**DEPARTMENT OF HEALTH AND HUMAN SERVICES**

**Substance Abuse and Mental Health Services Administration**

**Center for Substance Abuse Prevention**

**Request for Applications (RFA) No. SP03-003**

**Cooperative Agreements** **for**

## State Incentive Planning and Development Grants

**Short Title: SIG Planning Grant**

# Part I- Programmatic Guidance

Application Receipt Date: January 17, 2003

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

Elaine Parry Charles G. Curie, M.A., A.C.S.W.

Acting Director Administrator

Center for Substance Abuse Prevention Substance Abuse and Mental Health

Substance Abuse and Mental Health Services Administration

Date of Issuance: November, 2002

Catalog of Federal Domestic Assistance (CFDA) No. 93.243

Authority: Section: 516 of the Public Health Service Act, as amended and
subject to the availability of funds

\*This program is being announced prior to the full annual appropriation
for fiscal year (FY) 2003 for the Substance Abuse and Mental Health
Services Administration's (SAMHSA) programs. Applications are invited
based on the assumption that sufficient funds will be appropriated for
FY 2003 to permit funding of a reasonable number of applications being
hereby solicited. This program is being announced in order to allow
applicants sufficient time to plan and to prepare applications.
Solicitation of applications in advance of a final appropriation will
also enable the award of appropriated grant funds in an expeditious
manner and thus allow prompt implementation and evaluation of promising
projects. [All applicants are reminded, however, that we cannot
guarantee sufficient funds will be appropriated to permit SAMHSA to fund
any applications]{.underline}. Questions regarding the status of the
appropriation of funds should be directed to the Grants Management
Officer listed under Contacts for Additional Information in this
announcement.

**Table of Contents**

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

Agency\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...........\...\...\...\...\...\...\...\...\.......\...\...\...\...\...
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Purpose of this
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Who Can
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Application
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How to Get an Application
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Where to Send the
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Application Due
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How to Get
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Cooperative
Agreements\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\..............
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Award
Criteria\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...............
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Post Award
Requirements\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\............
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Program
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What to Include in Your
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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
E\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\......\.......\.........
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Section A: Plan for Establishing a State-Level Prevention and

Early Intervention Advisory Committee

Section B: Plan for Developing a Comprehensive Statewide Substance

Abuse Prevention and Intervention Strategy

Section C: Plan for Promoting Capacity Building for Science-Based
Prevention

Section D: Project Management and Staffing Plan

Section E: Process Evaluation Plan

SAMHSA Participant Protection
Requirements\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...
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Special Considerations and
Requirements\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...
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Appendices

Appendix A: Data Reporting
Requirements\...\...\...\...................\.......\...\...\...\...\.......
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Appendix B: Science-Based Practices and Model
Programs\...\...\...\...................\... 22

Appendix C: Applicant
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**[Agency]{.underline}**

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

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

The Substance Abuse and Mental Health Services Administration (SAMHSA),
Center for Substance Abuse Prevention, is accepting applications for
FiscalYear 2003 cooperative agreements to support [one-year]{.underline}
planning and development grants to States and Territories (hereinafter
called "States") which have not previously received a State Incentive
Grant (SIG) award. These awards will provide resources and technical
support to those remaining non-SIG states that wish to develop the
capacity and infrastructure needed to more effectively compete for a
full (3-year) SIG award.

It is expected that approximately \$1.8 million will be available for up
to 4 awards in FY 2003. Awards are expected to be approximately
\$450,000 in total costs for up to one year. Cost-sharing is not
required for this program. Actual funding levels will depend on the
availability of funds and State needs. The amount of funds available
will depend on the appropriation.

Awards may be requested for one (1) year.

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

The purpose of these grants is to help States develop the capacity and
infrastructure needed to more effectively compete for a full (3-year)
SIG award. [Accordingly, eligible applicants for the SIG planning grants
are limited to the Office of the Governor in only those remaining States
that have not yet received a SIG award]{.underline}. Several of the
States that have not yet applied for SIG grants, or have not been able
to secure a SIG grant, are typically characterized by significantly less
developed substance abuse prevention capacity. Moreover, these States
have typically lacked the readiness and infrastructure to support a full
(3-year) SIG grant. Congruent with SAMHSA/CSAP priorities of awarding a
SIG to as many States and Territories as possible, the SIG planning
grants give these States a viable support mechanism for developing their
prevention capacity and infrastructure.

(Note: The SIG Planning Grant is intended to enhance the State's
prevention capacity and infrastructure. It is neither a prerequisite for
applying for the full 3-year SIG grant nor an assurance of receiving
one.)

**[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 Program Announcement (PA) or Request for
Applications (RFA) includes instructions for the specific grant or
cooperative agreement application. This document is Part I.

**3. PART II** - of the Program Announcement (PA) or Request for
Applications (RFA)- provides general guidance and policies for SAMHSA
grant applications. 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 of the kit in completing your
application.**

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

-   Call: The National Clearinghouse for Alcohol and Drug Information
    (NCADI) at 1-800-729-6686; TDD: 1-800 487-4889; or Download from the
    SAMHSA website at [www.SAMHSA.gov](http://www.SAMHSA.gov/). Go to
    the "Grants Opportunities" link.

-   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 2 copies of your grant application to:

    **SAMHSA Programs**

    Center for Scientific Review

    National Institutes of Health

    Suite 1040

    6701 Rockledge Drive MSC-7710

    Bethesda, MD 20892-7710

    \*\*Change the zip code to 20817 if you use express mail or courier
    service.

**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.**

**Be sure to type "SP03-003 SIG Planning Grant" in Item Number 10 on the
Face Page of the Application Form.**

If you require a phone number for delivery, you may use (301) 435-0715.

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

Your application must be [received]{.underline} by Friday, January 17,
2003.

Applications received after this date must have a proof-of-mailing date
from the carrier before Friday, January 10, 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:**

Dave Robbins or Patricia Getty

Division of State and Community Systems Development

Center for Substance Abuse Prevention

Substance Abuse and Mental Health Services

Administration

Rockwall II, Suite 930

5600 Fishers Lane

Rockville, MD 20857

\(301\) 443***-***2068

E-Mail: <drobbins@samhsa.gov>

pgetty@samhsa.gov

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

Stephen 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

shudak@samhsa.gov

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

These SIG Planning Grant awards are being made as cooperative agreements
because they require substantial Federal staff involvement.

Role of Federal Staff:

-   Provide guidance and technical assistance to help awardees achieve
    SIG Planning Grant goals:

    -   Develop Governor's State-level Prevention and Early Intervention
        Advisory Committee

    -   Identify State-wide funding streams and resources

    -   Develop state-wide substance abuse prevention and early
        intervention plan

    -   Achieve readiness for improved collaboration

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-   Participate on policy, steering, advisory, or other workgroups.

-   Facilitate support from the Centers for the Application of
    Prevention Technologies (CAPTs). (See Appendix C: Applicant
    Resources)

    Role of State Awardee:

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-   Comply with the terms of the SIG Planning Grant Cooperative
    Agreement.

-   Agree to provide SAMHSA with data required for the Government
    Performance and Results Act (GPRA).

-   Collaborate with CSAP staff in all aspects of the terms and
    conditions of the SIG Planning Grant Cooperative Agreement.

    **Role of Individual State's SIG Advisory Committee:**

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-   Represent the Office of the Governor and diverse stakeholders of the
    State, including:

    -   relevant state agencies

    -   local community prevention organizations

    -   prevention providers

    -   local anti-drug coalitions

    -   youth and family groups

    -   health care organizations

-   Ensure that the committee chair is appointed by the Governor.

-   Provide prevention coordination and support to the Governor and
    strategic and operational advice to the SIG Planning Grant.

-   Coordinate with other State committees.

-   Meet within 45 days of award and continue to hold regularly
    scheduled meetings.

SIG Advisory Committee milestones should include:

-   Announcement of appointees by Governor

-   Establishment of workgroups and committees to support the SIG
    Planning Grant goals and objectives

-   Development of a workplan for the SIG Planning Grant

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

    Decisions to fund a grant are based on:

1.  The strengths and weaknesses of the application as identified by the
    Peer Review Committee and approved by the Center for Substance Abuse
    Prevention's National Advisory Council.

2\. Availability of funds

**[Post Award Requirements]{.underline}**

1\. Reports: SIG Planning Grant Grantees are required to submit:

-   Quarterly progress and financial reports

-   Final Report summarizing accomplishments and outcomes. CSAP report
    formats will be provided following award.

2\. Grantees must inform the CSAP Project Officer of any publications
developed in the course of the SIG Planning Grant.

Government Performance and Results Act (GPRA)

Grantees must provide information needed by SAMHSA to comply with the
Government Performance and Results Act (GPRA) reporting requirements.

GPRA mandates accountability and performance-based management by Federal
agencies, focusing on results or outcomes in evaluating the
effectiveness of Federal activities and on measuring progress toward
achieving national goals and objectives. Grantees must comply with GPRA
data collection and reporting requirements.

GPRA measures required for the full (3-year) State Incentive Grant are
provided in Appendix A, Data Reporting Requirements.

[]{.mark}

SIG Planning Grant awardees will be required to report on the following
GPRA measures:

-   Establishment of a SIG Advisory Committee

Number of Representatives from:

-   Relevant state agencies

-   Local community prevention organizations

-   Prevention providers

-   Local anti-drug coalitions

-   Youth and family groups

-   Health care organizations

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-   Development of a Comprehensive, State-wide Prevention Strategy

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-   Number of subpopulations in need by age group, ethnicity, gender and
    geography

-   Number of gaps in services by type of service

-   Number and types of funding streams

-   Number and types of collaborative activities

-   Number and types of science based programs

[Note:]{.underline} SAMHSA/CSAP will ensure that all GPRA Measures
related to the SIG Planning Grant will be clearly specified. Although
these measures of "readiness" to compete effectively for the full SIG
grant are intended to show some degree of quantification, true outcomes
would only be achievable under the full SIG program.

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

**Program Goals and Requirements**:

The overall goal of the SIG Planning Grant is to support eligible States
in developing the capacity and infrastructure needed to more effectively
compete for a full (3-year) SIG. States receiving the one-year SIG
planning grants will be required to work intensively in several areas to
achieve readiness. In doing so, States are required to carry out the
following three goals and their objectives:

1.  Ensure that the Governor's office establishes a State-level Advisory
    Committee with a substance abuse prevention and early intervention
    focus that would: 1) build consensus about Program goals and
    strategic planning with diverse State agencies; and 2) provide
    overall coordination of the State's SIG Planning Grant.

2.  Develop a comprehensive State-wide substance abuse prevention and
    early intervention strategy that would identify:

    -   Overall prevention/early intervention needs of the target
        population (youth and young adults, ages 12-25)

    -   Existing gaps in prevention and early intervention services to
        meet the needs of the target population.

    -   All substance abuse prevention-related funding streams and
        resources throughout the State, including preliminary planning
        for coordinating and leveraging such funding streams and
        resources.

    -   Ways to improve collaboration and coordination among State
        agencies and policies so as to optimize prevention and early
        intervention resources, and to further develop capacity and
        infrastructure.

    -   Technical assistance needs, in collaboration with the CAPTS in
        their region.

3.  Develop capacity and readiness to promote and support future
    implementation of science-based prevention and intervention services
    in communities.

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

    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}**

    Your total abstract should not be longer than 35 lines. In the
    [first 5 lines or less]{.underline} 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.

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-   [**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.
    Follow instructions in Appendix B of Part II of the RFA.

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

    **The Project Narrative describes your project. It consists of
    Sections A through E.** These sections may not total more than 25
    pages. More detailed information about Sections A through E follows
    Item 10 of this checklist.

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-   **Section A --** Plan for Establishing a State-Level Prevention and
    Early Intervention Advisory Committee

-   **Section B** -- Plan for Developing a Comprehensive Statewide
    Substance Abuse Prevention and Early Intervention Strategy

-   **Section C** -- Plan for Promoting Capacity Building for
    Science-Based Prevention

-   **Section D** -- Project Management and Staffing Plan

-   **Section E** -- Process Evaluation Plan

    **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 F-I.** There are no
    page limits for these sections, except for Section H, the
    Biographical Sketches/Job Descriptions.

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-   **Section F** **-** **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 G** **-** **Budget Justification**, Existing Resources,
    Other Support. You must provide a narrative justification of the
    items included in your proposed budget as well as a description of
    existing resources and other support you expect to receive for the
    proposed project. **(See Part II of the grant announcement, Example
    A, Justification).**

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-   **Section H** - **Biographical Sketches and Job Descriptions (where
    applicable)**

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-   Include a biographical sketch for the project director and for other
    key positions. Each sketch should not be longer than **2 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 **1 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** I **-** **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 1-3]{.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 (plus all instruments) for the
    appendices.

    **Appendix 1**: Letters of Coordination/Support

    (See Part II of this RFA, Coordination with Other Federal/Non
    Federal Programs)

    **Appendix 2:** Data Collection Initiatives/Interview Protocols (See
    Item 4 of SAMHSA's Participant Protection Requirements, immediately
    following the Project Narrative section, below.)

    **Appendix 3**: Sample Consent Forms (See Item 6 of SAMHSA's
    Participant Protection Requirements, immediately following the
    Project Narrative section, below.)

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

    Non-Construction Programs. Use Standard form 424B found in PHS
    5161-1.

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

    Use the \"Certifications\" forms, which can be found in PHS
    5161-1*.* 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 "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. (Please read **Part II** of the RFA***,*** General Policies and
Procedures for all SAMHSA applications for additional details.)

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

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

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

    **Sections A through E**

    In developing your application, use the instructions below that have
    been tailored to the SIG Planning Grant. These are to be used in
    lieu of the "Program Narrative" instructions found in the PHS 5161
    on page 21.

    **Sections A through E are the Project Narrative of your
    application.** These sections describe what you intend to do to
    fulfill the requirements of the SIG Planning Grant. Below you will
    find detailed information on how to respond to Sections A through
    E***.*** Sections A through E may not total more than 25 pages.

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-   **Your application will be reviewed and scored against the
    requirements described below for sections A through E*.* 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.

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

-   Reviewers will also 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 4.

**Section A: Plan for Establishing a State-Level Prevention and Early
Intervention Advisory Committee**

**(20 points)**

Provide a Plan for establishing a State-Level Advisory Committee for the
SIG (Goal 1) that addresses the following objectives:

-   How the Chair of the SIG Advisory Committee will be appointed by the
    Governor

-   How State, local and community organizations will be identified to
    serve as representatives on the Committee, and the projected
    announcement date of these representatives by the Governor

-   How other State committees will be coordinated with the State-level
    Advisory Committee

-   A proposed first meeting date of the Advisory Committee, within 45
    days of award

-   Proposed subcommittees and meeting schedules

    **Section B: Plan for Developing a Comprehensive Statewide Substance
    Abuse Prevention and Early Intervention Strategy**

    **(40 points)**

Provide a Plan with a methodology for achieving a comprehensive
Statewide Substance Abuse Prevention and Intervention Strategy (Goal 2)
that addresses the five broad objectives listed below.

**1. Needs of the Target Population**

Describe in detail the substance abuse prevention needs of the target
population (12-25)---youth, young adults and their families in your
State.

-   Identify extent of the substance abuse problem affecting the target
    population.

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-   Reference data and/or information from Federally supported needs
    assessments and surveys including the National Household Survey (now
    renamed as the National Survey on Drug Use and Health).

-   Include data from State, local, and other needs assessments and
    reports.

[Note:]{.underline} Applicants are not required to collect primary
substance abuse prevention data to conduct this needs assessment.
Existing sources of data should be used instead. You may also wish to
consider using the Assess Your Needs Module of the Prevention Decision
Support System ([www.preventiondss.org](http://www.preventiondss.org/)).

**2. Gaps in Prevention Programs/Services**

Describe current gaps in prevention and early intervention services that
must be filled to meet the needs of the target population.

-   Identify and describe specific types of needed prevention services
    for the target population.

-   Discuss the methods for identifying and filling gaps in needed
    prevention services for the target population

-   Describe how age, culture, ethnicity, language, gender and
    disability issues within the State's diverse population will be
    considered.

###  {#section .unnumbered}

### Identify and describe existing effective prevention and early intervention services and programs throughout the State.

### 3. Prevention Funding Streams and Resources {#prevention-funding-streams-and-resources .unnumbered}

Describe how the State proposes to coordinate, leverage and redirect
prevention funding streams and resources to fill the identified gaps in
prevention programs and services in the target population. Your Plan
should outline the proposed process for achieving the following tasks:

-   Identify currently known prevention funding streams and resources in
    the State.

-   Depict current funds and resources in a graph/chart format, showing
    how they are being used.

-   Explain the current use of the 20-percent primary prevention
    set-aside of the SAPT Block Grant.

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-   Describe how the Governor will identify any additional prevention
    funding streams and coordinate SIG funds with all funding streams.

-   Explain the process by which the Governor would redirect and
    leverage such prevention funding streams and resources.

-   Identify potential State and local entities that will participate in
    this process.

**4. Improved Collaboration and Coordination**

Describe what steps the State will take to improve overall collaboration
and coordination among State agencies and policies so as to optimize
prevention and early intervention resources and further develop capacity
and infrastructure.

-   Include such elements as the functions of the State-level Advisory
    Committee, completion of a prevention funding streams and resources
    assessment, and proposed approach to coordinate and leverage such
    funding.

**5. Technical Assistance**

Identify technical assistance needs in Prevention and Intervention
throughout the State. In particular, applicants should describe how the
State will identify technical assistance and training resources to
support the goals and objectives of the SIG Program.

Include a discussion of how technical assistance will be handled in
collaboration with CSAP's Centers for the Application of Prevention
Technologies (CAPTs)

**Section C: Plan for Promoting Capacity Building for Science-Based
Prevention (20 points)**

Provide a Plan that describes what steps the State will take to develop
capacity and readiness to promote and support future implementation of
science-based prevention and intervention programs and services in
communities aimed at the target population. (Goal 3)

Include a discussion of capacity and readiness in such areas as:
strategic leadership; systems, processes or dimensions of human
resources; core resources; infrastructure, technology and finance;
program management; and process management.

[Note]{.underline}: Community readiness, in this context, has to do with
the community's awareness of, interest in, and ability and willingness
to initiate and support substance abuse prevention efforts.

**Section D: Project Management and Staffing Plan** **(10 points)**

Provide a project management and staffing plan describing the following:

-   Key project management functions and positions proposed for the SIG
    Planning Grant (Note: Do not include biographical sketches for
    individual project staff in this section; they are to be included in
    Section H.)

-   Relevant State resources and participating State agencies available
    to support the overall program.

-   The structure and processes to be used to ensure significant
    involvement and oversight of the SIG by the Office of the Governor

-   A timeline showing all startup, implementation and evaluation tasks
    for Year One.

**Section E:** **Process Evaluation Plan**

**(10 Points)**

In lieu of a formal outcome evaluation of the SIG Planning Grant,
applicants are required to conduct a process evaluation, focused on
progress toward the SIG Planning Grant goals.

In their Process Evaluation Plan, applicants should describe the
proposed approach for documenting the State's progress in carrying out
the following goals and objectives:

-   Forming a SIG Advisory Group (Goal 1). (Note: following award, the
    CSAP Project Officer will provide SIG Planning Grant awardees with
    forms for completing this task.)

-   Developing a Comprehensive Statewide Substance Abuse Prevention and
    Early Intervention Strategy (Goal 2). Applicants should describe
    their planned data collection and reporting activities with regard
    to the key objectives under this goal.

Applicants should focus on how the SIG Project Evaluators would work
with the SIG Project Staff and the SIG Advisory Committee to [enhance
the quality of data collection and reporting and provide a system for
documenting progress]{.underline} under the following objectives:

-   Identifying target population needs.

-   Identifying prevention service needs.

    -   Identifying the State's prevention funding streams and
        resources.

    -   Identifying ways to improve collaboration and coordination.

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-   Documenting the State's capacity to deliver future science-based
    prevention programming (Goal 3). Applicants should describe their
    planned data collection and reporting activities with regard to the
    key objectives under this goal.

In addition to identifying progress toward meeting the goals of the SIG
Planning Grant goals, applicants should describe, as part of their
Process Evaluation Plan, how the State will:

-   Incorporate its understanding of the SIG logic model as a tool in
    the planning process.

-   Document lessons learned, and strengths and barriers to implementing
    the SIG Planning Grant activities.

-   Allocate time and resources to data gathering and data reporting
    activity.

-   Collect, store, analyze and interpret the data to be gathered as
    part of the SIG Planning Grant.

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

NOTES:

1\) As part of your Application, all Supporting Documentation (Sections
F-I) should be provided immediately following Sections A-E of the
Narrative.

2\) 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.

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

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

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 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}:

     [Protect 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 to
    participants.

-   Where appropriate, describe alternative treatments and procedures
    that may be beneficial to the participants. If you do not decide 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, 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 others 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}

-   Explain if participation in the project is voluntary or required.
    Identify possible reasons why it is required. For example, 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 even if they do not complete the study.

     [Data Collection]{.underline}

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

-   Identify what type of specimens (e.g., urine, blood) will be used,
    if any. State if the material will be used just for evaluation or if
    other use(s) will be made. Also, if needed, describe how the
    material will be monitored to ensure the safety of participants.

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-   Provide in Appendix 2, "Data Collection Instruments/Interview
    Protocols," copies of [all]{.underline} available data collection
    instruments and interview protocols that 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. For example,
    through the use of a coding system on data records, limiting access
    to records, or storing identifiers separately from data.

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

     [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 Appendix 3, 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., consents to release
    information to others or gather information from others) will be
    used in your project, provide a description of the consents. Will
    individuals who do not consent to having individually identifiable
    data collected for evaluation purposes be allowed to participate in
    the project?

     [Risk/Benefit Discussion:]{.underline}

    Discuss why the risks are reasonable compared to 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 grant announcement.

    The following special topics are applicable to the SIG Planning
    Grant:

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-   Population Inclusion Requirement

-   Government Performance Monitoring

-   Healthy People 2000

-   Consumer Bill of Rights and Responsibilities

-   Promoting Nonuse of Tobacco

-   Supplantation of Existing Funds

-   Letter of Intent

-   Coordination with Other Federal/Non Federal Programs (Include
    response in Appendix 1 of your Application)

-   Single State Agency Coordination

-   Intergovernmental Review (E.O. 12372)

-   Public Health System Reporting Requirements

-   Confidentiality/SAMHSA Participant and Human Subject Protection

> (Note: Provide your responses to Participant Protection under
> Supporting Documentation (Section I) in your Application. Provide your
> response to Data Collection Initiatives/Interview Protocols (Item 4 of
> Participant Protection) in Appendix 2 of your Application; and Sample
> Consent Forms \[Item 6 of Participant Protection\] in Appendix 3 of
> your Application.)

#### Appendix A: Data Reporting Requirements

SIG State awardees will agree to provide data responding to the
Government Performance and Results Act of 1993 (GPRA), the White House
Office of National Drug Control Policy (ONDCP), the National Cross Site
Evaluation and Healthy People 2010 reporting requirements that are
relevant to the SIG program. These and any other reporting requirements
will be mutually agreed upon by the SIG Advisory Committee and CSAP.

##### CSAP's GPRA Strategy 

The Government Performance and Results Act of 1993 (Public Law- 103-62)
requires all federal departments and agencies to develop strategic plans
that specify what they will accomplish over a three- to five-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 success and failures based on the
performance monitoring data. While the language of the statute talks
about separate Annual Performance Plans and Annual Performance Reports,
ASMB/HHS has chosen to incorporate the elements of the annual reports
into the annual President's Budget and supporting documents.

The GPRA Measures relevant to the SIG program are as follows:

> 1\. Increase State collaboration rating in the following areas:
>
> a\) prevention service delivery
>
> b\) prevention legislation/policies
>
> c\) use of prevention-related resources
>
> 2\. Decrease past month substance use for youth and young adults, ages
> 12 to 25
>
> 3\. Increase the number of science-based programs being implemented by
> local subrecipients in SIG States.

CSAP's GPRA Client Outcome Measures for Discretionary Programs (commonly
referred to as the GPRA "Cross Cutting Tool") should be consulted and
used as part of this important program-level reporting process.

**Note: This document is contained in the kit that accompanies this
grant announcement, and may also be accessed through CSAP's Prevention
Decision Support System, located on the website** **(Click on the
"Search" link at the top of the home page. Type GPRA in the Search Box.
Click "Search DSS Portal"; then select the link called "Government
Performance Outcome Measures (GPRA) Sample Instrument (PDF)." View a PDF
example of a GPRA evaluation instrument, which CSAP and other federal
agencies use to collect certain basic information about prevention
activities funded by the federal block grants and other funding
mechanisms.**

**[CSAP's Core Outcome Measures]{.underline}**

Use of CSAP's Core Outcome Measures for SIG Program data collection and
evaluation is required per OMB approval 0930-0230.

The CSAP Core Outcome Measures relevant to the SIG program are as
follows:

[At the State and community levels]{.underline}:

1.  Augment existing State and/or community-level surveys with CSAP Core
    Measures where applicable and appropriate

[At the Program level]{.underline}:

1.  Collect pre- and post-test data on as many local programs as
    possible using the CSAP Core Measures. At a minimum, pre- and
    post-data will be collected and analyzed from one or more programs
    across at least three domains with a "number" sufficient for
    statistical significance.

**The CSAP Core Measures Initiative may be accessed through CSAP's
Prevention Decision Support System, located on the website** Go to
preventiondss.org; Scroll down to "Links to More Resources\...."; Click
on GO; Scroll down to "CSAP Core Outcome Measures Initiative"; Click on
"CSAP's Core Outcome Measures"; Click "Here to Continue"; Click on "CMI
Viewer"; that last click will give you access to each of the domains,
constructs and recommended instruments in the Core Measures.

**[White House Office of National Drug Control Policy]{.underline}**

**[Performance Measures of Effectiveness (ONDCP PMEs)]{.underline}**

The ONDCP PMEs for substance abuse prevention encompass performance
goals related to the following constructs:

1)  youth perception of risk

2\) youth disapproval of use

3\) reduce past 30 day use by youth

4\) increase age of first use

5)  reverse upward trend of marijuana use

> by youth

6)  reduce prevalence of past month use of other

> illegal drugs and alcohol by youth

7)  reduce tobacco use by youth

**The ONDCP PMEs are available through the following web site:**
http:/www.whitehousedrugpolicy.gov/prevent/reference.html.
Alternatively, you may go through the website. Use the Search feature
and type in "ONDCP Reference Guide" and check "Find matches containing
all of these words." Click on "Search PreventionDSS Database.

##### Healthy People 2010

The Healthy People 2010 Objectives that are leading health indicators
include three topics under substance abuse prevention: alcohol and
illicit drug use by adolescents, illicit drug use by adults and binge
drinking by adults. The full text of the U.S. Dept. of Health and Human
Services' Healthy People 2010 objectives on Substance Abuse Prevention
can be found in Chapter 26 of the voluminous document, *Tracking Healthy
People 2010*.

**This document is available at http://www.cdc.gov.nhchs/hphome.htm.**

### [Data Access, Sharing and Publication]{.underline} {#data-access-sharing-and-publication .unnumbered}

45 C.F.R. 74.36(a) provides that the recipient may copyright any work
that is subject to copyright and was developed under a grant. SAMHSA
reserves a royalty-free, nonexclusive and irrevocable right to publish
or otherwise use the work under a grant. In this regard, SAMHSA plans to
use the data under the grant and to publish the results of the data.
Study sites are required to share their data and associated data
documentation as soon as the data are cleaned, coded, and ready for
analyses by SAMHSA/CSAP, including the relevant Program Coordinating
Centers (PCCs) and CSAP's Data Coordinating Center (DCC). These data
will be used to perform cross-site (PCC) and cross-program (DCC)
analyses.

The specific, common data to be submitted to the PCCs and DCC will be
communicated shortly after award and, where applicable, be determined by
consensus of the program's steering committee. The data will be
submitted according to an agreed-upon schedule and will include, at a
minimum, data to meet programmatic and CSAP GPRA requirements (including
demographics and relevant intervention characteristics) and any other
core measures deemed appropriate by the steering committee and/or
necessary to address ONDCP's Performance Measures of Effectiveness and
Healthy People 2010. If no steering committee exists, common data
requirements will be determined as defined by the individual program.
Data typically are submitted by grantees to the PCC who will then
forward copies to the DCC. Where no PCC exists, data will be forwarded
to the DCC by CSAP program staff.

Those entities (e.g., the PCC, the DCC) that will have responsibilities
for and access to the data will strictly follow all regulations and
protocols concerning protection of human subjects, confidentiality, and
privacy. All steering committee agreements (e.g. publication policies,
guidelines about sensitivity to cultural issues) will be honored.

**[Model Substance Abuse Prevention Programs]{.underline}**

CSAP\'s Model Program web site **(** is for everyone involved in
preventing substance abuse and creating positive change in the lives of
youth. Applicants may wish to visit this website to:

5.  access materials on how to implement and evaluate your community's
    model substance abuse prevention program

6.  request training and technical assistance from program developers

7.  link to numerous prevention and funding resources

8.  check out and order many free publications on all model programs and
    the latest in science-based substance abuse prevention

The successful model programs featured on this web site can be
replicated at the community level‑‑adopted in their entirety or used to
guide improvements or expanded services in an existing substance abuse
prevention program.

**[CSAP's National Registry of Effective Prevention Programs
(NREPP)]{.underline}**

The NREPP is a system to catalogue and assess formally evaluated
substance abuse and related prevention programs sponsored by Federal
agencies, State governments, local communities, foundations, non‑profit
organizations, and private sector businesses.

Programs nominated for the NREPP may be innovative interventions,
replications of interventions (Including cultural or local adaptations
of existing programs) or programmatic research (multiple studies) in a
specific area which has evolved over time and is submitted for overall
consideration, rather than as a single intervention trial. Programs that
are determined to have been well‑implemented, thoroughly evaluated; and
produced consistently positive and replicable results may become Model
Programs. In order to become models, programs must also be ready for
dissemination (i.e., they must have well developed program materials
and/or training programs).

Programs become part of the NREPP by submitting journal article(s);
and/or final project outcome evaluation reports. Teams of trained
evaluators independently rate programs based on 15 dimensions to
determine the quality of the program in question. Programs rated as
model programs are those that are well‑implemented, are rigorously
evaluated, and have consistent positive findings (integrity ratings of
"4 " or "5 ").

**Appendix B: Science-Based Practices**

**and Model Programs**

Following the award of subrecipient contracts or funding mechanisms, SIG
States will work with CSAP project officers, the CAPTs and subrecipient
communities to identify and select appropriate science-based prevention
programs. .

Applicants are to use CSAP's [Guide to Science-Based
Practices]{.underline} as a reference in identifying and selecting
effective substance abuse prevention programs.

**Note: A copy of this important three-part document is contained in the
kit that accompanies this grant announcement and may also be accessed
through CSAP's Decision Support System (DSS) website at** **and through
SAMHSA/CSAP's Model Programs website at
[www.samhsa.gov/modelprograms]{.underline}.**

**[Appendix C: Applicant Resources]{.underline}**

**[Centers for the Application of Prevention Technologies
(CAPTs)]{.underline}**

The CAPTs are the major national resource supporting the dissemination
and application of substance abuse prevention programs that are
scientifically sound and effective at the state and community levels.
The CAPTs are prominently placed programmatically within SAMHSA/CSAP's
Targeted Capacity Enhancement (TCE) program.

The CAPTs' primary clients are States receiving funds through
SAMHSA/CSAP's State Incentive Cooperative Agreements for Community-Based
Action (SIGs) program. Secondary clients include non-SIG States, U.S.
Territories, Indian Tribes and tribal organizations, local communities,
substance abuse prevention organizations, and practitioners.

Since 1997, the CAPTs have provided essential services to their clients
in all fifty States and to thousands of prevention organizations across
the country. Among the strategies that each CAPT uses are:

 Establishing of technical assistance networks using local experts from
each region

 Convening of a regional advisory committees and learning communities

 Conducting training conferences and workshops to promote skill
development in prevention methods related to evidence-based models of
prevention; and

 providing direct services to their clients via technical assistance
and technology transfer

**More information about the CAPTs is available through the website
www.captus.org**.

[**SAMHSA's National Clearinghouse for Alcohol and Drug Information**
**(NCADI)**]{.underline}

SAMHSA\'s NCADI is a one-stop resource for information about substance
abuse problems. NCADI\'s public library has more than 80,000 journals,
newspapers, magazines, and reference books, plus equipment for reviewing
audiotapes and videotapes. The Clearinghouse also provides access to 11
computer data bases, including the Educational Resources Information
Center (ERIC) of the U.S. Department of Education, the ETOH data base of
the National Institute on Alcohol Abuse and Alcoholism, and the
bibliographic data base of the Centers for Disease Control and
Prevention\'s Office on Smoking and Health. NCADI\'s own Prevention
Materials Data Base lists more than 8,000 prevention products, such as
curricula, videocassettes, posters, brochures, specialty items, and
educational material.

**You may call the National Clearinghouse for Alcohol and Drug
Information (NCADI) at**

**1-800 729-6686; TDD: 1-800 487-4889; or click on the NCADI link
through**

**the SAMHSA web site at**

**[CSAP's Prevention Decision Support System (DSS)]{.underline}**

CSAP encourages all SIG applicants to make use of this valuable
repository of information resources and web-based tools designed to
assist States and communities in planning and making decisions
concerning substance abuse prevention programs. CSAP's DSS web site ()
promotes scientific methods and programs for substance abuse prevention.
The DSS is designed to actively guide practitioners and State systems
toward making well-informed decisions concerning a broad range of
prevention programming options. Its seven-step approach to on-line
technical assistance, training and other resources identify "best and
promising" approaches to needs assessment, capacity building,
intervention program selection, evaluation and reporting. PreventionDSS
also provides States and communities with on-line evaluation for
collecting and managing process and outcome evaluation data as well as
information about Substance Abuse Block Grant programs.

A CD Rom tutorial is available from SAMHSA/CSAP by contacting the
National Clearinghouse for Alcohol and Drug Information (NCADI) at the
following numbers:

1-800 729-6686; TDD: 1-800 487-4889; or click on the NCADI link through

the SAMHSA web site at

**For more information, you may access the DSS directly at**