Department of Health and Human Services

**Substance Abuse and Mental Health Services Administration**

**Strategic Prevention Framework State Incentive Grant Program (Short
Title: SPF SIG)**

**(Initial Announcement)**

**SP-06-002**

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

**Key Dates:**

+---------------------+------------------------------------------------+
| **Application       | **Application deadline: May 1, 2006**          |
| Deadline**          |                                                |
+---------------------+------------------------------------------------+
| **Intergovernmental | **Letters from State Single Point of Contact   |
| Review**            | (SPOC) are due no later than 60 days after     |
|                     | application deadline.**                        |
| **(E.O. 12372)**    |                                                |
+---------------------+------------------------------------------------+

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

Richard Kopanda 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

Services Administration

Table of Contents

I.  Funding Opportunity
    Description..........................................................
    4

1\. Introduction
...............................................................................
4

2\. Expectations
..............................................................................
4

II. Award
    Information...........................................................................
    14

    1.  Award Amount
        ..........................................................................
        14

    2.  Funding Mechanism
        ......................................................\...............
        15

III. Eligibility
     Information.....................................................................\...
     15

     1.  Eligible Applicants
         ......................................................................
         15

     2.  Cost Sharing
         .............................................................................
         15

     3.  Other
         ....................................................................................\...
         16

IV. Application and Submission
    Information.................................................. 16

    1.  Address to Request Application Package
        ..........................................\... 16

    2.  Content and Form of Application Submission
        ....................................... 16

    3.  Submission Dates and Times
        ........................................................... 22

    4.  Intergovernmental Review (E.O. 12372) Requirements
        ........................... 23

    5.  Funding
        Restrictions/Limitations.......................................................
        24

    6.  Other Submission Requirements
        ...................................................... 24

V.  Application Review
    Information.........................................................\...
    26

    1.  Evaluation Criteria
        .......................................................................
        26

    2.  Review and Selection Process
        ......................................................... 34

VI. Award Administration
    Information......................................................\...
    34

    1.  Award Notices
        ........................................................................\...
        34

    2.  Administrative and National Policy Requirements
        ................................. 34

    3.  Reporting Requirements
        ...............................................................
        35

VII. Agency Contacts
     ...........................................................................
     36

Appendix A: Checklist for Formatting Requirements and

Screenout Criteria for SAMHSA Grant
Applications............................................. 38

Appendix B: Glossary ......................
......................................................... 40

Appendix C: Logic Model
Resources...............................................................42

Appendix D: Sample Budget and
Justification................................................... 43

[]{.mark}

Appendix E: Performance Measures for the SPF SIGs
..........................................47

# I. FUNDING OPPORTUNITY DESCRIPTION

**1. INTRODUCTION**

The Substance Abuse and Mental Health Services Administration (SAMHSA)
Center for Substance Abuse Prevention (CSAP) announces the availability
of funds for Strategic Prevention Framework State Incentive Grants (SPF
SIGs). 

SPF SIG grants are authorized under Section 516 of the Public Health
Service Act, as amended.  This announcement addresses Healthy People
2010 Focus Area 26, substance abuse.

The SPF SIG program is one of SAMHSA's infrastructure grant programs. 
SAMHSA's infrastructure grants support an array of activities to help
grantees build a solid foundation for delivering and sustaining
effective substance abuse and/or mental health services.  The SPF SIGs,
in particular, will provide funding to States and federally recognized
Tribes and Tribal organizations to implement SAMHSA's Strategic
Prevention Framework in order to:

-   prevent the onset and reduce the progression of substance abuse,
    including childhood and underage drinking,

-   reduce substance abuse-related problems in communities, and

-   build prevention capacity and infrastructure at the State/Tribal and
    community levels.

The Strategic Prevention Framework is built on a community-based risk
and protective factors approach to prevention and a series of guiding
principles that can be operationalized at the Federal, State/Tribal and
community levels. Although the direct recipients of SPF SIG funds will
be States and federally recognized Tribes and Tribal organizations,
SAMHSA envisions the SPF SIGs being implemented through partnerships
between the States/Tribes and communities.

# EXPECTATIONS 

The Strategic Prevention Framework provides an effective prevention
process, a direction and a common set of goals to be adopted and
integrated at all levels.  Through the SPF SIG, grantees will be funded
for up to five years to implement the Strategic Prevention Framework in
partnership with community level organizations in their States/Tribes.
Tribal applicants may partner with community level organizations that
will provide services to their tribal member populations. States/Tribes
applying for a SPF SIG grant are expected to define what constitutes a
community in their State/Tribe. 

Grantees must allocate a minimum of 85 percent of the total grant award
directly to community-level organizations, or through sub-State
mechanisms to community-level organizations.

**2.1 Guiding Principles for the Strategic Prevention Framework**

The Strategic Prevention Framework is grounded in the public health
approach and based on six key principles. SPF SIG grantees are required
to base their SPF SIG projects on these six principles:

1.  [Prevention is an ordered set of steps along a continuum to promote
    individual, family, and community health, prevent mental and
    behavioral disorders, support resilience and recovery, and prevent
    relapse.]{.underline} Prevention activities range from deterring
    diseases and behaviors that contribute to them, to delaying the
    onset of disease and mitigating the severity of symptoms, to
    reducing the related problems in communities. This concept is based
    on the Institute of Medicine model that recognizes the importance of
    a whole spectrum of interventions.

2.  [Prevention is prevention is prevention.]{.underline} That is, the
    common components of effective prevention for the individual, family
    or community within a public health model are the same\--whether the
    focus is on preventing or reducing the effects of cancer,
    cardiovascular disease, diabetes, substance abuse or mental illness.

3.  [Common risk and protective factors exist for many substance abuse
    and mental health problems. Good prevention focuses on these common
    risk factors that can be altered.]{.underline} For example, family
    conflict, low school readiness, and poor social skills increase the
    risk for conduct disorders and depression, which in turn increase
    the risk for adolescent substance abuse, delinquency, and violence.
    Protective factors such as strong family bonds, social skills,
    opportunities for school success, and involvement in community
    activities can foster resilience and mitigate the influence of risk
    factors. Risk and protective factors exist in the individual, the
    family, the community, and the broader environment.

4.  [Resilience is built by developing assets in individuals, families,
    and communities through evidenced-based health promotion and
    prevention strategies]{.underline}. For example, youth who have
    relationships with caring adults, good schools, and safe communities
    develop optimism, good problem-solving skills, and other assets that
    enable them to rebound from adversity and go on with life with a
    sense of mastery, competence, and hope.

5.  [Systems of prevention services work better than service
    silos.]{.underline} Working together, researchers and communities
    have produced a number of highly effective prevention strategies and
    programs. Implementing these strategies within a broader system of
    services increases the likelihood of successful, sustained
    prevention activities. Collaborative partnerships enable communities
    to leverage scarce resources and make prevention everybody's
    business. National prevention efforts are more likely to succeed if
    partnerships with States, Tribes, communities, and practitioners
    focus on building capacity to plan, implement, monitor, evaluate,
    and sustain effective prevention.

6.  [Baseline data, common assessment tools, and outcomes shared across
    service systems can promote accountability and effectiveness of
    prevention efforts.]{.underline} A Strategic Prevention Framework
    can facilitate Federal agencies, States, Tribes, and communities to
    identify common needs and risk factors, adopt assessment tools to
    measure and track results, and target outcomes to be achieved. A
    data-driven strategic approach, adopted across service systems at
    the Federal, State, Tribal, community, and service delivery levels,
    maximizes the chances for future success and achieving positive
    outcomes.

**2.2 Strategic Prevention Framework Process**

Moving SAMHSA's Strategic Prevention Framework from vision to practice
is a strategic process that State/Tribal and community stakeholders must
undertake in partnership.  Through the SPF SIG, grantees will provide
the requisite leadership, technical support and monitoring to ensure
that identified communities are successful in implementing the five
steps of the framework listed below.  These steps are required, and all
States/Tribes and their targeted communities must implement all five
steps.  States/Tribes and communities are encouraged to build on
existing infrastructure/activity, where appropriate.  Grantees are
expected to use the SPF framework to guide all prevention activity
throughout the State/Tribe, and coordinate and/or leverage all
prevention resources whether funded though the SPF SIG grant or through
other sources.

1)  **[Profile population needs, resources, and readiness to address the
    problems and gaps in service delivery.]{.underline}**

> [State/Tribal Role]{.underline}: SPF SIG grantees must conduct a
> State/Tribal-wide needs assessment, through collection and analysis of
> epidemiological and community readiness data, that includes the
> following:

-   assessment of the magnitude of substance abuse and related mental
    health disorders in the State/Tribe,

-   assessment of risk and protective factors in the communities
    associated with substance abuse and related mental health disorders,

-   assessment of community assets and resources,

-   identification of gaps in services and capacity,

-   assessment of readiness to act,

-   identification of priorities based on the epidemiological analyses,
    including the identification of target communities to implement the
    Strategic Prevention Framework, and

-   specification of baseline data against which progress and outcomes
    of the Strategic Prevention Framework can be measured.

> **In order to complete the statewide assessment, SPF SIG grantees will
> be required to form and manage a State/Tribe Epidemiological and
> Outcomes Workgroup (or work with an existing Epidemiological
> Workgroup).** If the SPF SIG grantee is already engaged in needs
> assessment efforts, it should use the Epidemiological Workgroup to
> enhance and supplement the current process and its findings. SAMHSA
> expects that these data collection efforts will support ongoing
> monitoring and evaluation throughout the five-year project period, as
> described in Step 5, below.
>
> [Community Role]{.underline}: Sub-recipient communities must
> accurately assess their substance abuse-related problems using
> epidemiological data provided by the State/Tribe as well as other
> local data. The epidemiological data must identify the magnitude of
> the problem to be addressed, where the problem is greatest, and risk
> and protective factors associated with the problem. Communities must
> also assess community assets and resources, gaps in services and
> capacity and readiness to act.

2)  **[Mobilize and/or build capacity to address needs]{.underline}**.

> [State/Tribal Role]{.underline}: The SPF SIG grantees must engage
> stakeholders across the States/Tribes, as a complement to parallel
> engagement activities occurring within the target communities that are
> selected for implementation activities.
>
> [Community Role]{.underline}: Engagement of key stakeholders at the
> State/Tribal and community levels is critical to plan and implement
> successful prevention activities that will be sustained over time. Key
> tasks may include, but are not limited to, convening leaders and
> stakeholders; building coalitions; training community stakeholders,
> coalitions, and service providers; organizing agency networks;
> leveraging resources; and engaging stakeholders to help sustain the
> activities.

3)  **[Develop a comprehensive Strategic Plan]{.underline}.**

> [State/Tribal Role]{.underline}: Using data from the State/Tribal
> needs assessment, SPF SIG grantees must develop a strategic plan that:

-   identifies the priorities that will be targeted in the State/Tribal
    Strategic Prevention Framework,

-   articulates a vision for prevention activities to address critical
    needs,

-   includes key targets that the State/Tribe has identified and that
    communities will address with SPF SIG funds,

-   describes necessary infrastructure development and the process for
    selecting evidence based policies, programs and practices to be
    implemented within the broader service system, and projects
    timelines for implementation,

-   identifies/coordinates/allocates resources and sources of funding
    for the plan,

-   identifies appropriate funding mechanism(s) to allocate resources to
    targeted communities,

-   identifies any training required,

-   includes key policies and relationships among stakeholders,

-   involves public and private service systems in creating a seamless
    continuum of planning and services,

-   includes plans for sustaining the infrastructure and services that
    are implemented,

-   allows for system improvement and accountability of all parties
    involved, and

-   includes plans for making adjustments, based on ongoing needs
    assessment activities.

[Community Role]{.underline}: Sub-recipient communities must develop a
strategic plan that articulates not only a vision for the prevention
activities, but also strategies for organizing and implementing
prevention efforts. The strategic plan must be based on documented
needs, build on identified resources/strengths, set measurable
objectives and include the performance measures and baseline data
against which progress will be monitored. Plans must be adjusted as the
result of ongoing needs assessment and monitoring activities. The issue
of sustainability should be a constant throughout each step of planning
and implementation and should lead to the creation of a long-term
strategy to sustain policies, programs and practices.

> The strategic plans must be data-driven and focused on addressing the
> most critical needs in the State/Tribe. **The Strategic Plan must be
> approved by the SAMHSA/CSAP Government Project Officer before
> implementation activities can begin.**

4)  **[Implement evidence-based prevention policies, programs and
    policies and infrastructure development activities.]{.underline}**

> [State/Tribal Role]{.underline}: Once the Strategic Plan is approved
> by the SAMHSA/CSAP Government Project Officer, implementation may
> begin. SPF SIG grantees must provide the infrastructure and other
> necessary support to local stakeholders in selecting and implementing
> policies, programs, and practices proven to be effective in research
> settings and communities. Grantees must ensure that community
> implementers make culturally competent adaptations without sacrificing
> the core elements of the policies, programs and practices.
>
> [Community Role]{.underline}: Similarly, local stakeholders will use
> the findings of their needs assessments to guide selection and
> implementation of policies, programs and practices proven to be
> effective in research settings and communities. Community implementers
> must ensure that culturally competent adaptations are made without
> sacrificing the core elements of the policies, programs and practices.

5)  **[Monitor process, evaluate effectiveness, sustain effective
    programs/activities, and improve or replace those that
    fail.]{.underline}**

> [State/Tribal Role]{.underline}: SPF SIG grantees will be accountable
> for the results of the SPF SIG grant projects. SPF SIG grantees are,
> therefore, expected to play a critical role in providing on-going
> monitoring and evaluation of all SPF SIG activities, as well as
> training and technical assistance regarding evaluation and performance
> measurement to local communities. Through these efforts, SPF SIG
> grantees will assess program effectiveness, ensure service delivery
> quality, identify successes, encourage needed improvement, and promote
> sustainability of effective policies, programs, and practices. SPF SIG
> grantees will be expected to provide performance data to SAMHSA on a
> regular basis, as described in Section I-2.5, "Data and Performance
> Measurement," of this grant announcement. In addition, all SPF SIG
> grantees must be prepared to adjust their implementation plans based
> on the results of monitoring/evaluation activities.
>
> [Community Role]{.underline}: Ongoing monitoring and evaluation are
> essential to determine if the outcomes desired are achieved and to
> assess program effectiveness and service delivery quality.
> Sub-recipient communities must provide performance data to the SPF SIG
> grantees on a regular basis, so that the grantees can monitor,
> evaluate, sustain and improve the Strategic Prevention Framework
> activities in the State/Tribe.

Although the first three steps of the Strategic Prevention Framework
will continue at some level throughout the course of the project, SAMHSA
expects that the SPF SIG grantees will be ready to begin implementing
steps 4 and 5 by the end of the first year of the project.

**2.3 Inclusion of Underage Drinking**

Recent studies---including a major undertaking by the National Academy
of Science---indicate a severe and persistent problem with the use of
alcohol by children and youth under the age of 21. The Department of
Health and Human Services, through SAMHSA/CSAP, is committed to bringing
down the rates of underage drinking and is working toward a target of
\$40 million in FY 2006 funding for States/Tribes and communities to
address this problem through the overall SPF SIG Program. The SPF SIG
grant offers an excellent vehicle for supporting the goals of this
underage drinking initiative. Applicants must, therefore, include the
prevention of underage alcohol consumption as part of their SPF SIG
project and provide a comprehensive strategy that addresses this
problem, along with other SPF SIG priorities. (This will mean addressing
underage drinking and other substance abuse.) Underage drinking must be
included in all five steps of the Strategic Prevention Framework
implemented by each SPF SIG grantee.

**2.4 Strategic Prevention Framework Advisory Council**

In implementing the SPF SIG, States/Tribes are required to form a
Strategic Prevention Framework Advisory Council (SPF Advisory Council)
that includes a representative(s) from each of the following:

1\) The Office of the State Governor, the Chief Executive Officer or
highest ranking member of a federally recognized Tribe or Tribal
organization.

2\) A core group of drug and alcohol-related agencies identified by the
State/Tribe (including but not limited to public health, education,
criminal justice, behavioral/mental health);

3\) A Demand Reduction Coordinator from the Drug Enforcement
Administration who has responsibility for the State applicant (for State
applicants only);

4\) The State agency identified by State applicants as the lead agency
on underage drinking. (SAMHSA/CSAP encourages Governors to designate a
lead agency for preventing underage drinking if one does not currently
exist) (for State applicants only); and

5\) A representative from SAMHSA/CSAP.

Representatives from other State, Tribal, community and non-profit
organizations that work in substance abuse prevention and mental health
promotion/early intervention are also encouraged to be part of the SPF
Advisory Council.

The Chair of the SPF Advisory Council is to be appointed by the Governor
or by the Chief Executive Officer or highest ranking member of a
federally recognized Tribe or Tribal organization.

[]{.mark}

The SPF Advisory Council should provide ongoing advice and guidance to
the SPF SIG project and is encouraged to create workgroups to monitor
progress and accomplish each of the required steps of the Strategic
Prevention Framework.

Additionally, grantees are encouraged to include on their Advisory
Council representatives of Historically Black Colleges and Universities,
and/or Tribal Colleges and Universities, or Hispanic Serving
Institutions of Higher Education that may exist in the State/Tribal
Community.

**2.5      Data and Performance Measurement**

The Government Performance and Results Act of 1993 (P.L.103-62, or
"GPRA") requires all Federal agencies to set program performance targets
and report annually on the degree to which the previous year's targets
were met. 

Agencies are expected to evaluate their programs regularly and to use
results of these evaluations to explain their successes and failures and
justify requests for funding.

To meet the GPRA requirements, SAMHSA must collect performance data
(i.e., "GPRA data") from grantees.  Grantees are required to submit
these GPRA data to SAMHSA twice a year\-- in May and November.

For the SPF SIG program, SAMHSA will assess program performance through
process measures (drawn from administrative data) as well as through
outcome measures.

[Process Measures]{.underline}

SAMHSA will assess grantee performance in meeting the following process
milestones based on review of administrative data submitted in the
grantees' quarterly progress reports:

-   Percentage of States/Tribes with established State Epidemiological
    Outcomes Workgroups

-   Percentage of States/Tribes with established SPF SIG Advisory
    Councils

-   Percentage of States/Tribes that have performed needs assessments

-   Percentage of States/Tribes that have submitted strategic plans

-   Percentage of States/Tribes with approved strategic plans

Grantees are not required to complete specific data collection tools
related to these process measures.

[Outcome Measures]{.underline}

SAMHSA will assess outcomes for the SPF SIG program through the National
Outcome Measures (NOMs) for substance abuse prevention that SAMHSA has
developed in partnership with the States.

+----------------------------------+-----------------------------------+
| **PREVENTION NATIONAL OUTCOME    |                                   |
| MEASURES**                       |                                   |
+----------------------------------+-----------------------------------+
| ** **                            | **PREVENTION**                    |
+----------------------------------+-----------------------------------+
| **OUTCOME**                      | **Substance Abuse**               |
+----------------------------------+-----------------------------------+
| **Abstinence from Drug/ Alcohol  | [30 day                           |
| Abuse**                          | Use](../../../../../../../../     |
|                                  | C:%5CDocuments%20and%20Settings%5 |
|                                  | Ccholden%5CLocal%20Settings%5CTem |
|                                  | porary%20Internet%20Files%5COLK11 |
|                                  | B%5CNOMs%20Attachment%202%20-%20P |
|                                  | revention%20ONLY%20fINAL%2011-17- |
|                                  | 05.xls#RANGE!_ftn4%23RANGE!_ftn4) |
+----------------------------------+-----------------------------------+
|                                  | [Age of First                     |
|                                  | Use](../../../../../../../../     |
|                                  | C:%5CDocuments%20and%20Settings%5 |
|                                  | Ccholden%5CLocal%20Settings%5CTem |
|                                  | porary%20Internet%20Files%5COLK11 |
|                                  | B%5CNOMs%20Attachment%202%20-%20P |
|                                  | revention%20ONLY%20fINAL%2011-17- |
|                                  | 05.xls#RANGE!_ftn5%23RANGE!_ftn5) |
+----------------------------------+-----------------------------------+
|                                  | [Perception of                    |
|                                  | Disapproval/A                     |
|                                  | ttitude](../../../../../../../../ |
|                                  | C:%5CDocuments%20and%20Settings%5 |
|                                  | Ccholden%5CLocal%20Settings%5CTem |
|                                  | porary%20Internet%20Files%5COLK11 |
|                                  | B%5CNOMs%20Attachment%202%20-%20P |
|                                  | revention%20ONLY%20fINAL%2011-17- |
|                                  | 05.xls#RANGE!_ftn6%23RANGE!_ftn6) |
+----------------------------------+-----------------------------------+
|                                  | Perceived Risk/Harm of Use        |
+----------------------------------+-----------------------------------+
| **Decreased Mental Illness**     | NOT APPLICABLE                    |
+----------------------------------+-----------------------------------+
| **Symptomatology/Functioning**   |                                   |
+----------------------------------+-----------------------------------+
| **Increased/Retained Employment  | Perception of Workplace Policy/   |
| or Return to/Stay in School**    | Workplace AOD Use/ ATOD Related   |
|                                  | suspensions and                   |
|                                  | expulsions/Attendance and         |
|                                  | Enrollment.                       |
+----------------------------------+-----------------------------------+
| **Decreased Criminal Justice     | Alcohol-Related Car Crashes and   |
| Involvement**                    | Injuries/Alcohol and Drug Related |
|                                  | Crime                             |
+----------------------------------+-----------------------------------+
| **Increased Stability in         | NOT APPLICABLE                    |
| Housing**                        |                                   |
+----------------------------------+-----------------------------------+
| **Increased Access to Services   | Number of persons served by age,  |
| (Service Capacity)**             | gender, race and ethnicity        |
+----------------------------------+-----------------------------------+
| **Increased Retention in         | Total number of evidence-based    |
| treatment -- substance abuse**   | programs and                      |
|                                  | strategies/Percentage youth       |
|                                  | seeing, reading, watching, or     |
|                                  | listening to a prevention message |
+----------------------------------+-----------------------------------+
|                                  |                                   |
+----------------------------------+-----------------------------------+
| **Reduced utilization of         | NOT APPLICABLE                    |
| psychiatric inpatient beds --    |                                   |
| mental health**                  |                                   |
+----------------------------------+-----------------------------------+
| [**Increased Social              | Family Communication Around Drug  |
| Supports/Social                  | Use                               |
| Connectedness**](                |                                   |
| ../../../../../../../../C:%5CDoc |                                   |
| uments%20and%20Settings%5Ccholde |                                   |
| n%5CLocal%20Settings%5CTemporary |                                   |
| %20Internet%20Files%5COLK11B%5CN |                                   |
| OMs%20Attachment%202%20-%20Preve |                                   |
| ntion%20ONLY%20fINAL%2011-17-05. |                                   |
| xls#RANGE!_ftn17%23RANGE!_ftn17) |                                   |
| **^2/^**                         |                                   |
+----------------------------------+-----------------------------------+
| [**Client Perception of          | NOT APPLICABLE                    |
| Care**](                         |                                   |
| ../../../../../../../../C:%5CDoc |                                   |
| uments%20and%20Settings%5Ccholde |                                   |
| n%5CLocal%20Settings%5CTemporary |                                   |
| %20Internet%20Files%5COLK11B%5CN |                                   |
| OMs%20Attachment%202%20-%20Preve |                                   |
| ntion%20ONLY%20fINAL%2011-17-05. |                                   |
| xls#RANGE!_ftn18%23RANGE!_ftn18) |                                   |
| **^1/^**                         |                                   |
+----------------------------------+-----------------------------------+
| [**Cost Effectiveness (Average   | Services provided within cost     |
| Cost)**](                        | bands                             |
| ../../../../../../../../C:%5CDoc |                                   |
| uments%20and%20Settings%5Ccholde |                                   |
| n%5CLocal%20Settings%5CTemporary |                                   |
| %20Internet%20Files%5COLK11B%5CN |                                   |
| OMs%20Attachment%202%20-%20Preve |                                   |
| ntion%20ONLY%20fINAL%2011-17-05. |                                   |
| xls#RANGE!_ftn20%23RANGE!_ftn20) |                                   |
| **^1/^**                         |                                   |
+----------------------------------+-----------------------------------+
| **[Use of Evidence-Based         | Total number of evidence-based    |
| Practices](                      | programs and strategies           |
| ../../../../../../../../C:%5CDoc |                                   |
| uments%20and%20Settings%5Ccholde |                                   |
| n%5CLocal%20Settings%5CTemporary |                                   |
| %20Internet%20Files%5COLK11B%5CN |                                   |
| OMs%20Attachment%202%20-%20Preve |                                   |
| ntion%20ONLY%20fINAL%2011-17-05. |                                   |
| xls#RANGE!_ftn23%23RANGE!_ftn23) |                                   |
| ^1/^**                           |                                   |
+----------------------------------+-----------------------------------+

NOMs will be assessed at the State/tribal level for all SPF SIG
grantees, and at the community and program level as appropriate to each
grantee's SPF SIG project. Baseline data at the State/Tribal level must
be included in the application. Baseline data for the community/program
level must be included in the statewide needs assessment. Ongoing
reporting of outcomes will begin with the implementation phase of the
project.

State level NOMs will be assessed using data from the National Survey on
Drug Use and Health (NSDUH), unless the State has requested and received
approval from SAMHSA to use an alternate methodology. The NSDUH does not
include valid estimates for tribes. SAMHSA will work with Tribal
grantees to develop an appropriate methodology for assessing outcomes at
the tribal level. Tribal applicants should describe their proposed
approach to assessing the NOMs at the tribal level in their application.

The instrument for collecting and reporting the NOMs at the community
and program level has been approved by the Office of Management and
Budget, and is attached in Appendix E. Grantees will be required to use
this data collection instrument for collecting and reporting data at the
community and program level, as appropriate to their project. Applicants
must describe their current capacity for collecting and reporting the
NOMs at the community/program level as well as plans for ensuring that
the NOMs can be collected and reported at the community/program level by
the time the implementation phase of the proposed SPF SIG project
begins.

SAMHSA recognizes that the applicants will not select target populations
and communities, or determine the programs, practices and policies to be
implemented, until the State/Tribal needs assessment is complete.
However, applications should be able to discuss, generally, their
ability to collect and report data at the community/program level.

NOTE: The terms and conditions of the SPF SIG grant award will specify
the data to be submitted and the schedule for submission.  Grantees will
be required to adhere to these terms and conditions.

**2.6 Evaluation**

Grantees must evaluate their projects and are required to describe their
plans for project evaluation in their applications.  The evaluation
should be designed to provide regular feedback to the project to improve
services.  Grantees must be prepared to adjust their implementation
plans based on the results of their monitoring/evaluation activities.
The evaluation must include both process and outcome components. 
Process and outcome evaluations must measure change relating to project
goals and objectives over time compared to baseline information. 
Control or comparison groups are not required.  Applicants must consider
their evaluation plans when preparing the project budget. 

**Process components** should address issues such as:

-   How closely did implementation match the plan? 

-   What types of deviation from the plan occurred?

-   What led to the deviations? 

-   What impact did the deviations have on the intervention and
    evaluation?

-   Who provided (program, staff) what services (modality, type,
    intensity, duration), to whom (individual characteristics), in what
    context (system, community), and at what cost (facilities,
    personnel, dollars)?

####### 

**Outcome components** should address issues such as: 

-   What was the effect of infrastructure development on service
    capacity and other system outcomes? 

-   What program/contextual factors were associated with outcomes? 

-   What individual factors were associated with outcomes? 

-   How durable were the effects?

No more than 20 percent of the total grant award may be used for
evaluation and data collection. 

NOTE: A cross site evaluation will be conducted jointly by the
SAMHSA/CSAP and the National Institute on Drug Abuse (NIDA).

**2.7 Grantee Meetings**

Grantees must plan to send up to three people (including the Project
Director) to at least two grantee meetings in each year of the grant and
must include funding for this travel in the grant budget. At these
meetings, grantees will present the results of their projects and
Federal staff will provide technical assistance. Each meeting will be up
to 3 days. These meetings will usually be held in the Washington, D.C.,
area, and attendance is mandatory.

**2.8 Technical Assistance from SAMHSA**

Due to the unique nature of this grant program, SAMHSA recognizes that
SPF SIG applicants may wish to consider an array of programmatic and
administrative options. To respond, SAMHSA expects to make available
both pre-application and post-award technical assistance. SAMHSA/CSAP is
currently in the process of planning a Technical Assistance Workshop for
SPF SIG FY 2006 applicants. This Workshop is expected to take place in
mid-March, 2006, at a location yet to be determined in the Midwest.
Further details about the Workshop will be posted on SAMHSA's website
once the information becomes available. Examples of topics for which
technical assistance may be provided include, but are not limited to:

-   Implementing the Strategic Prevention Framework,

-   Conducting needs assessments,

-   Forming and working with Epidemiological and Outcomes Workgroups,
    including establishment of initial data bases to support collection
    and analysis of epidemiological data,

-   Identification and selection of culturally appropriate,
    evidence-based policies, programs and practices,

-   Fiscal/cost accounting mechanisms that can track program
    expenditures,

-   Management of information systems to track performance, collect and
    analyze data and report on outcomes, and

-   Development of quality improvement activities, including technical
    assistance and training to support implementation of evidence-based
    practices.

II. **AWARD INFORMATION**

**1. AWARD AMOUNT**

It is expected that approximately \$33 million will be available to fund
approximately 12-15 SPF SIG awards in Fiscal Year (FY) 2006.  Annual
awards are expected to be up to \$2.3 million per year in total costs
(direct and indirect), depending on the size of the geographic area and
population.  Applicants may request a project period of up to five
years. 

**Proposed budgets cannot exceed \$2.3 million in any year of the
proposed project.**  Annual continuation awards will depend on the
availability of funds, grantee progress in meeting project goals and
objectives, and timely submission of required data and reports.

Because the SPF SIG is intended to be implemented through a partnership
between the State/Tribe and community-level organizations, and because
much of the Strategic Prevention Framework involves activity that must
be implemented at the community level, applicants at the State/Tribal
level for the SPF SIG may retain up to 15 percent of the total grant
award for activities to be implemented at the State/Tribal level.  A
minimum of 85 percent of the total grant award must be allocated to
community-level organizations for activities to be implemented at the
community level. 

**2. FUNDING MECHANISM**

Awards will be made as Cooperative Agreements.

[Role of the SPF SIG Awardee]{.underline}

The SPF SIG awardee must comply with the terms of the SPF SIG
Cooperative Agreement, including implementation of all required SPF SIG
activities described in Section I-2, "Expectations," in this grant
announcement. The SPF SIG awardee must agree to provide SAMHSA with all
required performance data, collaborate with SAMHSA/CSAP staff in all
aspects of the SPF SIG Cooperative Agreement, and participate in the SIG
Cross Site Evaluation (including submission of all required forms, data
and reports).

[Role of Federal Staff]{.underline}

The Government Project Officer (GPO) will serve as an active member of
the Grantee's SPF Advisory Council. Through participation on the
Advisory Council, the GPO will provide guidance and technical assistance
to help awardees achieve SPF SIG goals. The GPO also will participate on
policy, steering, advisory or other workgroups; assure that SPF SIG
projects are responsive to SAMHSA's mission and implement the SAMHSA
Strategic Prevention Framework; monitor and review progress of SPF SIG
projects; monitor development and collection of process and outcome data
from SPF SIG grantees; ensure compliance with data/performance
measurement requirements; ensure the SPF SIG's collaboration with the
State/Tribal Epidemiological and Outcomes Workgroup; and review and
approve the Awardee's Strategic Plan and relevant sub-recipient funding
mechanisms.

III. **ELIGIBILITY INFORMATION**

**1. ELIGIBLE APPLICANTS**

This program is intended to help States/Tribes enhance the prevention
infrastructure and service delivery system throughout the State/Tribe.
Applicants for the SPF SIG must have the ability to leverage and
coordinate all prevention-related sources of funding and other resources
in order to achieve the goals of the Strategic Prevention Framework.
Therefore, eligibility for the SPF SIG is limited to the immediate
office of the Governor in those States and Territories that currently
receive the SAPT Block Grant (and did not receive an SPF SIG in FY 2004
or 2005) or to the Chief Executive Officer or highest ranking member of
a federally recognized Tribe or Tribal organization. Governors are
strongly encouraged to designate administration and oversight of the SPF
SIG to the agency in the State that manages the 20 percent prevention
set-aside of the SAPT Block Grant.

**2.** **COST SHARING**

Cost sharing is not required in this program, and applications will not
be screened out on the basis of cost sharing.

**3. OTHER**

**Applications must comply with the following requirements, or they will
be screened out and will not be reviewed:** use of the PHS 5161-1
application; application submission requirements in Section IV-3 of this
document; and formatting requirements provided in Section IV-2.3 of this
document.

[]{.mark}

IV. **APPLICATION AND SUBMISSION INFORMATION**

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

**1. ADDRESS TO REQUEST APPLICATION PACKAGE**

You may request a complete application kit from the National
Clearinghouse for Alcohol and Drug Information (NCADI) at
1-800-729-6686.

You also may download the required documents from the SAMHSA web site at
[[www.samhsa.gov/grants/index.aspx]{.underline}](../www.samhsa.gov/grants/index.aspx)

Additional materials available through links on this web site include:

-   a technical assistance manual for potential applicants;

-   standard terms and conditions for SAMHSA grants;

-   guidelines and policies that relate to SAMHSA grants (e.g.,
    guidelines on cultural competence, consumer and family
    participation, and evaluation); and

-   enhanced instructions for completing the PHS 5161-1 application.

    **2. CONTENT AND FORM OF APPLICATION SUBMISSION**

**2.1 Application Kit**

SAMHSA application kits include the following documents:

-   PHS 5161-1 (revised July 2000) -- Includes the face page, budget
    forms, assurances, certification, and checklist. You must use the
    PHS 5161-1. **Applications that are not submitted on the required
    application form will be screened out and will not be reviewed**.

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-   Request for Applications (RFA) -- Provides specific information
    about the availability of funds along with instructions for
    completing the grant application. This document is the RFA. The RFA
    will be available on the SAMHSA web site
    ([[www.samhsa.gov/grants/index.aspx]{.underline}](../www.samhsa.gov/grants/index.aspx))
    and a synopsis of the RFA is available on the Federal grants web
    site ([www.Grants.gov](http://www.Grants.gov/)).

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

**2.2 Required Application Components**

To ensure equitable treatment of all applications, applications must be
complete. In order for your application to be complete, it must include
the required ten application components (Face Page, Abstract, Table of
Contents, Budget Form, Project Narrative and Supporting Documentation,
Appendices, Assurances, Certifications, Disclosure of Lobbying
Activities, and Checklist).

-   **Face Page** -- Use Standard Form (SF) 424, which is part of the
    PHS 5161-1. \[Note: Applicants must provide a Dun and Bradstreet
    (DUNS) number to apply for a grant or cooperative agreement from the
    Federal Government. SAMHSA applicants are required to provide their
    DUNS number on the face page of the application. Obtaining a DUNS
    number is easy and there is no charge. To obtain a DUNS number,
    access the Dun and Bradstreet web site at
    [www.dunandbradstreet.com](http://www.dunandbradstreet.com/) or call
    1-866-705-5711. To expedite the process, let Dun and Bradstreet know
    that you are a public/private nonprofit organization getting ready
    to submit a Federal grant application.\]

-   **Abstract** -- Your total abstract should not be longer than 35
    lines. In the first five lines or less of your abstract, write a
    summary of your project that can be used, if your project is funded,
    in publications, reporting to Congress, or press releases.

-   **Table of Contents** -- Include page numbers for each of the major
    sections of your application and for each appendix.

-   **Budget Form** -- Use SF 424A, which is part of the 5161-1. Fill
    out Sections B, C, and E of the SF 424A. A sample budget and
    justification is included in Appendix D of this Program
    Announcement.

-   **Project Narrative and Supporting Documentation** -- The Project
    Narrative describes your project. It consists of Sections A
    through D. Sections A-D together may not be longer than 25 pages.
    (For example, remember that if your Project Narrative starts on page
    5 and ends on page 30, it is 26 pages long, not 25 pages.) More
    detailed instructions for completing each section of the Project
    Narrative are provided in Section V-"Application Review Information"
    of this document.

    The Supporting Documentation provides additional information
    necessary for the review of your application. This supporting
    documentation should be provided immediately following your Project
    Narrative in Sections E through H. There are no page limits for
    these sections, except for Section G, Biographical Sketches/Job
    Descriptions. Additional instructions for completing these sections
    are included in Section V under "Supporting Documentation."

-   **Appendices 1 through 3** -- Use only the appendices listed below.
    If your application includes any appendices not required in this
    document, they will be disregarded. **Do not use more than a total
    of 30 pages for Appendices 1 and 3 combined.** There are no page
    limitations for Appendix 2. Do not use appendices to extend or
    replace any of the sections of the Project Narrative. Reviewers will
    not consider them if you do.

    -   *Appendix 1*: Letters of Support

    -   *Appendix 2*: Data Collection Instruments/Interview Protocols

    -   *Appendix 3*: Sample Consent Forms

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-   **Assurances** -- Non-Construction Programs. Use Standard Form 424B
    found in PHS 5161-1. You are also required to complete the Assurance
    of Compliance with SAMHSA Charitable Choice Statutes and Regulations
    Form SMA 170. This form will be posted on SAMHSA's web site with the
    RFA and provided in the application kits available at SAMHSA's
    clearinghouse (NCADI).

-   **Certifications** - Use the "Certifications" forms found in PHS
    5161-1.

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-   **Disclosure of Lobbying Activities** -- Use Standard Form LLL found
    in the PHS 5161-1. Federal law prohibits the use of appropriated
    funds for publicity or propaganda purposes, or for the preparation,
    distribution, or use of the information designed to support or
    defeat legislation pending before the Congress or State
    legislatures. This includes "grass roots" lobbying, which consists
    of appeals to members of the public suggesting that they contact
    their elected representatives to indicate their support for or
    opposition to pending legislation or to urge those representatives
    to vote in a particular way.

-   **Checklist** -- Use the Checklist found in PHS 5161-1. The
    Checklist ensures that you have obtained the proper signatures,
    assurances and certifications and is the last page of your
    application.

**2.3 Application Formatting Requirements**

Applicants also must comply with the following basic application
requirements. Applications that do not comply with these requirements
will be screened out and will not be reviewed.

-   Information provided must be sufficient for review.

-   Text must be legible. For Project Narratives submitted
    electronically in Microsoft Word, see separate requirements below
    under "Guidance for Electronic Submission of Applications."

• Type size in the Project Narrative cannot exceed an average of 15
characters per

inch, as measured on the physical page. (Type size in charts, tables,
graphs, and

footnotes will not be considered in determining compliance.)

• Text in the Project Narrative cannot exceed 6 lines per vertical inch.

-   Paper must be white paper and 8.5 inches by 11.0 inches in size.

-   To ensure equity among applications, the amount of space allowed for
    the Project Narrative cannot be exceeded. For Project Narratives
    submitted electronically in Microsoft Word, see separate
    requirements below under "Guidance for Electronic Submission of
    Applications."

• Applications would meet this requirement by using all margins (left,
right, top, bottom) of at least one inch each, and adhering to the
25-page limit for the Project Narrative.

• Should an application not conform to these margin or page limits,
SAMHSA will use the following method to determine compliance: The total
area of the Project Narrative (excluding margins, but including charts,
tables, graphs and footnotes) cannot exceed 58.5 square inches
multiplied by 25. This number represents the full page less margins,
multiplied by the total number of allowed pages.

• Space will be measured on the physical page. Space left blank within
the Project Narrative (excluding margins) is considered part of the
Project Narrative, in determining compliance.

To facilitate review of your application, follow these additional
guidelines. Failure to adhere to the following guidelines will not, in
itself, result in your application being screened out and returned
without review. However, following these guidelines will help reviewers
to consider your application.

-   Pages should be typed single-spaced in black ink, with one column
    per page. Pages should not have printing on both sides.

-   Please number pages consecutively from beginning to end so that
    information can be located easily during review of the application.
    The cover page should be page 1, the abstract page should be page 2,
    and the table of contents page should be page 3. Appendices should
    be labeled and separated from the Project Narrative and budget
    section, and the pages should be numbered to continue the sequence.

-   The page limit of a total of 30 pages for Appendices 1 and 3
    combined should not be exceeded.

-   Send the original application and two copies to the mailing address
    in Section IV-6.1 of this document. Please do not use staples, paper
    clips, and fasteners. Nothing should be attached, stapled, folded,
    or pasted. Do not use heavy or lightweight paper or any material
    that cannot be copied using automatic copying machines. Odd-sized
    and oversized attachments such as posters will not be copied or sent
    to reviewers. Do not include videotapes, audiotapes, or CD-ROMs.

**[Guidance for Electronic Submission of Applications]{.underline}**

SAMHSA offers the opportunity for you to submit your application to us
either in electronic or paper format.  Register one time, and Grants.gov
will generate your information for future applications so you don't have
to re-enter it.  Built-in error-checking increases the completeness and
accuracy of your application.  Electronic submission is voluntary.  No
review points will be added or deducted, regardless of whether you use
the electronic or paper format.

To submit an application electronically, you must use the
[[www.Grants.gov]{.underline}](http://www.grants.gov/) apply site.  You
will be able to download a copy of the application package from
[[www.Grants.gov]{.underline}](http://www.grants.gov/), complete it
off-line, and then upload and submit the application via the Grants.gov
site.  E-mail submissions will not be accepted.

You may search the Grants.gov site for the downloadable application
package, by the funding announcement number (called the opportunity
number) or by the Catalogue of Federal Domestic Assistance (CFDA)
number.  You can find the CFDA number on the first page of the funding
announcement.

You must follow the instructions in the User Guide available at the
[[www.Grants.gov]{.underline}](http://www.grants.gov/) apply site, on
the Customer Support tab.  In addition to the User Guide, you may wish
to use the following sources for help:

-   By e-mail: 
    [[support@Grants.gov]{.underline}](mailto:support@Grants.gov)

-   By phone:  1-800-518-4726 (1-800-518-GRANTS).  The Customer Support
    Center is open from 7:00 a.m. to 9:00 p.m. Eastern Time, Monday
    through Friday.

**If this is the first time you have submitted an application through
Grants.gov, you must complete four separate registration processes
before you can submit your application.  Allow at least two weeks (10
business days) for these registration processes, prior to submitting
your application.**  The processes are:  DUNS Number registration,
Central Contractor Registry (CCR) registration, Credential Provider
registration, and Grants.gov registration.

**It is strongly recommended that you submit your grant application
using Microsoft Office products (e.g., Microsoft Word, Microsoft Excel,
etc.).**  If you do not have access to Microsoft Office products, you
may submit a PDF file.  Directions for creating PDF files can be found
on the Grants.gov Web site.  Use of file formats other than Microsoft
Office or PDF may result in your file being unreadable by our staff. 

The Project Narrative must be a separate document in the electronic
submission.  Formatting requirements for SAMHSA grant applications are
described above, and in Appendix A of this announcement.  These
requirements also apply to applications submitted electronically, with
the following exceptions only for Project Narratives submitted
electronically in Microsoft Word.  These requirements help to ensure the
accurate transmission and equitable treatment of applications.

-   *Text legibility: * Use a font of Times New Roman 12, line spacing
    of single space, and all margins (left, right, top, bottom) of one
    inch each.  Adhering to these standards will help to ensure the
    accurate transmission of your document.  If the type size in the
    Project Narrative of an electronic submission exceeds 15 characters
    per inch, or the text exceeds 6 lines per vertical inch, SAMHSA will
    reformat the document to Times New Roman 12, with line spacing of
    single space.  Please note that this may alter the formatting of
    your document, especially for charts, tables, graphs, and footnotes.

-   *Amount of space allowed for Project Narrative: * The Project
    Narrative for an electronic submission may not exceed 12,875 words. 
    If the Project Narrative for an electronic submission exceeds the
    word limit and exceeds the allowed space as defined in Appendix A,
    then **any part of the Project Narrative in excess of these limits
    will not be submitted to review**.  To determine the number of words
    in your Project Narrative document in Microsoft Word, select
    file/properties/statistics.

While keeping the Project Narrative as a separate document, please
consolidate all other materials in your application to ensure the fewest
possible number of attachments.  Ensure all pages in your application
are numbered consecutively, with the exception of the standard forms in
the PHS-5161 application package.  Please name and number your
attachments, indicating the order in which they should be assembled. 
Failure to comply with these requirements may affect the successful
transmission and consideration of your application. 

Applicants are strongly encouraged to submit their applications to
Grants.gov early enough to resolve any unanticipated difficulties prior
to the deadline.  You may also submit a back-up paper submission of your
application.  Any such paper submission must be received in accordance
with the requirements for timely submission detailed in Section IV-3 of
this announcement.  The paper submission must be clearly marked: 
**"Back-up for electronic submission."**  The paper submission must
conform with all requirements for non-electronic submissions.  If both
electronic and back-up paper submissions are received by the deadline,
the electronic version will be considered the official submission.

After you electronically submit your application, you will receive an
automatic acknowledgement from Grants.gov that contains a Grants.gov
tracking number.  It is important that you retain this number. 
**Include the Grants.gov tracking number in the top right corner of the
face page for any paper submission.**

The Grants.gov Web site does not accept electronic signatures at this
time.  Therefore, you must submit a signed paper original of the face
page (SF 424), the assurances (SF 424B), and the certifications, and
hard copy of any other required documentation that cannot be submitted
electronically.  **You must include the Grants.gov tracking number for
your application on these documents with original signatures, on the top
right corner of the face page, and send the documents to the following
address.  The documents must be received at the following address within
5 business days after your electronic submission.**  Delays in receipt
of these documents may impact the score your application receives or the
ability of your application to be funded.

**For United States Postal Service:**

Crystal Saunders, Director of Grant Review

Office of Program Services

Substance Abuse and Mental Health Services Administration

Room 3-1044

1 Choke Cherry Road

Rockville, MD  **20857**

ATTN:  Electronic Applications

**For other delivery service (DHL, Federal Express, United Parcel
Service):**

Crystal Saunders, Director of Grant Review

Office of Program Services

Substance Abuse and Mental Health Services Administration

Room 3-1044

1 Choke Cherry Road

Rockville, MD  **20850**

ATTN:  Electronic Applications

If you require a phone number for delivery, you may use (240) 276-1199.

**3. SUBMISSION DATES AND TIMES**

Applications are due by close of business on May 1, 2006. **Hand carried
applications will not be accepted. Applications may be shipped using
only DHL, Federal Express (FedEx), United Parcel Service (UPS), or the
United States Postal Service (USPS).**

Your application must be received by the application deadline, or you
must have proof of its timely submission as specified below.

-   **For packages submitted via DHL, Federal Express (FedEx), or United
    Parcel Service (UPS), proof of timely submission shall be the date
    on the tracking label affixed to the package by the carrier upon
    receipt by the carrier. That date must be at least 24 hours prior to
    the application deadline. The date affixed to the package by the
    applicant will not be sufficient evidence of timely submission.**

-   For packages submitted via the United States Postal Service (USPS),
    proof of timely submission shall be a postmark not later than 1 week
    prior to the application deadline, and the following upon request by
    SAMHSA:

    -   proof of mailing using USPS Form 3817 (Certificate of Mailing),
        or

    -   a receipt from the Post Office containing the post office name,
        location, and date and time of mailing.

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

**Applications not meeting the timely submission requirements above will
not be considered for review.** Please remember that mail sent to
Federal facilities undergoes a security screening prior to delivery.
Allow sufficient time for your package to be delivered.

If an application is mailed to a location or office (including room
number) that is not designated for receipt of the application, and that
results in the designated office not receiving your application in
accordance with the requirements for timely submission, it will cause
the application to be considered late and ineligible for review.

SAMHSA will not accept or consider any applications sent by facsimile.

SAMHSA is collaborating with [www.Grants.gov](http://www.Grants.gov/) to
accept electronic submission of applications. Please refer to Section
IV-2.3 above for "Guidance for Electronic Submission of Applications."

**4. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS**

Executive Order 12372, as implemented through Department of Health and
Human Services (DHHS) regulation at 45 CFR Part 100, sets up a system
for State and local review of applications for Federal financial
assistance. A current listing of State Single Points of Contact (SPOCs)
is included in the application kit and can be downloaded from the Office
of Management and Budget (OMB) web site at
[www.whitehouse.gov/omb/grants/spoc.html](http://www.whitehouse.gov/omb/grants/spoc.html).

-   Check the list to determine whether your State participates in this
    program.

**Note:** **You do not need to do this if you are a federally recognized
Indian Tribal government.**

-   If your State participates, contact your SPOC as early as possible
    to alert him/her to the prospective application(s) and to receive
    any necessary instructions on the State's review process.

-   For proposed projects serving more than one State, you are advised
    to contact the SPOC of each affiliated State.

-   The SPOC should send any State review process recommendations to the
    following address within 60 days of the application deadline:

> **For United States Postal Service:**
>
> Crystal Saunders, Director of Grant Review
>
> Office of Program Services
>
> Substance Abuse and Mental Health Services Administration
>
> Room 3-1044
>
> 1 Choke Cherry Road
>
> Rockville, MD **20857**

ATTN: SPOC -- Funding Announcement No. SP-06-002

> **For other delivery service:**
>
> Crystal Saunders, Director of Grant Review
>
> Office of Program Services
>
> Substance Abuse and Mental Health Services Administration
>
> Room 3-1044
>
> 1 Choke Cherry Road
>
> Rockville, MD **20850**
>
> ATTN: SPOC -- Funding Announcement No. SP-06-002

**5. FUNDING LIMITATIONS/RESTRICTIONS**

Cost principles describing allowable and unallowable expenditures for
Federal grantees, including SAMHSA grantees, are provided in the
following documents, which are available at
<http://www.hhs.gov/grantsnet/roadmap/index.html>:

-   Institutions of Higher Education: OMB Circular A-21

-   State and Local Governments and Federally Recognized Indian Tribal
    Governments: OMB Circular A-87

-   Nonprofit Organizations: OMB Circular A-122

-   Hospitals: 45 CFR Part 74, Appendix E

In addition, SAMHSA's SPF SIG Program grant recipients must comply with
the following funding restrictions:

-   SPF SIG grant funds must be used for purposes supported by the
    program.

-   A minimum of 85 percent of grant funds must be allocated to
    communities.

-   No more than 20 percent of the grant award may be used for
    evaluation and data collection expenses.

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-   SPF SIG grant funds may not be used to pay for the purchase or
    construction of any building or structure to house any part of the
    grant project. (Applicants may request up to \$75,000 for
    renovations and alterations of existing facilities, if necessary and
    appropriate to the project.)

SAMHSA will not accept a "research" indirect cost rate. The grantee must
use the "other sponsored program rate" or the lowest rate available.

**6. OTHER SUBMISSION REQUIREMENTS**

Applicants for the SPF SIG should pay close attention to several other
submission requirements listed below.

**6.1 Where to Send Applications**

Guidance for Electronic Submission of Applications is contained in
Section IV-2.3 of this announcement. Following are instructions for
submission of paper applications.

Send applications to the following address:

> **For United States Postal Service:**
>
> Crystal Saunders, Director of Grant Review
>
> Office of Program Services
>
> Substance Abuse and Mental Health Services Administration
>
> Room 3-1044
>
> 1 Choke Cherry Road
>
> Rockville, MD **20857**
>
> **For other delivery service:**
>
> Crystal Saunders, Director of Grant Review
>
> Office of Program Services
>
> Substance Abuse and Mental Health Services Administration
>
> Room 3-1044
>
> 1 Choke Cherry Road
>
> Rockville, MD **20850**

Do not send applications to other agency contacts, as this could delay
receipt. Be sure to include the notation, "SPF SIG/SP-06-002" in item
number 10 on the face page of any paper applications. If you require a
phone number for delivery, you may use (240) 276-1199.

**6.2 How to Send Applications**

SAMHSA is collaborating with [www.Grants.gov](http://www.Grants.gov/) to
accept electronic submission of applications. Please refer to Section
IV-2.3 of this announcement for "Guidance for Electronic Submission of
Applications." Following are instructions for submission of paper
applications.

Mail or deliver an original application and 2 copies (including
appendices) to the mailing address provided above, according to the
instructions in Section IV-3. The original and copies must not be bound.
Do not use staples, paper clips, or fasteners. Nothing should be
attached, stapled, folded, or pasted.

**Hand carried applications will not be accepted. Applications may be
shipped using only DHL, Federal Express (FedEx), United Parcel Service
(UPS), or the United States Postal Service (USPS).**

**SAMHSA will not accept or consider any applications sent by
facsimile.**

**V.** **APPLICATION REVIEW INFORMATION**

**1. EVALUATION CRITERIA**

Your application will be reviewed and scored according to the
[quality]{.underline} of your response to the requirements listed below
for developing the Project Narrative (Sections A-D). These sections
describe what you intend to do with your project.

-   In developing the Project Narrative section of your application, use
    these instructions, which have been tailored to this program.
    **These are to be used instead of the "Program Narrative"
    instructions found in the PHS 5161-1**.

-   The Project Narrative (Sections A-D) together may be no longer than
    25 pages.

-   You must use the four sections/headings listed below in developing
    your Project Narrative. Be sure to place the required information in
    the correct section, **or it will not be considered**. Your
    application will be scored according to how well you address the
    requirements for each section of the Project Narrative.

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-   Reviewers will be looking for evidence of cultural competence in
    each section of the Project Narrative. Points will be assigned based
    on how well you address the cultural competence aspects of the
    evaluation criteria. SAMHSA's guidelines for cultural competence can
    be found on the SAMHSA web site at
    [www.samhsa.gov](http://www.samhsa.gov/).

> Click on "Grants/SAMHSA's Supporting Grant Information/Useful
> Information for Applicants/Guidelines and Resources for Grant
> Applicants."

-   The Supporting Documentation you provide in Sections E-H and
    Appendices 1-3 will be considered by reviewers in assessing your
    response, along with the material in the Project Narrative.

-   The number of points after each heading below is the maximum number
    of points a review committee may assign to that section of your
    Project Narrative. Bullet statements in each section do not have
    points assigned to them. They are provided to invite the attention
    of applicants and reviewers to important areas within each section.

[]{.mark}

**Section A: Statement of Need (10 points)**

-   Document the need to implement the Strategic Prevention Framework in
    the State/Tribe. Include information about the prevalence of
    substance abuse and related risk and protective factors within the
    State/Tribe. Documentation of need may come from local data or trend
    analyses, State/Tribal data (e.g., from State/Tribal Needs
    Assessments), and/or national data (e.g., from SAMHSA's National
    Survey on Drug Use and Health or from National Center for Health
    Statistics/Centers for Disease Control reports). For data sources
    that are not well known, provide sufficient information on how the
    data were collected so reviewers can assess the reliability and
    validity of the data.

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-   Describe the need for an enhanced infrastructure to increase the
    capacity to implement, sustain, and improve effective substance
    abuse prevention services in the State/Tribe. Describe what is
    currently known about service gaps, barriers, and other problems
    related to the need to implement the Strategic Prevention Framework.

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-   Describe how the Strategic Prevention Framework State Incentive
    Grant will help the State/Tribe and communities to address substance
    abuse problems in the State/Tribe. Include how the SPF will improve
    the State's/Tribe's process for collecting, analyzing and utilizing
    data to plan, implement and evaluate substance abuse prevention
    efforts.

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-   Describe key stakeholders and resources within the State/Tribe that
    can help implement the Strategic Prevention Framework.

**Section B: Proposed Approach (40 points)**

-   Clearly state the purpose of the proposed project, including
    specific goals and objectives for your State/Tribe. Describe how
    implementation of the Strategic Prevention Framework will lead to
    achievement of those goals and objectives, and how this will
    increase system capacity to support effective substance abuse
    prevention.

-   Describe the approach that will be used to implement the Strategic
    Prevention Framework. In this description, you should do the
    following:

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-   Document that the project will build upon the six principles of the
    Strategic Prevention Framework;

-   Describe how you will implement the five required steps of the
    Strategic Prevention Framework at the State/Tribal level;

-   Describe how you will implement a complementary/parallel 5-step
    process within the target communities that are selected for
    implementation activities;

-   Describe roles that you expect States and communities to play in
    each of the five steps;

-   Describe how you will coordinate and/or leverage all prevention
    resources, whether funded through the SPF SIG grant or through other
    sources within the State/Tribe; and

-   Describe how childhood and underage drinking will be included as an
    emphasis in each of the target communities selected for funding.

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-   Describe your plans to develop or expand Epidemiological and
    Outcomes Workgroups, and describe the State's/Tribe's plan to
    utilize the information generated by these workgroups to drive
    funding decisions.

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-   Describe your plans for forming and mobilizing a new SPF Advisory
    Council or enhancing an existing advisory body to meet the
    requirements for the SPF Advisory Council described in Section
    I-2.4, "SPF Advisory Council." Include a description of the SPF
    Advisory Council's membership, roles and functions, and frequency of
    meetings. Describe how you will ensure that the Office of the
    Governor or the Chief Executive Officer or highest ranking member of
    the Tribal entity will be directly involved in the ongoing
    activities of the Council and in the oversight of the grant.

-   Describe your plans to implement culturally appropriate policies,
    programs and practices.

-   Describe how you will encourage communities to use evidence-based
    programs, practices and policies.

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-   Describe any community partners and any other organizations that may
    participate in the project, and their roles and responsibilities.
    Define what constitutes a community in your State/Tribe. **Include
    letters of commitment/coordination/support from these community
    organizations in Appendix 1 of the application**.

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-   Describe how members of the target population will be involved in
    the planning, implementation, and evaluation of the proposed
    project.

-   Describe the potential barriers to successful conduct of the
    proposed project and how you will overcome them.

-   Provide a plan to secure resources to sustain the proposed
    infrastructure enhancements when federal funding ends.

**Section C: Staff and Management Capacity, and Relevant Experience (25
points)**

-   Provide a realistic time line for the project management (chart or
    graph) showing key activities, milestones, and responsible staff.
    \[Note: The time line should be part of the Project Narrative. It
    should not be placed in an appendix.\]

-   Discuss the capability and experience of the applicant organization
    and other partnering organizations with similar projects, including
    experience in implementing culturally appropriate/competent
    prevention interventions.

-   Provide a list of staff or position descriptions that will
    participate in the project, showing the role of each and their level
    of effort and qualifications. Include the Project Director,
    Epidemiological and Outcomes Workgroup Lead, Project Evaluator, and
    other key personnel.

-   Describe the resources available for the proposed project (e.g.,
    facilities, equipment). Provide evidence that any direct services
    will be provided in a location that is adequate, accessible,
    compliant with the Americans with Disabilities Act (ADA), and
    amenable to the target population.

**Section D: Evaluation and Data (25 points)**

-   Describe the process and outcome evaluation, addressing the
    evaluation issues included in Section I-2.6, Evaluation, of this
    grant announcement. Include specific performance measures and target
    outcomes related to the goals and objectives identified for the SPF
    SIG project in Section B of the Project Narrative. Discuss how they
    will be used to track progress in achieving these goals and
    objectives over the course of the SPF SIG project.

-   Document your current ability to collect and report on the required
    performance measures as specified in Section I-2.5, Data and
    Performance Measurement, and in Appendix E of this grant
    announcement. If you are not fully capable at the community and/or
    program level(s), indicate how you plan to further develop this
    capability. Specify and justify any additional measures you plan to
    use for your grant project.

-   Describe plans for data collection, management, analysis,
    interpretation and reporting.

    -   Describe the existing data collection system, its ability to
        capture required performance measures, and any necessary
        modifications.

    -   Describe planned approaches to surveying program participants or
        gathering archival data on an ongoing basis to map the program
        results to needs assessment and other data.

    -   Document your ability to access target populations for the
        purposes of gathering data.

    -   Include project-specific data collection instruments/interview
        protocols (i.e., those not required by CSAP) in Appendix 2.

-   Discuss the reliability and validity of evaluation methods and
    instruments in terms of the gender/age/culture of the target
    population.

-   Describe your plan for tracking the data generated by your project
    over time, and utilizing these data in your ongoing project planning
    and development.

-   Describe your approach to ensuring that adequate evaluation and data
    collection capacity at the community level of your SPF SIG project
    will be in place.

State your commitment to participate in and meet the requirements of the
SPF SIG Cross-Site Evaluation, which will be conducted by CSAP/NIDA.

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.

**SUPPORTING DOCUMENTATION**

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

**Section F:** Budget Justification, Existing Resources, Other Support.
You must provide a narrative justification of the items included in your
proposed budget, as well as a description of existing resources and
other support you expect to receive for the proposed project. Be sure to
show that no more than 20 percent of the total grant award will be used
for data collection and evaluation, including GPRA. Grant funds utilized
for evaluation and data activities must not exceed 20 percent of the
total grant award (this includes both State and community portions of
the grant funds.) In addition, no more than 15 percent of the total
grant funds are to be used to support leadership and coordination
activities, including the Epidemiological and Outcomes Workgroups. An
illustration of a budget and narrative justification is included in
Appendix D of this document.

**Section G:** Biographical Sketches and Job Descriptions.

-   Include a biographical sketch for the Project Director and other key
    positions. Each sketch should be 2 pages or less. If the person has
    not been hired, include a position description and/or letter of
    commitment with a current biographical sketch from the individual.

-   Include job descriptions for key personnel. Job descriptions should
    be no longer than 1 page each.

-   Information on what should be included in biographical sketches and
    job descriptions can be found on page 22, Item 6, in the Program
    Narrative section of the PHS 5161-1 instruction page, available at
    [www.hhs.gov/forms/PHS-5161-1.doc](http://www.hhs.gov/forms/PHS-5161-1.doc).

    **Section H:** Confidentiality and Participant Protection
    Requirements: Applicants must describe procedures relating to
    Confidentiality, Participant Protection and the Protection of Human
    Subjects Regulations in Section H of the application, using the
    guidelines provided below. Number range CHAPTER

    **[Confidentiality and Participant Protection:]{.underline}**

Because of the confidential nature of the work in which many SAMHSA
grantees are involved, it is important to have safeguards protecting
individuals from risks associated with their participation in SAMHSA
projects. All applicants must address the seven bullets below. If some
are not applicable or relevant to the proposed project, simply state
that they are not applicable and indicate why. In addition to addressing
these seven bullets, read the section that follows entitled Protection
of Human Subjects Regulations to determine if the regulations may apply
to your project. If so, you are required to describe the process you
will follow for obtaining IRB approval. While we encourage you to keep
your responses brief, there are no page limits for this section and no
points will be assigned by the Review Committee. Problems with
confidentiality, participant protection, and protection of human
subjects identified during peer review of the application may result in
the delay of funding.

1.  [Protect Clients and Staff from Potential Risks]{.underline}

-   Identify and describe any foreseeable physical, medical,
    psychological, social, and legal risks or potential adverse effects
    as a result of the project itself or any data collection activity.

-   Describe the procedures you will follow to minimize or protect
    participants against potential risks, **including risks to
    confidentiality**.

-   Identify plans to provide guidance and assistance in the event there
    are adverse effects to participants.

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

2.  [Fair Selection of Participants]{.underline}

    a.  Describe the target population(s) for the proposed project.
        Include age, gender, and racial/ethnic background and note if
        the population includes homeless youth, foster children,
        children of substance abusers, pregnant women, or other targeted
        groups.

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

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

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

3.  [Absence of Coercion]{.underline}

-   Explain if participation in the project is voluntary or required.
    Identify possible reasons why participation is required, for
    example, court orders requiring people to participate in a program.

-   If you plan to compensate participants, state how participants will
    be awarded incentives (e.g., money, gifts, etc.).

-   State how volunteer participants will be told that they may receive
    services intervention even if they do not participate in or complete
    the data collection component of the project.

4.  [Data Collection]{.underline}

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

-   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.

5.  [Privacy and Confidentiality]{.underline}

-   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.**

    6\. [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.
    Identify the data that will be collected, how the data will be used
    and how you will keep the data private.

-   State/Tribe:

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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** obtain
    [written]{.underline} informed consent.

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

-   Include, as appropriate, sample consent forms that provide for: (1)
    informed consent for participation in service intervention; (2)
    informed consent for participation in the data collection component
    of the project; and (3) informed consent for the exchange (releasing
    or requesting) of confidential information. The sample forms must be
    included in **Appendix 3, "Sample Consent Forms"**, of your
    application. If needed, give English translations.

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

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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?

7.  [Risk/Benefit Discussion]{.underline}

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

    **[Protection of Human Subjects Regulations]{.underline}**

Applicants may also have to comply with the Protection of Human Subjects
Regulations (45 CFR 46), depending on the evaluation and data collection
procedures proposed and the population to be served.

Applicants must be aware that even if the Protection of Human Subjects
Regulations do not apply to all projects funded, the specific evaluation
design proposed by the applicant may require compliance with these
regulations.

Applicants whose projects must comply with the Protection of Human
Subjects Regulations must describe the process for obtaining
Institutional Review Board (IRB) approval fully in their applications.
While IRB approval is not required at the time of grant award, these
applicants will be required, as a condition of award, to provide the
documentation that an Assurance of Compliance is on file with the Office
for Human Research Protections (OHRP) and that IRB approval has been
received prior to enrolling any clients in the proposed project.

General information about Protection of Human Subjects Regulations can
be obtained on the web at <http://www.hhs.gov/ohrp>. You may also
contact OHRP by e-mail (<ohrp@osophs.dhhs.gov>[)]{.underline} or by
phone (240-453-6900). SAMHSA-specific questions related to Protection of
Human Subjects Regulations should be directed to the program contact
listed in Section VII of this RFA.

**2. REVIEW AND SELECTION PROCESS**

SAMHSA applications are peer-reviewed according to the review criteria
listed above. For those programs where the individual award is over
\$100,000, applications must also be reviewed by the appropriate
National Advisory Council.

Decisions to fund a grant are based on:

-   the strengths and weaknesses of the application as identified by
    peer reviewers and, when applicable, approved by the Center for
    Substance Abuse Prevention's National Advisory Council;

-   availability of funds; and

-   equitable distribution of awards in terms of geography (including
    urban, rural and remote settings) and balance among target
    populations and program size.

**VI. AWARD ADMINISTRATION INFORMATION**

**1. AWARD NOTICES**

After your application has been reviewed, you will receive a letter from
SAMHSA through postal mail that describes the general results of the
review, including the score that your application received.

If you are approved for funding, you will receive an **additional**
notice, the Notice of Grant Award, signed by SAMHSA's Grants Management
Officer. The Notice of Grant Award is the sole obligating document that
allows the grantee to receive Federal funding for work on the grant
project. It is sent by postal mail and is addressed to the contact
person listed on the face page of the application.

If you are not funded, you can re-apply if there is another receipt date
for the program.

**2.** **ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS**

-   Successful applicants must comply with all terms and conditions of
    the grant award. SAMHSA's standard terms and conditions are
    available on the SAMHSA web site at
    [www.samhsa.gov/grants/generalinfo/grants_management.aspx](http://www.samhsa.gov/grants/generalinfo/grants_management.aspx).

-   Successful applicants must also comply with the administrative
    requirements outlined in 45 CFR Part 74 or 45 CFR Part 92, as
    appropriate. For more information see the SAMHSA web site
    (<http://www.samhsa.gov/Grants/generalinfo/grant_reqs.aspx> ).

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-   Depending on the nature of the specific funding opportunity and/or
    the proposed project as identified during review, additional terms
    and conditions may be negotiated with the grantee prior to grant
    award. These may include, for example:

    -   actions required to be in compliance with confidentiality and
        participant protection/human subjects requirements;

    -   requirements relating to additional data collection and
        reporting;

    -   requirements relating to participation in a cross-site
        evaluation; or

    -   requirements to address problems identified in review of the
        application.

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-   Successful applicants will be held accountable for the information
    provided in the application relating to performance targets. SAMHSA
    program officials will consider your progress in meeting goals and
    objectives, as well as your failures and strategies for overcoming
    them, when making an annual recommendation to continue the grant and
    the amount of any continuation award. Failure to meet stated goals
    and objectives may result in suspension or termination of the grant
    award, or in reduction or withholding of continuation awards.

-   Grant funds cannot be used to supplant current funding of existing
    activities. "Supplant" is defined as replacing funding of a
    recipient's existing program with funds from a Federal grant.

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-   In an effort to improve access to funding opportunities for
    applicants, SAMHSA is participating in the U.S. Department of Health
    and Human Services "Survey on Ensuring Equal Opportunity for
    Applicants." This survey is included in the application kit for
    SAMHSA grants and is posted on the SAMHSA web site. Applicants are
    encouraged to complete the survey and return it, using the
    instructions provided on the survey form.

**3. REPORTING REQUIREMENTS**

**3.1 Progress and Financial Reports**

-   Grant performance will require the submission of annual and final
    progress reports, as well as annual and final financial status
    reports.

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-   Because SAMHSA is extremely interested in ensuring that
    infrastructure development and enhancement efforts can be sustained,
    your progress reports should explain plans to ensure the
    sustainability (see Glossary) of efforts initiated under this grant.

-   SAMHSA will provide guidelines and requirements for these reports to
    grantees at the time of award and at the initial grantee orientation
    meeting after award. SAMHSA staff will use the information contained
    in the reports to determine the grantee's progress toward meeting
    its goals.

**3.2 Government Performance and Results Act**

The Government Performance and Results Act (GPRA) mandates
accountability and performance-based management by Federal agencies. To
meet the GPRA requirements, SAMHSA must collect performance data (i.e.,
"GPRA data") from grantees. The performance requirements for SAMHSA's
SPF SIG grant program are described in Section I-2.2 of this document
under "Data and Performance Measurement."

**3.3 Publications**

If you are funded under this grant program, you are required to notify
the Government Project Officer (GPO) and SAMHSA's Publications Clearance
Officer (240-276-2130) of any materials based on the SAMHSA-funded
project that are accepted for publication.

In addition, SAMHSA requests that grantees:

-   Provide the GPO and SAMHSA Publications Clearance Officer with
    advance copies of publications.

-   Include acknowledgment of the SAMHSA grant program as the source of
    funding for the project.

-   Include a disclaimer stating that the views and opinions contained
    in the publication do not necessarily reflect those of SAMHSA or the
    U.S. Department of Health and Human Services, and should not be
    construed as such.

SAMHSA reserves the right to issue a press release about any publication
deemed by SAMHSA to contain information of program or policy
significance to the substance abuse treatment/substance abuse
prevention/mental health services community.

**VII. AGENCY CONTACTS**

For questions about program issues, contact:

Mr. Dave Robbins

Deputy Director, Division of State and Community Assistance

Center for Substance Abuse Prevention

1 Choke Cherry Road, Room 4-1091

Rockville, MD 20857

<david.robbins@samhsa.hhs.gov>

or

Ms. Jayme Marshall

Branch Chief, Division of State and Community Assistance

Center for Substance Abuse Prevention

1 Choke Cherry Road, Room 4-1059

Rockville, MD 20857

<jayme.marshall@samhsa.hhs.gov>

**Applicant Technical Assistance Hotline: 240-276-2888**

For questions about grants management issues, contact:

Kimberly Pendleton

Office of Program Services, Division of Grants Management

Substance Abuse and Mental Health Services Administration

1 Choke Cherry Road

Room 7-1097

Rockville, Maryland 20857

\(240\) 276-1421

<kimberly.pendleton@samhsa.hhs.gov>

**Appendix A -- Checklist for Formatting Requirements and**

**Screenout Criteria for SAMHSA Grant Applications**

*SAMHSA's goal is to review all applications submitted for grant
funding. However, this goal must be balanced against SAMHSA's obligation
to ensure equitable treatment of applications. For this reason, SAMHSA
has established certain formatting requirements for its applications.
**If you do not adhere to these requirements, your application will be
screened out and returned to you without review.***

-   Use the PHS 5161-1 application.

-   Applications must be received by the application deadline or have
    proof of timely submission, as detailed in Section IV-3 of the grant
    announcement.

-   Information provided must be sufficient for review.

-   Text must be legible. (For Project Narratives submitted
    electronically in Microsoft Word, see separate requirements in
    Section IV-2.3 of this announcement under "Guidance for Electronic
    Submission of Applications.")

• Type size in the Project Narrative cannot exceed an average of 15
characters per

inch, as measured on the physical page. (Type size in charts, tables,
graphs, and

footnotes will not be considered in determining compliance.)

• Text in the Project Narrative cannot exceed 6 lines per vertical inch.

-   Paper must be white paper and 8.5 inches by 11.0 inches in size.

-   To ensure equity among applications, the amount of space allowed for
    the Project Narrative cannot be exceeded. (For Project Narratives
    submitted electronically in Microsoft Word, see separate
    requirements in Section IV-2.3 of this announcement under "Guidance
    for Electronic Submission of Applications.")

• Applications would meet this requirement by using all margins (left,
right, top, bottom) of at least one inch each, and adhering to the page
limit for the Project Narrative stated in the specific funding
announcement.

• Should an application not conform to these margin or page limits,
SAMHSA will use the following method to determine compliance: The total
area of the Project Narrative (excluding margins, but including charts,
tables, graphs and footnotes) cannot exceed 58.5 square inches
multiplied by the page limit. This number represents the full page less
margins, multiplied by the total number of allowed pages.

• Space will be measured on the physical page. Space left blank within
the Project Narrative (excluding margins) is considered part of the
Project Narrative, in determining compliance.

*To facilitate review of your application, follow these additional
guidelines. Failure to adhere to the following guidelines will not, in
itself, result in your application being screened out and returned
without review. However, the information provided in your application
must be sufficient for review. Following these guidelines will help
ensure your application is complete, and will help reviewers to consider
your application.*

-   The 10 application components required for SAMHSA applications
    should be included. These are:

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-   Face Page (Standard Form 424, which is in PHS 5161-1)

-   Abstract

-   Table of Contents

-   Budget Form (Standard Form 424A, which is in PHS 5161-1)

-   Project Narrative and Supporting Documentation

-   Appendices

-   Assurances (Standard Form 424B, which is in PHS 5161-1)

-   Certifications (a form within PHS 5161-1)

-   Disclosure of Lobbying Activities (Standard Form LLL, which is in
    PHS 5161-1)

-   Checklist (a form in PHS 5161-1)

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-   Applications should comply with the following requirements:

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-   Provisions relating to confidentiality, participant protection and
    the protection of human subjects specified in Section V-1 of this
    announcement.

-   Budgetary limitations as specified in Section I, II, and IV-5 of
    this announcement.

-   Documentation of nonprofit status as required in the PHS 5161-1.

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-   Pages should be typed single-spaced in black ink, with one column
    per page. Pages should not have printing on both sides.

-   Please number pages consecutively from beginning to end so that
    information can be located easily during review of the application.
    The cover page should be page 1, the abstract page should be page 2,
    and the table of contents page should be page 3. Appendices should
    be labeled and separated from the Project Narrative and budget
    section, and the pages should be numbered to continue the sequence.

-   The page limits for Appendices stated in the specific funding
    announcement should not be exceeded.

-   Send the original application and two copies to the mailing address
    in Section IV-6.1 of this document. Please do not use staples, paper
    clips, and fasteners. Nothing should be attached, stapled, folded,
    or pasted. Do not use heavy or lightweight paper or any material
    that cannot be copied using automatic copying machines. Odd-sized
    and oversized attachments such as posters will not be copied or sent
    to reviewers. Do not include videotapes, audiotapes, or CD-ROMs.

**Appendix B: Glossary**

**[Best Practice:]{.underline}** Best practices are practices that
incorporate the best objective information currently available regarding
effectiveness and acceptability.

**[Catchment Area:]{.underline}** A catchment area is the geographic
area from which the target population to be served by a program will be
drawn.

**[Cooperative Agreement:]{.underline}** A cooperative agreement is a
form of Federal grant. Cooperative agreements are distinguished from
other grants in that, under a cooperative agreement, substantial
involvement is anticipated between the awarding office and the recipient
during performance of the funded activity. This involvement may include
collaboration, participation, or intervention in the activity. HHS
awarding offices use grants or cooperative agreements (rather than
contracts) when the principal purpose of the transaction is the transfer
of money, property, services, or anything of value to accomplish a
public purpose of support or stimulation authorized by Federal statute.
The primary beneficiary under a grant or cooperative agreement is the
public, as opposed to the Federal Government.

**[Community]{.underline}:** A community may be defined as a county,
city, parish, school district, "family" (as defined by the Tribe), or
other appropriate local entities.

**[Fidelity:]{.underline}** Fidelity is the degree to which a specific
implementation of a program or practice resembles, adheres to, or is
faithful to the evidence-based model on which it is based. Fidelity is
formally assessed using rating scales of the major elements of the
evidence-based model. A toolkit on how to develop and use fidelity
instruments is available from the SAMHSA-funded Evaluation Technical
Assistance Center at [http://tecathsri.org](http://tecathsri.org/) or by
calling (617) 876-0426.

**[Grant:]{.underline}** A grant is the funding mechanism used by the
Federal Government when the principal purpose of the transaction is the
transfer of money, property, services, or anything of value to
accomplish a public purpose of support or stimulation authorized by
Federal statute. The primary beneficiary under a grant or cooperative
agreement is the public, as opposed to the Federal Government.

**[Logic Model:]{.underline}** A logic model is a diagrammatic
representation of a theoretical framework. A logic model describes the
logical linkages among program resources, conditions, strategies,
short-term outcomes, and long-term impact. More information on how to
develop logics models and examples can be found through the resources
listed in Appendix C.

**[Practice]{.underline}:** A practice is any activity, or collective
set of activities, intended to improve outcomes for people with or at
risk for substance abuse and/or mental illness. Such activities may
include direct service provision, or they may be supportive activities,
such as efforts to improve access to and retention in services,
organizational efficiency or effectiveness, community readiness,
collaboration among stakeholder groups, education, awareness, training,
or any other activity that is designed to improve outcomes for people
with or at risk for substance abuse or mental illness.

**[Practice Support System]{.underline}:** This term refers to
contextual factors that affect practice delivery and effectiveness in
the pre-adoption phase, delivery phase, and post-delivery phase, such as
a) community collaboration and consensus building, b) training and
overall readiness of those implementing the practice, and c) sufficient
ongoing supervision for those implementing the practice.

#### Stakeholder: A stakeholder is an individual, organization, constituent group, or other entity that has an interest in and will be affected by a proposed grant project.

**[Sustainability:]{.underline}** Sustainability is the ability to
continue a program or practice after SAMHSA grant funding has ended.

**[Target Population:]{.underline}** The target population is the
specific population of people whom a particular program or practice is
designed to serve or reach.

**[Wraparound Service:]{.underline}** Wraparound services are
non-clinical supportive services---such as child care, vocational,
educational, and transportation services---that are designed to improve
the individual's access to and retention in the proposed project.

**Appendix C: Logic Model Resources**

Chen, W.W., Cato, B.M., & Rainford, N. (1998-9). Using a logic model to

plan and evaluate a community intervention program: A case study.
*International Quarterly of Community Health Education*, *18*(4),
449-458.

Edwards, E.D., Seaman, J.R., Drews, J., & Edwards, M.E. (1995). A
community approach for Native American drug and alcohol prevention
programs: A logic model framework. *Alcoholism Treatment Quarterly*,
*13*(2), 43-62.

Hernandez, M. & Hodges, S. (2003). *Crafting Logic Models for Systems of
Care: Ideas into Action*. \[Making children's mental health services
successful series, volume 1\]. Tampa, FL: University of South Florida,
The Louis de la Parte Florida Mental Health Institute, Department of
Child & Family Studies.
[http://cfs.fmhi.usf.edu](http://cfs.fmhi.usf.edu/) or phone (813)
974-4651

Hernandez, M. & Hodges, S. (2001). Theory-based accountability. In M.
Hernandez & S. Hodges (Eds.), *Developing Outcome Strategies in
Children\'s Mental Health*, pp. 21-40. Baltimore: Brookes.

Julian, D.A. (l997). Utilization of the logic model as a system level
planning and evaluation device. *Evaluation and Planning,* *20*(3),
251-257.

Julian, D.A., Jones, A., & Deyo, D. (1995). Open systems evaluation and
the

logic model: Program planning and evaluation tools. *Evaluation and
Program*

*Planning,* *18*(4), 333-341.

Patton, M.Q. (1997). *Utilization-Focused Evaluation* (3^rd^ Ed.), pp.
19, 22,

241\. Thousand Oaks, CA: Sage.

Wholey, J.S., Hatry, H.P., Newcome, K.E. (Eds.) (1994). *Handbook of
Practical Program Evaluation.* San Francisco, CA: Jossey-Bass Inc.

**APPENDIX D: SAMPLE BUDGET AND JUSTIFICATION**

**ILLUSTRATION OF A SAMPLE DETAILED BUDGET AND**

**NARRATIVE JUSTIFICATION TO ACCOMPANY**

**SF 424A: SECTION B FOR 01 BUDGET PERIOD**

**[OBJECT CLASS CATEGORIES]{.underline}**

**[Personnel]{.underline}**

**Job Annual Level of Salary being**

**Title** **Name Salary Effort Requested**

Project

Director J. Doe \$30,000 1.0 \$30,000

Secretary Unnamed \$18,000 0.5 \$ 9,000

Counselor R. Down \$25,000 1.0 \$25,000

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

**[Fringe Benefits]{.underline}** (24%) \$15,360

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

**[Travel]{.underline}**

2 trips for SAMHSA Meetings for 2 Attendees

(Airfare @ \$600 x 4 = \$2,400) + (per diem

@ \$120 x 4 x 6 days = \$2,880) \$5,280

Local Travel (500 miles x .24 per mile) 120

\[Note: Current Federal Government per diem rates are available at
[www.gsa.gov](http://www.gsa.gov/).\]

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

**[Equipment]{.underline}** (List Individually)

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

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

**[Supplies]{.underline}**

Office Supplies \$500

Computer Software - 1 WordPerfect 500

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

ILLUSTRATION OF DETAILED BUDGET AND NARRATIVE JUSTIFICATION (cont'd.)

**[Contractual Costs]{.underline}**

**Evaluation**

Job Name Annual Salary being Level of

Title Salary Requested Effort

Evaluator J. Wilson \$48,000 \$24,000 0.5

Other Staff \$18,000 \$18,000 1.0

Fringe Benefits (25%) \$10,500

**Travel**

2 trips x 1 Evaluator

(\$600 x 2) \$ 1,200

per diem @ \$120 x 6 720

Supplies (General Office) 500

Evaluation Direct \$54,920

Evaluation Indirect Costs (19%) \$10,435

Evaluation Subtotal \$65,355

**Training**

Job Name Level of Salary being

Title Effort Requested

Coordinator M. Smith 0.5 \$ 12,000

Admin. Asst. N. Jones 0.5 \$ 9,000

Fringe Benefits (25%) \$ 5,250

**Travel**

2 Trips for Training

Airfare @ \$600 x 2 \$ 1,200

Per Diem \$120 x 2 x 2 days 480

Local (500 miles x .24/mile) 120

**Supplies**

Office Supplies \$ 500

Software (WordPerfect) 500

**Other**

Rent (500 Sq. Ft. x \$9.95) \$ 4,975

Telephone 500

Maintenance (e.g., van) \$ 2,500

Audit \$ 3,000

Training Direct \$ 40,025

Training Indirect \$ -0-

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

**ILLUSTRATION OF DETAILED BUDGET AND NARRATIVE JUSTIFICATION
(cont'd.)**

**[Other]{.underline}**

Consultants = Expert @ \$250/day X 6 day \$ 1,500

(If expert is known, should list by name)

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

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

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

**[Indirect Costs]{.underline}**

15% of Salary and Wages (copy of negotiated

indirect cost rate agreement attached)

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

**[TOTALS]{.underline}**

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

**[JUSTIFICATION]{.underline}**

PERSONNEL - Describe the role and responsibilities of each position.

FRINGE BENEFITS - List all components of the fringe benefit rate.

EQUIPMENT - List equipment and describe the need and the purpose of the
equipment in relation to the proposed project.

SUPPLIES - Generally self-explanatory; however, if not, describe need.
Include explanation of how the cost has been estimated.

TRAVEL - Explain need for all travel other than that required by SAMHSA.

CONTRACTUAL COSTS - Explain the need for each contractual arrangement
and how these components relate to the overall project.

OTHER - Generally self-explanatory. If consultants are included in this
category, explain the need and how the consultant's rate has been
determined.

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

CALCULATION OF FUTURE BUDGET PERIODS

(based on first 12-month budget period)

Review and verify the accuracy of future year budget estimates.
Increases or decreases in the future years must be explained and
justified and no cost of living increases will be honored. (NOTE: new
salary cap of \$183,500 is effective for all FY 2006 awards.) \*

First Second Third

12-month 12-month 12-month

Period Period Period

Personnel

Project Director 30,000 30,000 30,000

Secretary\*\* 9,000 18,000 18,000

Counselor 25,000 25,000 25,000

TOTAL PERSONNEL 64,000 73,000 73,000

\*Consistent with the requirement in the Consolidated Appropriations
Act, Public Law 108-447.

\*\*Increased from 50% to 100% effort in 02 through 03 budget periods.

Fringe Benefits (24%) 15,360 17,520 17,520

Travel 5,400 5,400 5,400

Equipment -0- -0- -0-

Supplies\*\*\* 1,000 520 520

\*\*\*Increased amount in 01 year represents costs for software.

Contractual

Evaluation\*\*\*\* 65,355 67,969 70,688

Training 40,025 40,025 40,025

\*\*\*\*Increased amounts in 02 and 03 years are reflected of the
increase in client data collection.

Other 1,500 1,500 1,500

Total Direct Costs 192,640 205,934 208,653

Indirect Costs 9,600 9,600 9,600

(15% S&W)

TOTAL COSTS 202,240 216,884 219,603

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

**APPENDIX E: PERFORMANCE MEASURES FOR THE SPF SIG**

This section further specifies the data to be collected and reported as
described in Section I-2.5, "Data and Performance Measurement."

####### 

####### **National Outcome Measures**

This instrument contains the specific questions to be used to determine
progress toward the National Outcome Measures (NOMs) listed in Section
I-2.5. Grantees and sub-grantees may be required to supply additional
data to comply with any evaluations of the SPF SIG Program.

**National outcome measures (NoMs) ADULT tool**

(OMB Number: 0930-0230. Expiration 12/31/2008)

**[A. DEMOGRAPHICS]{.underline}**

**Demographics (N=4)**

**1. Gender**

**2. Are you Hispanic or Latino?**

**3. What is your race? (Select one or more)**

**4. What is your date of birth?** \|\_\_\_\_\|\_\_\_\_\| /
\|\_\_\_\_\|\_\_\_\_\| / \|\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|

**[B. DOMAIN/MEASURE/ITEMS]{.underline}**

***Domain: Abstinence***

[Measure 30 day use (N=5)]{.underline}

**TOBACCO (N=2)**

**CG07** \[IF CG05 = 1\] During the past 30 days, that is, since
**\[DATEFILL\]**, on how many **days** did you smoke part or all of a
cigarette?

\# OF DAYS: \[RANGE: 1 - 30\]

DK/REF

**NEWVAR 1** During the past 30 days, that is, since **\[DATEFILL\]**,
on how many days did you use other tobacco products?

\# OF DAYS: \[RANGE: 1 - 30\]

DK/REF

**ALCOHOL (N=1)**

**ALCC29a** *\[IF ALCC28 = 2 OR 3 AND ALC30DAY NE (BLANK OR DK/REF)\]
Please answer this*

*question again. Think specifically about the past 30 days, that is from
**\[DATEFILL\]** through*

*today. During the past 30 days, on how many days did you drink one or
more drinks of an*

*alcoholic beverage?*

*\# OF DAYS: \[RANGE: 0 -30\]*

*DK/REF*

**MARIJUANA (N=1)**

**MJ06** \[IF MJLAST3=1 OR MJRECDK = 1 OR MJRECRE = 1\] Think
specifically about the past 30 days, from

**\[DATEFILL\]** up to and including today. During the past 30 days, on
how many days did you use marijuana or

hashish?

NUMBER OF DAYS: \[RANGE: 0 - 30\]

DK/REF

**OTHER ILLEGAL DRUGS (N=1)**

**NEWVAR 2** \[IF MJLAST3=1 OR MJRECDK = 1 OR MJRECRE = 1\] Think
specifically about the past 30 days, from**\[DATEFILL\]** up to and
including today. During the past 30 days, on how many days did you use
any other illegal drug?

NUMBER OF DAYS: \[RANGE: 0 - 30\]

DK/REF

***Domain Abstinence***

**[Measure: Age of First Use (N=5)]{.underline}**

**TOBACCO (n=2)**

**CG04** \[IF CG01 = 1 OR CGREF1 = 1\] How old were you the **first
time** you smoked part or all of a cigarette?

AGE: \[(RANGE: 1 - 110\]

DK/REF

**NEWVAR 3** How old were you the **first time** you used any other
tobacco product?

AGE: \[RANGE: 1 - 110\]

DK/REF

**ALCOHOL (n=1)**

**AL02** \[IF AL01 = 1 OR ALREF = 1\] Think about the **first time** you
had a drink of an alcoholic beverage. How old were you the **first
time** you had a drink of an alcoholic beverage? Please do not include
any time when you only had a sip or two from a drink.

AGE: \[RANGE: 1 - 110\]

DK/REF

**MARIJUANA (n=1)**

**MJ02** \[IF MJ01 =1 OR MJREF = 1\] How old were you the **first time**
you used marijuana or hashish?

AGE: \[RANGE: 1 - 110\]

DK/REF

**OTHER ILLEGAL DRUGS (n=1)**

**NEWVAR0 4** \] How old were you the **first time** you used any other
illegal drug?

AGE: \[RANGE: 1 - 110\]

DK/REF

***Domain: Abstinence***

[Measure: Perceived Risk/Harm of Use (N=3)]{.underline}

**TOBACCO (n=1)**

**RK01a** How much do people risk harming themselves physically and in
other ways when they smoke **one or more packs of cigarettes per day**?

1 No risk

2 Slight risk

3 Moderate risk

4 Great risk

DK/REF

**MARIJUANA (n=1)**

**RK01c** How much do people risk harming themselves physically and in
other ways when they smoke **marijuana once or twice a week**?

1 No risk

2 Slight risk

3 Moderate risk

4 Great risk

DK/REF

**ALCOHOL (n=1)**

**RK01k** How much do people risk harming themselves physically and in
other ways when they have **five or more drinks of an alcoholic beverage
once or twice a week**?

1 No risk

2 Slight risk

3 Moderate risk

4 Great risk

DK/REF

***Domain: Employment/ Education***

**[Measure:*Perception of Workplace Policy (Adult) (N=2)*]{.underline}**

**QD53** \[IF QD52 = 1 - 3 OR DK/REF\] Would you be more or less likely
to want to work for an employer that tests its

employees for drug or alcohol use on a random basis? Would you say more
likely, less likely, or would it make no

difference to you?

1 MORE LIKELY

2 LESS LIKELY

3 WOULD MAKE NO DIFFERENCE

DK/REF

***Domain: Employment/ Education***

[Measure: Workplace AOD Use (Adult) (N=3)]{.underline}

**NEWVAR08 How often in the last 6 months did you ever have more than
two drinks during your lunch hour?**

􀁻 Never

􀁻 Less than once a month

􀁻 1-3 times a month

􀁻 Once a week

􀁻 Several days a week

􀁻 Almost every day

**NEWVAR09 How often in the last 6 months did you ever have a drink of
any alcohol while you were on the job? (including during breaks) or
right before going to work?**

􀁻 Never

􀁻 Less than once a month

􀁻 1-3 times a month

􀁻 Once a week

􀁻 Several days a week

􀁻 Almost every day

**The next question refers to drugs, including the following: marijuana
or hashish; cocaine or crack; other illicit drugs such as speed,
psychedelics (LSD, acid, PCP. Ecstasy), inhalants (glue, spray, paint
poppers), or narcotics (heroin, morphine, codeine), and prescription
drugs without a doctor's prescription (e.g. pain killers, analgesics,
stimulants, diet pills, amphetamines, and tranquillizers (Valium,
Librium, sleeping pills).**

**NEWVAR10. How often did you use any of these drugs while you were at
work? (including during breaks or the lunch hour) or right before going
to work in the last 6 months?**

􀁻 Never

􀁻 Less than once a month

􀁻 1-3 times a month

􀁻 Once a week

􀁻 Several days a week

􀁻 Almost every day

***Domain: Crime and Criminal Justice***

[Measure: Alcohol Related Car Crashes and Injuries (N=1)]{.underline}

**SP06b** \[IF SP06a = BLANK AND (ALLAST3 = 1 OR 2 OR ALRECDK = 1 OR 2
OR ALRECRE = 1 OR 2) **During the past 12 months**, have you driven a
vehicle while you were under the influence of alcohol?

\[IF SP06a NE BLANK\] **During the past 12 months**, have you driven a
vehicle while you were under the influence of

alcohol only?

1 Yes

2 No

DK/REF

***Domain: Social Support/Social Connectedness***

[Measure: Family Communications around Drug Use ***(N=1)***]{.underline}

**pe03** \[IF PE01a = 1 OR PE01b = 12 - 18\] **During the past 12
months**, how many times have you talked with your child about the
dangers or problems associated with the use of tobacco, alcohol, or
other drugs?

1 0 times

2 1 to 2 times

3 A few times

4 Many times

DK/REF

**National outcome measures (NOMs) Youth tool**

**[A. Demographics]{.underline}**

A.  **DEMOGRAPHICS (N=4)**

    **1. Gender**

    **2. Are you Hispanic or Latino?**

    **3. What is your race? (Select one or more)**

    **4. What is your date of birth?** \|\_\_\_\_\|\_\_\_\_\| /
    \|\_\_\_\_\|\_\_\_\_\| / \|\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|

**[B. DOMAIN/MEASURE/ITEMS]{.underline}**

***Domain: Abstinence***

[Measure 30 day use (N=5)]{.underline}

**TOBACCO (N=2)**

**CG07** \[IF CG05 = 1\] during the past 30 days, that is, since
**\[DATEFILL\]**, on how many **days** did you smoke part or all of a
cigarette?

\# OF DAYS: \[RANGE: 1 - 30\]

DK/REF

**NEWVAR 1** During the past 30 days, that is, since **\[DATEFILL\]**,
on how many days did you use other tobacco products?

\# OF DAYS: \[RANGE: 1 - 30\]

DK/REF

**ALCOHOL (N=1)**

**ALCC29a** *\[IF ALCC28 = 2 OR 3 AND ALC30DAY NE (BLANK OR DK/REF)\]
Please answer this*

*question again. Think specifically about the past 30 days, that is from
**\[DATEFILL\]** through*

*today. During the past 30 days, on how many days did you drink one or
more drinks of an*

*alcoholic beverage?*

*\# OF DAYS: \[RANGE: 0 -30\]*

*DK/REF*

**MARIJUANA (N=1)**

**MJ06** \[IF MJLAST3=1 OR MJRECDK = 1 OR MJRECRE = 1\] Think
specifically about the past 30 days, from

**\[DATEFILL\]** up to and including today. During the past 30 days, on
how many days did you use marijuana or

hashish?

NUMBER OF DAYS: \[RANGE: 0 - 30\]

DK/REF

**OTHER ILLEGAL DRUGS (N=1)**

**NEWVAR 2** \[IF MJLAST3=1 OR MJRECDK = 1 OR MJRECRE = 1\] Think
specifically about the past 30 days, from **\[DATEFILL\]** up to and
including today. During the past 30 days, on how many days did you use
any other illegal drug?

NUMBER OF DAYS: \[RANGE: 0 - 30\]

DK/REF

***Domain Abstinence***

[Measure: Age of First Use (N=5)]{.underline}

**TOBACCO (n=2)**

**CG04** \[IF CG01 = 1 OR CGREF1 = 1\] How old were you the **first
time** you smoked part or all of a cigarette?

AGE: \[(RANGE: 1 - 110\]

DK/REF

**NEWVAR 3** How old were you the **first time** you used any other
tobacco product?

AGE: \[RANGE: 1 - 110\]

DK/REF

**ALCOHOL (n=1)**

**AL02** \[IF AL01 = 1 OR ALREF = 1\] Think about the **first time** you
had a drink of an alcoholic beverage. How old were you the **first
time** you had a drink of an alcoholic beverage? Please do not include
any time when you only had a sip or two from a drink.

AGE: \[RANGE: 1 - 110\]

DK/REF

**MARIJUANA (n=1)**

**MJ02** \[IF MJ01 =1 OR MJREF = 1\] How old were you the **first time**
you used marijuana or hashish?

AGE: \[RANGE: 1 - 110\]

DK/REF

**OTHER ILLEGAL DRUGS (n=1)**

**NEWVAR0 4\]** How old were you the **first time** you used any other
illegal drug?

AGE: \[RANGE: 1 - 110\]

DK/REF

***Domain: Abstinence***

[Measure: Perception of Disapproval/Attitude (N=5)]{.underline}

**TOBACCO (n=2)**

**YE19a** \[IF CURNTAGE = 12 - 17\] How do you feel about someone your
age smoking one or more packs of cigarettes a day?

1 Neither approve nor disapprove

2 Somewhat disapprove

3 Strongly disapprove

DK/REF

**YE20a** \[IF CURNTAGE = 12 - 17\] How do you think your close friends
would feel about **you** smoking one or more packs of cigarettes a day?

1 Neither approve nor disapprove

2 Somewhat disapprove

3 Strongly disapprove

DK/REF

**MARIJUANA (n=2)**

**YE19b** \[IF CURNTAGE = 12 - 17\] How do you feel about someone your
age trying marijuana or hashish once or twice?

1 Neither approve nor disapprove

2 Somewhat disapprove

3 Strongly disapprove

DK/REF

**YE19b1** \[IF CURNTAGE = 12 - 17\] How do you feel about someone your
age using marijuana once a month or more?

1 Neither approve nor disapprove

2 Somewhat disapprove

3 Strongly disapprove

DK/REF

**ALCOHOL (n=1)**

**YE19c** \[IF CURNTAGE = 12 - 17\] How do you feel about someone your
age having one or two drinks of an alcoholic

beverage nearly every day?

1 Neither approve nor disapprove

2 Somewhat disapprove

3 Strongly disapprove

DK/REF

***Domain: Abstinence***

[Measure: Perceived Risk/Harm of Use (N=3)]{.underline}

**TOBACCO (n=1)**

**RK01a** How much do people risk harming themselves physically and in
other ways when they smoke **one or more packs of cigarettes per day**?

1 No risk

2 Slight risk

3 Moderate risk

4 Great risk

DK/REF

**MARIJUANA (n=1)**

**RK01c** How much do people risk harming themselves physically and in
other ways when they smoke **marijuana once or twice a week**?

1 No risk

2 Slight risk

3 Moderate risk

4 Great risk

DK/REF

**ALCOHOL (n=1)**

**RK01k** How much do people risk harming themselves physically and in
other ways when they have **five or more drinks of an alcoholic beverage
once or twice a week**?

1 No risk

2 Slight risk

3 Moderate risk

4 Great risk

DK/REF

***Domain: Employment/ Education***

[Measure: Perception of Workplace Policy (Adult) (N=1)]{.underline}

**QD53** \[IF QD52 = 1 - 3 OR DK/REF\] Would you be more or less likely
to want to work for an employer that tests its

employees for drug or alcohol use on a random basis? Would you say more
likely, less likely, or would it make no

difference to you?

1 MORE LIKELY

2 LESS LIKELY

3 WOULD MAKE NO DIFFERENCE

DK/REF

***Domain: Crime and Criminal Justice***

[Measure: Alcohol Related Car Crashes and Injuries (N=1)]{.underline}

**SP06b** \[IF SP06a = BLANK AND (ALLAST3 = 1 OR 2 OR ALRECDK = 1 OR 2
OR ALRECRE = 1 OR 2) **During the past 12 months**, have you driven a
vehicle while you were under the influence of alcohol?

\[IF SP06a NE BLANK\] **During the past 12 months**, have you driven a
vehicle while you were under the influence of

alcohol only?

1 Yes

2 No

DK/REF

***Domain: Social Support/Social Connectedness***

[Measure: Family Communications around Drug Use ***(N=1)***]{.underline}

**YE08** \[IF CURNTAGE = 12 - 17\] Now think about the past 12 months,
that is, from **\[DATEFILL\]** through today. **During the past 12
months**, have you talked with at least one of your parents about the
dangers of tobacco, alcohol, or drug use? By **parents**, we mean either
your biological parents, adoptive parents, stepparents, or adult
guardians -- whether or not they live with you.

1 Yes

2 No

DK/REF

***Domain: Retention***

Measure: Percentage of youth seeing, watching, or listening to a
prevention message (N=1)

During the past 12 months, do you recall hearing, or watching an
advertisement about the prevention of substance use?

1 Yes

2 No

DK/REF