockquote></td>
<td><blockquote>
<p>Rural and other specific settings</p>
</blockquote></td>
<td><blockquote>
<p>Workforce development</p>
</blockquote></td>
</tr>
<tr class="even">
<td><h1 id="programsissues">Programs/Issues</h1></td>
<td colspan="9"></td>
</tr>
<tr class="odd">
<td>Co-occurring disorders</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Substance abuse treatment capacity</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Seclusion and restraint</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Prevention and early intervention</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Children and families</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>New Freedom Initiative (including President’s mental health
commission)</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Terrorism/bio-terrorism</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Homelessness</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Aging</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>HIV/AIDS &amp; Hepatitis C</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Criminal justice</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

**APPENDIX D**

**GUIDELINES FOR ASSESSING**

**CONSUMER AND FAMILY PARTICIPATION**

Applicants should have experience or a track record of involving mental
health consumers and their family members. The applicant organization
should have a documented history of positive programmatic involvement of
recipients of mental health services and their family members. This
involvement should be meaningful and span all aspects of the
organization's activities, as described below:

● Program Mission: An organization's mission should reflect the value of
involving consumers and family members, in order to improve outcomes.

● Program Planning: Consumers and family members are involved in
substantial numbers in the conceptualization of initiatives, including
identifying community needs, goals, and objectives and innovative
approaches. This involves participation in grant application
development, including budget submissions. Approaches also should
incorporate peer support methods.

● Training and Staffing: The staff of the organization should have
substantive training in and be familiar with consumer and family-related
issues. Attention should be placed on staffing the initiative with
people who are consumers or family members of consumers. Such staff
should be paid commensurate with their work and in parity with other
staff.

● Informed Consent: Recipients of project services should be fully
informed of the benefits and risks of services and allowed to make a
voluntary decision, without threats or coercion, to receive or reject
services at any time.

● Rights Protection: Consumers and family members must be fully informed
of all their rights, including those designated by the President's
Healthcare Consumer Bill of Rights and Responsibilities: Respect and Non
Discrimination.

● Program Administration, Governance, and Policy Determination:
Consumers and family members should be hired in key management roles to
provide project oversight and guidance. Consumers and family members
should sit on all Boards of Directors, Steering Committees, and Advisory
bodies in meaningful numbers. Such members should be fully trained and
compensated for their activities, including child care.

● Program Evaluation: Consumers and family members should be integrally
involved in designing and carrying out all research and program
evaluation activities. This includes determining research questions,
designing instruments, conducting surveys and other research methods,
and analyzing data and determining conclusions. Consumers and family
members should be involved in submission of all journal articles.
Evaluation and research should include consumer satisfaction and
dissatisfaction measures.