Department of Health and Human Services

Substance Abuse and Mental Health Services Administration

**Prevention of Substance Abuse (SA) and HIV for At-Risk Racial/Ethnic
Minority Subpopulations Cooperative Agreements**

**Short Title: Minority SA/HIV Prevention Initiative**

[]{.mark}

**(Initial Announcement)**

**Request for Applications (RFA) No. SP-08-001**

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

**Key Dates:**

+----------------------+-----------------------------------------------+
| **Application        | **Applications are due by April 1, 2008.**    |
| Deadline**           |                                               |
+----------------------+-----------------------------------------------+
| **Intergovernmental  | **Applicants must comply with E.O. 12372 if   |
| Review**             | their State(s) participates. Review process   |
|                      | recommendations from the State Single Point   |
| **(E.O. 12372)**     | of Contact (SPOC) are due no later than 60    |
|                      | days after application deadline.**            |
+----------------------+-----------------------------------------------+
| **Public Health      | **Applicants must send the PHSIS to           |
| System Impact        | appropriate State and local health agencies   |
| Statement            | by application deadline. Comments from Single |
| (PHSIS)/Single State | State Agency are due no later than 60 days    |
| Agency               | after application deadline.**                 |
| Coordination**       |                                               |
+----------------------+-----------------------------------------------+

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

Anna Marsh, Ph.D. Terry L. Cline, Ph.D.

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 5](#funding-opportunity-description)

[1. INTRODUCTION 5](#introduction)

[2. EXPECTATIONS 6](#expectations)

[II. AWARD INFORMATION 14](#award-information)

[III. ELIGIBILITY INFORMATION 15](#eligibility-information)

[1. ELIGIBLE APPLICANTS 15](#eligible-applicants)

[2. COST SHARING and MATCH REQUIREMENTS
16](#cost-sharing-and-match-requirements)

[3. OTHER 17](#other)

[IV. APPLICATION AND SUBMISSION INFORMATION
18](#application-and-submission-information)

[1. ADDRESS TO REQUEST APPLICATION PACKAGE
18](#address-to-request-application-package)

[2. CONTENT AND FORM OF APPLICATION SUBMISSION
18](#content-and-form-of-application-submission)

[3. SUBMISSION DATES AND TIMES 21](#submission-dates-and-times)

[4. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS
22](#intergovernmental-review-e.o.-12372-requirements)

[5. FUNDING LIMITATIONS/RESTRICTIONS
23](#funding-limitationsrestrictions)

[6. OTHER SUBMISSION REQUIREMENTS 24](#other-submission-requirements)

[V. APPLICATION REVIEW INFORMATION 25](#application-review-information)

[1. EVALUATION CRITERIA 25](#evaluation-criteria)

[2. REVIEW AND SELECTION PROCESS 32](#review-and-selection-process)

[VI. ADMINISTRATION INFORMATION 32](#administration-information)

[1. AWARD NOTICES 32](#award-notices)

[2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS
33](#administrative-and-national-policy-requirements)

[3. REPORTING REQUIREMENTS 34](#reporting-requirements)

[VII. AGENCY CONTACTS 35](#agency-contacts)

[Appendix A -- Checklist for Formatting Requirements and Screenout
Criteria for SAMHSA Grant Applications
36](#appendix-a-checklist-for-formatting-requirements-and-screenout-criteria-for-samhsa-grant-applications)

[Appendix B -- Guidance for Electronic Submission of Applications
38](#appendix-b-guidance-for-electronic-submission-of-applications)

[Appendix C -- Statement of Assurance
41](#appendix-c-statement-of-assurance)

[Appendix D -- Sample Logic Model 42](#appendix-d-sample-logic-model)

[Appendix E -- Logic Model Resources
44](#appendix-e-logic-model-resources)

[Appendix F -- Confidentiality and Participant Protection
45](#appendix-f-confidentiality-and-participant-protection)

[Appendix G -- Funding Restrictions
49](#appendix-g-funding-restrictions)

[Appendix H -- Sample Budget and Justification
51](#appendix-h-sample-budget-and-justification)

[Appendix I -- Eligible States and MSAs
56](#appendix-i-eligible-states-and-msas)

[Appendix J -- SAMHSA's Rapid HIV Testing Requirements
56](#appendix-j-samhsas-rapid-hiv-testing-requirements)

[Appendix K -- Disclosure of Target Minority Subpopulations,
Demographics, & Catchment Areas
62](#appendix-k-disclosure-of-target-minority-subpopulations-demographics-catchment-areas)

[Appendix L -- Acronyms and Definitions
63](#appendix-l-acronyms-and-definitions)

Appendix M [**--** Glossary 64](#appendix-m-glossary)

[Appendix N -- References 69](#appendix-n-references)

**Executive Summary:**

The Substance Abuse and Mental Health Services Administration (SAMHSA),
Center for Substance Abuse Prevention (CSAP) is accepting applications
for fiscal year (FY) 2008 for Prevention of Substance Abuse (SA) and HIV
for At-Risk Racial/Ethnic Minority Subpopulations (Short Title: Minority
SA/HIV Prevention Initiative) cooperative agreements. The purpose of
this program is to support an array of activities to assist grantees in
building a solid foundation for delivering and sustaining quality and
accessible state of the science substance abuse and HIV prevention
services. Specifically, the program aims to engage community-level
domestic public and private non-profit entities to prevent and reduce
the onset of SA and transmission of HIV/AIDS among the following at-risk
racial/ethnic minority subpopulations: reentry populations (i.e.,
racial/ethnic minorities who have been released from prisons and jails
within the past 2 years); men having sex with men (MSM); Black, Latina,
or Hispanic women; adolescents (age 12-17); young adults (age 18-24);
and older adults, age 50 and over in communities of color
disproportionately affected by SA and HIV/AIDS.

**Funding Opportunity Title:** Prevention of Substance Abuse (SA) and
HIV for At-Risk Racial/Ethnic Minority Subpopulations Cooperative
Agreements

**Funding Opportunity Number:** SP-08-001

**Due Date for Applications:** April 1, 2008

**Anticipated Total Available Funding:** \$17.89 million

**Estimated Number of Awards:** 46

**Estimated Award Amount:** Up to \$400,000 per year

**Length of Project Period:** Up to 5 years

**Eligible Applicants:** Community-level domestic public and private
nonprofit entities.

> \[See Section III-1 of this RFA for complete eligibility
> information.\]

# FUNDING OPPORTUNITY DESCRIPTION

## INTRODUCTION

The Substance Abuse and Mental Health Services Administration (SAMHSA),
Center for Substance Abuse Prevention (CSAP) is accepting applications
for fiscal year (FY) 2008 for Prevention of Substance Abuse (SA) and HIV
for At-Risk Racial/Ethnic Minority Subpopulations (Short Title: Minority
SA/HIV Prevention Initiative) cooperative agreements. The purpose of
this program is to support an array of activities to assist grantees in
building a solid foundation for delivering and sustaining quality and
accessible state of the science substance abuse and HIV prevention
services. Specifically, the program aims to engage community-level
domestic public and private non-profit entities to prevent and reduce
the onset of SA and transmission of HIV/AIDS among at-risk racial/ethnic
minority subpopulations that are described below.

The Centers for Disease Control and Prevention (CDC) estimates that the
number of people infected with HIV in the United States ranges from
800,000 to 900,000.  The HIV/AIDS sub-epidemics not only vary by region
and community but also by population, risk behavior, and geography. 
Elimination of such disparities among certain racial and ethnic groups,
particularly African American and Hispanic populations, remains a
challenge.

Since the AIDS epidemic began, injection drug use (IDU) has accounted
for more than one-third of AIDS cases in the United States. Of the
43,517 new cases of AIDS reported in 2000, 25 percent were injection
drug use (IDU)-associated^1^. Racial/ethnic minorities in the U.S. are
most heavily affected by IDU-associated AIDS. In 2000, African American
adults and adolescents accounted for 26 percent of IDU-associated AIDS
cases and Hispanic adults and adolescents accounted for 31 percent, as
compared to 19 percent of all IDU-associated AIDS cases among their
white counterparts. IDU-associated AIDS accounts for a larger proportion
of cases among women than among men. Fifty-seven (57) percent of all
AIDS cases reported among women have been attributed to injection drug
use or sex with partners who inject drugs as compared with 31 percent of
cases among men.

Despite the decline in AIDS cases in certain populations and regions
resulting from improved HIV treatment, 2003 data reported by CDC
indicate that more people are living with HIV/AIDS than ever before^2^.
CDC estimates that about 1 million people in the United States are
living with HIV or AIDS and about one quarter of these people are
unaware of their infection, which puts them and others at risk. Groups
at highest risk since the beginning of the epidemic include men having
sex with men (MSM) and IDUs. Other groups who are also at high risk for
HIV transmission include people of color, women (particularly Black and
Latina/Hispanic women), and youth^13^.

SAMHSA, therefore, is particularly interested in eliciting the interest
of providers who can offer quality services to the following at-risk
racial/ethnic minority subpopulations residing in a geographic area(s)
with high SA and HIV/AIDS prevalence. Applicants are required to
indicate [one]{.underline} racial/ethnic minority subpopulation from the
following list that they propose to target in their eligible catchment
area:

1\) reentry populations (i.e., racial/ethnic minorities who have been
released from prisons

and jails within the past 2 years);

2\) men having sex with men (MSM);

3\) Black, Latina or Hispanic women;

4\) adolescents (age 12-17);

5\) young adults (age 18-24); and

6\) older adults, age 50 and over.

While grantees will have substantial flexibility in designing their
grant projects, all are required to base their projects on the five
steps of SAMHSA's Strategic Prevention Framework (SPF) to build state of
the science SA and HIV/AIDS prevention capacity for their targeted
at-risk racial/ethnic minority population.

Minority SA/HIV Prevention Initiative cooperative agreements are
authorized under Section 516 of the Public Health Service Act, as
amended. This announcement addresses Healthy People 2010 focus area 26
(Substance Abuse).

\[NOTE: Complete references for statements followed by numerals in
footnote format throughout this document can be found in Appendix N,
References.\]

## 2. EXPECTATIONS {#expectations .unnumbered}

Grantees will be funded for up to five years (based on the availability
of funds) to provide leadership and coordination on the planning and
implementation of their projects to address the high prevalence of SA
and HIV/AIDS impacting a racial/ethnic minority subpopulation within
their community. This initiative is under girded by SAMHSA's Strategic
Prevention Framework (SPF), which is an effective prevention process
that provides direction, a common set of goals, expectations, and
accountabilities to be adapted and integrated at the community level.
Grantees are expected to provide direct services to their select target
subpopulation but may elect to implement environmental strategies.

As of fall 2007, approximately 1.4 million men and women have been
deployed to serve in Operation Enduring Freedom (OEF) and Operation
Iraqi Freedom (OIF) in support of the Global War on Terror.  Individuals
returning from Iraq and Afghanistan are at increased risk for suffering
post-traumatic stress and other related disorders.  Experts estimate
that up to one-third of returning veterans will need substance abuse
prevention and related services.  In addition, the family members of
returning veterans have an increased need for related support services. 
To address these concerns, SAMHSA strongly encourages all applicants to
consider the unique needs of returning veterans and their families in
developing their proposed project. 

## 2.1 Required Activities {#required-activities .unnumbered}

Moving SAMHSA's SPF from vision to practice is a strategic process that
community stakeholders must undertake in partnership with multiple
agencies and levels of government. Minority SA/HIV Prevention Initiative
funds must be used primarily to support the implementation of the
following [required]{.underline} five steps of the SPF:

1.  **[Conduct a community needs assessment]{.underline}:**

> Because the nature and extent of drug abuse and the HIV/AIDS epidemic
> vary widely, prevention strategies must be adapted to local community
> needs and resources. Local drug use and HIV/AIDS risk-behavior
> patterns must be tracked to refine program approaches over time and to
> evaluate program outcomes. Grantees are, therefore, required to
> conduct an in-depth community (e.g., tribal jurisdictions, towns,
> cities, counties) needs assessment in areas reporting high rates of SA
> and HIV/AIDS on [one]{.underline} target subpopulation. (SAMHSA's
> targeted racial/ethnic minority subpopulations are discussed below.)
> Community needs assessments should be based on collection and analysis
> of epidemiological data that include:

-   Assessment of the magnitude of SA and HIV in the catchment area;

-   Assessment of risk and protective factors associated with SA and HIV
    in the catchment area;

-   Assessment of the number of individuals at risk for HIV due to
    substance abuse;

-   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 populations of greatest need
    to implement the SPF and specification of baseline data.

> In order to complete the community needs assessment, grantees must
> form and manage a workgroup with key stakeholders or work with an
> existing epidemiological workgroup. The needs assessment should be
> broad enough to encompass the entire specified catchment area for the
> proposed project. If the grantee is already engaged in a needs
> assessment effort, they should work with a local or State
> epidemiological workgroup (i.e., SAMHSA's SPF State Incentive Grant
> Epidemiological Workgroup) to enhance and supplement the current
> process and its findings. SAMHSA expects that these data collection
> efforts will support on-going monitoring and evaluation throughout the
> five-year project period, as described in Step 5 (below). Again,
> applicants are required to target [one]{.underline} of the following
> at-risk racial/ethnic minority subpopulation of greatest need in their
> catchment area: reentry populations (i.e., racial/ethnic minorities
> who have been released from prisons and jails within the past 2
> years); men having sex with men (MSM); Black, Latina or Hispanic
> women; adolescents (age 12-17); young adults (age 18-24); and older
> adults, age 50 and over in communities of color disproportionately
> affected by SA and HIV/AIDS.
>
> NOTE: Applicants who have completed a comprehensive community needs
> assessment within the last two years should submit a copy of their
> needs assessment on their target group in **Appendix 5** of their
> application. Successful applicants will be required to further conduct
> a needs assessment on their target group if documentation provided is
> deemed insufficient by SAMHSA. The SAMHSA Government Project Officer
> (GPO) will review and approve the needs assessment. Successful
> applicants with a needs assessment may be approved to carry out Steps
> 2-5 of the SPF.

2\. [Mobilize and/or build capacity to address SA and HIV prevention
needs]{.underline}:

> Involving the local community increases the likelihood that grantees
> develop and implement culturally appropriate SA/HIV/AIDS prevention
> strategies that the community accepts and that can effectively reach
> drug users and their sexual partners in their natural environments.
>
> It is important for grantees to develop and enhance local capacity and
> mobilize community resources in order to implement effective programs,
> practices, and strategies to prevent and reduce the onset of SA and
> HIV transmission among at-risk minority subpopulations. Grantees must,
> therefore, engage in activities that include but are not limited to:
> training community stakeholders and service providers; formalizing
> linkages to care through Memoranda of Understanding (MOUs); and
> leveraging resources for program and outcome sustainability. Grantees
> are required to demonstrate planning and coordination of services with
> a local or State epidemiological workgroup (identified through their
> Single State Agency). To ensure coordination and successful
> implementation of the Minority SA/HIV Prevention Initiative, grantees
> are also required to collaborate and coordinate with key stakeholders
> or representatives from State governmental agencies and community
> level programs, including those listed below, as applicable:

-   HIV Prevention Community Planning Groups funded by the Centers for
    Disease Control and Prevention, National Center for HIV/AIDS, STD,
    TB Prevention (NCHSTP);

-   Health Resources and Services Administration (HRSA) Ryan White
    Planning Councils;

-   Juvenile and adult criminal justice, correctional, parole systems
    and reentry programs;

-   National Immunization Program, and HIV/AIDS CDC funded projects;

-   American Indian/Alaska Native tribal councils, Tribal
    community-based organizations, Tribal governments, and Indian Health
    Service-funded programs; and

-   Support service programs for persons with HIV/AIDS and other
    infectious diseases.

**3. [Develop a comprehensive strategic plan]{.underline}:**

> Grantees are expected to develop a strategic plan resulting from the
> documented community needs assessment that articulates a vision for
> the Minority SA/HIV Prevention Initiative. Grantees must plan to
> provide culturally and age appropriate services to the
> [one]{.underline} at-risk racial/ethnic minority subpopulation of
> greatest need. The comprehensive strategic plan must be designed based
> on documented needs and include an identified evidence-based practice
> for the target group (refer to SAMHSA's *Guide to Evidence-Based
> Practices on the Web* at
> [www.samhsa.gov/ebpwebguide](http://www.samhsa.gov/ebpwebguide)),
> resources/strengths, set measurable objectives and include the
> performance measures and baseline data against which progress will be
> monitored. \[NOTE: It is anticipated that the required community needs
> assessment and the strategic plan will be finalized and approved
> within the first 6 months of the Minority HIV/SA Prevention Initiative
> project. A detailed strategic plan must be approved by the SAMHSA GPO
> prior to beginning implementation of services − Step 4 of the SPF.\]
>
> Grantees are expected to provide direct prevention services to their
> selected target subpopulation and may elect to implement environmental
> strategies with approval from their Project Officer. Planning should
> include the following considerations from the Principles of HIV
> Prevention in Drug-Using Populations developed by the National
> Institute on Drug Abuse (NIDA)
> (<http://www.drugabuse.gov/POHP/principles.html>):

-   HIV prevention services can most effectively reach drug-using
    populations when they are available in a variety of locations and at
    a range of operating times.

-   HIV prevention and treatment efforts should target drug users who
    already have the HIV infection, as well as their sex partners.

-   HIV prevention efforts must target not only individuals, but also
    couples, social networks, and the broader community of drug users
    and their sex partners.

-   HIV community-based outreach is an essential component of HIV/AIDS
    prevention and must be directed to drug users in their own
    neighborhoods.

-   HIV prevention interventions must be personalized for each person at
    risk. Drug users and their sex partners must be treated with
    dignity, respect and sensitivity to cultural, racial/ethnic, age,
    and gender-based characteristics.

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

    Grantees are expected to implement SA and HIV evidence-based
    practices (refer to SAMHSA's *Guide to Evidence-Based Practices on
    the Web* at
    [www.samhsa.gov/ebpwebguide](http://www.samhsa.gov/ebpwebguide)) to
    prevent and reduce the onset of substance abuse and HIV transmission
    in their local community with high prevalence of SA and HIV, as
    determined through the needs assessment. Key services supported by
    Minority SA/HIV Prevention Initiative cooperative agreement funds
    include:

    -   Outreach to identified racial/ethnic minority subpopulations at
        high risk of acquiring a SA disorder and HIV;

    -   Direct services to the selected target subpopulation. In
        addition, grantees may elect to implement environmental
        strategies.

    -   SA and HIV risk assessment, HIV screening and HIV testing
        (standard or rapid). Applicants that provide rapid HIV testing
        services must refer to Appendix J of this RFA to review SAMHSA's
        rapid HIV testing requirements and funding limitations for the
        purchase of rapid HIV testing kits, control kits, confirmatory
        kits, and/or confirmation laboratory services. Applicants that
        provide standard testing must adhere to their State HIV testing
        regulations;

    -   Pre/Post SA and HIV counseling \[NOTE: Applicants that provide
        rapid HIV testing must provide counseling [before]{.underline}
        the administration of the rapid HIV test, [during]{.underline}
        the waiting period for preliminary results and
        [after]{.underline} preliminary results have been provided.\];

    -   SA and HIV/AIDS education and prevention interventions for
        at-risk racial/ethnic minority subpopulations, their significant
        other(s), and family members;

    -   Referrals to appropriate counseling, medical treatment
        (including hepatitis treatment), and other supportive services
        for clients who are confirmed HIV positive;

    -   Referrals to effective counseling for persons who tested
        negative to decrease their risk of acquiring HIV and engaging in
        substance use and abuse.

**5. [Assess performance]{.underline}:**

> Grantees will be accountable for the results of their Minority SA/HIV
> Prevention Initiative project. Grantees are, therefore, expected to
> play a critical role in providing on-going monitoring and performance
> assessment of all Minority SA/HIV Prevention Initiative project
> activities. Through these efforts, grantees will assess program
> effectiveness, ensure service delivery quality, identify successes,
> encourage needed improvement, and promote sustainability of effective
> policies, programs, and practices. Grantees will be expected to
> provide performance data to SAMHSA and the Single State Agency SPF
> State Incentive Grant Epidemiological Workgroup (if available in their
> State) on a regular basis, as described below in Section 2.3, Data
> Collection and Performance Measurement. Grantees must be prepared to
> adjust their implementation plans based on the results of their
> performance assessment activities.
>
> In addition, SAMHSA strongly encourages grantees to submit data and
> performance assessment results, when completed, to SAMHSA\'s National
> Registry of Evidence-based Programs and Practices (NREPP) for review
> and rating of scientific rigor.

2.  **Data Supporting Target Racial/Ethnic Minority Subpopulations**

As discussed in the Introduction section, applicants must choose
[one]{.underline} of the following racial/ethnic minority subpopulations
that they propose to target in their catchment area.

1.  **Reentry Populations (i.e., racial/ethnic minorities who have been
    released from prisons and jails within the past 2 years).** Since
    1999, approximately 600,000 individuals per year are released from
    State and Federal prisons back into the community, and an estimated
    33 percent of these individuals have drug abuse problems^3^, HIV and
    other infectious diseases, and other medical and mental health
    disorders. At the end of 2003, an estimated 774,588 adults in the
    United States were released on parole. Out of those parolees, 13
    percent and 41 percent were women and Blacks, respectively, which
    the CDC has indicated as groups at highest risk for HIV transmission
    since the beginning of the epidemic. People who had committed
    drug-related offenses accounted for 40 percent of those released on
    parole^4^. Data indicate that upon release, few have connections in
    the community to help them access local substance abuse and HIV/AIDS
    prevention and treatment programs.

2.  **Men having Sex with Men (MSM).** According to the CDC,
    approximately half of the HIV/AIDS cases among non-Hispanic Black
    and Hispanic males reported by 33 States using name-based HIV
    surveillance during 2001-2005 were among men who have sex with men.

> In the year 2003, 17,969 AIDS cases in MSM were diagnosed, compared
> with 6,353 cases in men who acquired their infection through injection
> drug use, 5,133 through sex with women, and 1,877 through having sex
> with men and injecting drugs. CDC data from the 2004 National HIV
> Behavioral Surveillance (NHBS) system show across five US cities that
> many HIV-infected MSM were younger, Black, and unaware of their
> infection^5^.

3.  **Black, Latina or Hispanic Women.** The CDC reported that Hispanics
    and Blacks in the United States are disproportionately affected by
    HIV infection and AIDS. In 2005, Hispanics accounted for 14.4
    percent of the U.S. population of which 18.9 percent received an
    AIDS diagnosis^6,7^. According to the 2000 census, Blacks make up
    approximately 13 percent of the US population. However, in 2005,
    Blacks accounted for 18,121 (49 percent) of the estimated 37,331 new
    HIV/AIDS diagnoses in the United States across 33 states with
    long-term, confidential name-based HIV reporting^8^.

> Moreover, the epidemic has increased most dramatically among Black,
> Latina and Hispanic women. In 2004, they represented an estimated 50
> percent of persons newly diagnosed with HIV/AIDS^9^. To date, Black
> and Hispanic women together represent about one fourth of all US
> women, but they account for more than 75 percent of estimated AIDS
> cases diagnosed among US women^9,10^. The most common exposures in
> both groups were reported as high-risk heterosexual contact and
> injection drug use^7,8^.

### 

4.  **Adolescents (age 12-17) and**

5.  **Young Adults (age 18-24)**

> Teens today are engaging in substance abuse at younger ages. Data
> reveal that younger African American teens (8th grade) are using
> marijuana as much as their white counterparts: 13 percent of African
> Americans as compared to 14.5 percent of white teens reported having
> used marijuana in the past year^11^. Adolescents and young adults who
> use marijuana weekly have double the risk of depression later in
> life^12,\ 13^. Moreover, an estimated 9,789 young people (aged 15--24
> years) with AIDS have died since the beginning of the epidemic through
> 2003^9^. Fortunately, from 1989 through 2003, deaths from AIDS have
> declined in this age group^7^. However, challenges still persist in
> addressing disparities in preventing substance abuse and
> primary/secondary transmission of HIV, treatment, and social and
> medical needs of at-risk young persons and those living with HIV/AIDS.

6.  **Older Adults (age 50 and over).** The 2000 NHSDUH indicated that
    an estimated 568,000 adults aged 55 or older, or 1 percent of all
    older adults in the United States, had used illicit drugs in the
    past month^15^. The illicit drugs most commonly used by older adults
    were psychotherapeutics (an estimated 300,000 past month users) and
    marijuana (an estimated 221,000 past month users). The rate of past
    month illicit drug use was highest for those aged 55 to 59, and
    rates declined dramatically with increasing age. The number of new
    AIDS cases among persons 50 and over today has risen twice as fast
    as compared to persons aged 13-49^16^. Other reports have indicated
    that approximately 75,270 people older than age 50 years have been
    diagnosed with AIDS in the United States and account for 11 percent
    of the cases of AIDS^18^. The mortality among older individuals who
    contract HIV is extremely high, with 37 percent of those over the
    age of 80 years dying within 1 month of diagnosis^19^.

> Older individuals particularly at risk for HIV, AIDS, or STDs are
> those who have had unprotected sex, shared needles when using drugs,
> received blood transfusions prior to 1986, or are men who engage in
> homosexual activities.
>
> Despite the fact that older adults engage in risky behaviors that put
> them at risk for HIV transmission, they are less likely to perceive
> themselves as "at-risk" and less likely to adopt safer behaviors.
> Several reasons have been identified as to why older individuals do
> not protect themselves against exposure to HIV or other STDs
> including^17^:

-   Most women are past menopause and do not fear getting pregnant.

-   While the safe sex battles of the 1980s were raging, many of
    today\'s seniors were settled in marriages and perceive STD as
    "something that happened to somebody else\".

-   Women outnumber their male counterparts, resulting in men having
    many partners from which to choose. Women are, therefore, willing to
    remain unprotected based on male preference.

-   Older adults grew up at a time when men made many decisions in most
    relationships, and if the male does not want to use "protection",
    then it is not used.

> The rise of HIV transmission is on the rise among older adults. Those
> with HIV are more likely to be diagnosed late in the disease,
> experience progression more quickly, and survive for a shorter period
> than their younger counterparts. Additionally, comorbidities (SA and
> HIV) are frequent in older adults with HIV infection and can
> complicate the disease process and management.

2.  **Data Collection and Performance Measurement**

All SAMHSA grantees are required to collect and report certain data so
that SAMHSA can meet its obligations under the Government Performance
and Results Act (GPRA).  You must document your ability to collect and
report the required data in "Section D: Performance Assessment and Data"
of your application.  This information will be gathered using the CSAP
Services Accountability Monitoring System (CSAMS), which can be found at
<https://www.csapdccc-csams.samhsa.gov/tools/publictools.aspx?sp=5>,
along with instructions for completing it.  Hard copies are available in
the application kits available by calling the SAMHSA Information Line at
1-877-SAMHSA7 \[TDD: 1-800-487-4889\].  Data will be collected at
baseline, at exit and at 6 months post exit. The collection of these
data will enable CSAP to report on the following National Outcome
Measures (NOMs), which have been defined by SAMHSA as key priority areas
relating to substance abuse:

+---+----------------+----------------+-------------------------------+
| * |                | **National     | **Substance Abuse Prevention  |
| * |                | Outcomes**     | Measures**                    |
| D |                |                |                               |
| o |                |                |                               |
| m |                |                |                               |
| a |                |                |                               |
| i |                |                |                               |
| n |                |                |                               |
| * |                |                |                               |
| * |                |                |                               |
+===+================+================+===============================+
| I | Reduced        | Abstinence     | 30-day substance use          |
| . | Morbidity      | from drug      | (non-use/reduction in use)    |
|   |                | use/alcohol    |                               |
|   |                | abuse          |                               |
+---+----------------+----------------+-------------------------------+
|   |                |                | Perceived risk/harm of use    |
+---+----------------+----------------+-------------------------------+
|   |                |                | Age of first use              |
+---+----------------+----------------+-------------------------------+
|   |                |                | Perception of                 |
|   |                |                | disapproval/attitude          |
+---+----------------+----------------+-------------------------------+
| I | Employ         | Incr           | Perception of workplace       |
| I | ment/Education | eased/Retained | policy; ATOD-related          |
| . |                | Employment or  | suspensions and expulsions;   |
|   |                | Return to/Stay | attendance and enrollment     |
|   |                | in School      |                               |
+---+----------------+----------------+-------------------------------+
| I | Crime and      | Decreased      | Alcohol-related car crashes   |
| I | Criminal       | Criminal       | and injuries; alcohol and     |
| I | Justice        | Justice        | drug-related crime            |
| . |                | Involvement    |                               |
|   |                |                |                               |
+---+----------------+----------------+-------------------------------+
| I | Social         | Increased      | Family communication around   |
| V | Connectedness  | Social         | drug use                      |
| . |                | S              |                               |
|   |                | upports/Social |                               |
|   |                | Connectedness  |                               |
+---+----------------+----------------+-------------------------------+
| V | A              | Increased      | Number of persons served by   |
| . | ccess/Capacity | Access to      | age, gender, race and         |
|   |                | Services       | ethnicity                     |
|   |                | (Service       |                               |
|   |                | Capacity)      |                               |
+---+----------------+----------------+-------------------------------+
| V | Retention      | Increased      | Total number of               |
| I |                | Retention in   | evidence-based programs and   |
| . |                | Treatment      | strategies; percentage youth  |
|   |                |                | seeing, reading, watching, or |
|   |                |                | listening to a prevention     |
|   |                |                | message                       |
+---+----------------+----------------+-------------------------------+
| V | Cost           | Cost           | Services provided within Cost |
| I | Effectiveness  | Effectiveness  | Bands**\***                   |
| I |                | (Average Cost) |                               |
| . |                |                |                               |
|   |                |                |                               |
+---+----------------+----------------+-------------------------------+
| V | Use of         | Use of         | Total number of               |
| I | Evidence Based | Evidence Based | evidence-based programs and   |
| I | Practices      | Practices      | strategies                    |
| I |                |                |                               |
| . |                |                |                               |
|   |                |                |                               |
+---+----------------+----------------+-------------------------------+

> \*Grantees are required to collect data on cost band measures during
> the project period.

Grantees will also be expected to report on additional HIV-specific
measures which are pending OMB approval.

In addition to these measures, grantees will be expected to collect and
submit testing and counseling data for all participants receiving
services provided with grant funds. These data include, but are not
limited to: rapid and confirmatory test results; past HIV test results;
reason for referral; risky behaviors; and referrals. The data will be
reported using the standard GPRA data collection tool and entered
through CSAMs.

Grantees who are conducting environmental strategies will be required to
use the SAMHSA Community NOMs instrument and report their data on at
least an annual basis.

Performance data will be reported to the public, the Office of
Management and Budget (OMB) and Congress as part of SAMHSA's budget
request.

 

######## **Performance Assessment**

Grantees must assess their projects, addressing the performance measures
described in Section I-2.3. The assessment should be designed to help
you determine whether you are achieving the goals, objectives and
outcomes you intend to achieve and whether adjustments need to be made
to your project based on the results of the community needs assessment,
on-going work of key stakeholders, the development of the comprehensive
strategic plan, and GPO feedback on progress.

In addition to assessing progress against the performance measures
required for this program, your performance assessment must also
consider outcome and process questions, such as the following, that
measure change related to project goals and objectives over time and
compared with baseline data.

*Outcome Questions:*

-   What program/contextual factors were associated with outcomes?

-   What individual factors were associated with outcomes?

-   How durable were the effects?

*Process Questions*:

-   How closely did implementation match the plan?

-   What types of deviation from the plan occurred?

-   What led to the deviations?

-   What effect did the deviations have on the planned intervention and
    performance assessment?

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

In addition to conducting a site-specific performance assessment,
grantees must participate in multi-site performance activities conducted
by CSAP. The multi-site evaluation may include the use of common data
collection instruments and routine data reporting procedures. Applicants
must explicitly state their willingness to participate in the multi-site
evaluation in Section D, Performance Assessment and Data, of their
applications, including their willingness to provide required forms,
data and reports related to the multi-site evaluation.

**No more than 20% of the total grant award may be used for data
collection, performance measurement, and performance assessment, e.g.,
activities required in Sections I-2.3 and 2.4 above.**

######## **Grantee Meetings**

Grantees must budget to send a minimum of two people (including the
Program Director or Principal Investigator and Evaluator) to attend a
minimum of three (3) [mandatory]{.underline} meetings each year of the
project. Meetings are usually held in the Washington, D.C., metropolitan
area. At these meetings, grantees will present their projects, network
with other grantees, and receive extensive technical assistance from
Federal staff and contractors.

# AWARD INFORMATION

**Funding Mechanism:** Cooperative Agreement

**Anticipated Total Available Funding:** \$17.89 million

**Estimated Number of Awards:** 46

**Estimated Award Amount:** Up to \$400,000 per year

**Length of Project Period:** Up to 5 years

**Proposed budgets cannot exceed \$400,000 in total costs (direct and
indirect) 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, timely submission of required data
and reports, and compliance with all terms and conditions of award.

**Cooperative Agreement**

These awards are being made as cooperative agreements because they
require substantial post-award Federal programmatic participation in the
conduct of the project. Under this cooperative agreement, the roles and
responsibilities of grantees and SAMHSA staff are:

[Role of Grantee:]{.underline}

Grantees must comply with the terms of the Minority SA/HIV Prevention
Initiative including implementation of all required SPF activities
described in Section I-2, Expectations, of this RFA. Grantees must agree
to provide SAMHSA with all required performance data, collaborate with
SAMHSA/CSAP staff in all aspects of the Minority SA/HIV Prevention
Initiative, and participate in the multi-site evaluation (including
submission of all required forms, data and reports).

[Role of Federal Staff:]{.underline}

The design of this program necessitates participation of the Government
Project Officer (GPO) in two key aspects of the cooperative agreement
projects: 1) review and approval of the needs assessment to ensure that
the grant activities will be directed to those areas with the greatest
need for substance abuse and HIV prevention; and 2) review and approval
of the strategic plan to ensure that the identified evidence-based SA
and HIV practice or program is appropriate for the target population.
The GPO also will provide on-going monitoring and technical assistance
and coordinate the collection and data analysis of GPRA and other
performance measurement requirements.

[Role of the Grants Management Officer:]{.underline}

The Grants Management Officer (GMO) is responsible for all business
management aspects of grant negotiation, award, financial and
administrative aspects of this cooperative agreement.  The GMO will
utilize information from site visits, reviews of expenditure and audit
reports, and other appropriate means to assure that the project is
operated in compliance with all applicable Federal laws, regulations,
guidelines, grant eligibility requirements and terms and conditions of
award.  Questions concerning the applicability of regulations and
policies of this grant program, and all required prior approvals such
as, requests for permission to expend funds for certain items should be
directed to the GMO (see Section VII for the GMO's contact
information).  The GMO is the only person who may grant such required
approvals.  All changes in the terms of the award must be in writing by
the GMO.

# ELIGIBILITY INFORMATION

## ELIGIBLE APPLICANTS

# Eligible applicants are community-level domestic public and private nonprofit entities. For example, non-profit community-based organizations, faith-based organizations, colleges and universities, health care delivery organizations, local governments, tribal governments, tribal organizations and tribal urban Indian entities are eligible to apply. Since the purpose of this RFA is to expand the capacity of community-level domestic public and private non-profit entities, State government agencies and national organizations are [not]{.underline} eligible to apply. {#eligible-applicants-are-community-level-domestic-public-and-private-nonprofit-entities.-for-example-non-profit-community-based-organizations-faith-based-organizations-colleges-and-universities-health-care-delivery-organizations-local-governments-tribal-governments-tribal-organizations-and-tribal-urban-indian-entities-are-eligible-to-apply.-since-the-purpose-of-this-rfa-is-to-expand-the-capacity-of-community-level-domestic-public-and-private-non-profit-entities-state-government-agencies-and-national-organizations-are-not-eligible-to-apply. .unnumbered}

**Eligibility is limited to applicants from geographic areas with high
AIDS case rates.** Eligible applicants must be located in and proposing
to provide services in a State, MSA, the Virgin Islands, Puerto Rico, or
the District of Columbia with an annual AIDs case rate of 10 or greater
per 100,000 population.

See Appendix I of this document for States and MSAs that meet the above
criteria based on data from the Centers for Disease Control and
Prevention (CDC). **Only applicants serving geographic areas listed in
Appendix I may apply.** Applicants must specify in **Appendix 6** of
their application the geographic area where services will be provided.

The eligibility criteria above were based on the most recent AIDS data
(2005) among racial/ethnic minority populations provided by CDC. SAMHSA
is limiting eligibility to applicants listed in Appendix I because, in
the absence of consistent data reporting by all jurisdictions, the best
indicator of the magnitude of the epidemic is AIDS case rates derived
from the CDC HIV/AIDS surveillance reports.

> **Instructions for Current Grantees under SAMHSA's RFA No.
> SP-05-001:**
>
> Current grantees under SAMHSA's RFA \# SP-05-001 (*Substance Abuse
> (SA), HIV, & Hepatitis Prevention for Minority Reentry Populations in
> Communities of Color*) may apply, but are [required]{.underline} to:

-   serve one of the target subpopulations listed above in Section
    I-2.2, Data Supporting of Target Racial/Ethnic Minority
    Subpopulations.  You may serve the same target subpopulation (as
    long as it is one chosen from the list) that you are currently
    serving under RFA \# SP-05-001 in a different catchment area
    [or]{.underline} serve a different subpopulation (chosen from the
    list) in the same catchment area under RFA \# SP-05-001. Your
    catchment area must be within an eligible geographic area listed in
    Appendix I of this RFA.

-   describe your target populations, demographics, and catchment areas
    currently being served under RFA \# SP-05-001. This information must
    be provided on the form provided in Appendix K of this RFA, and the
    completed form must be provided in **Appendix 6** of your
    application.

> **Applications from grantees funded under RFA \# SP-05-001 that are
> found out of compliance with these requirements will be screened out
> and returned without review.**

## COST SHARING and MATCH REQUIREMENTS

Cost sharing/match are not required in this program

## OTHER

1.  **Additional Eligibility Requirements**

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

2.  **Evidence of Experience and Credentials**

> SAMHSA believes that only existing, experienced, and appropriately
> credentialed organizations with demonstrated infrastructure and
> expertise will be able to provide required services quickly and
> effectively. You must meet three additional requirements related to
> the provision of services.
>
> The three requirements are:

-   A provider organization for direct substance abuse and HIV
    prevention services appropriate to the grant must be involved in the
    proposed project. The provider may be the applicant or another
    organization committed to the project. More than one provider
    organization may be involved;

-   Each direct service provider organization must have at least 2 years
    experience (as of the due date of the application) providing
    relevant prevention services; and

-   Each direct service provider organization must comply with all
    applicable local (city, county) and State/tribal licensing,
    accreditation, and certification requirements, as of the due date of
    the application.

\[NOTE: The above requirements apply to all service provider
organizations. A license from an individual clinician will not be
accepted in lieu of a provider organization's license.\]

In **Appendix 7** of your application, you must: (1) identify at least
one provider of direct substance abuse prevention services; (2) include
a list of all direct service provider organizations that have agreed to
participate in the proposed project, including the type of service each
provides; and (3) include the Statement of Assurance (provided in
Appendix C of this announcement), signed by the authorized
representative of the applicant organization identified on the face-page
(SF 424 v2) of the application, attesting that all participating service
provider organizations:

-   meet the 2-year experience requirement;

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-   meet applicable licensing, accreditation, and certification
    requirements; and

-   if the application is within the funding range for grant award, the
    applicant will provide the Government Project Officer (GPO) with the
    required documentation within the time specified.

In addition, if, following application review, your application's score
is within the funding range, the GPO will call you and request that the
following documentation be sent by overnight mail:

-   a letter of commitment that specifies the nature of the
    participation and what service(s) will be provided from every
    service provider organization that has agreed to participate in the
    project;

-   official documentation that all participating organizations have
    been providing relevant prevention services for a minimum of 2 years
    before the date of the application; and

-   official documentation that all participating service provider
    organizations comply with all applicable local (city, county) and
    State/tribal requirements for licensing, accreditation, and
    certification or official documentation from the appropriate agency
    of the applicable State/tribal, county, or other governmental unit
    that licensing, accreditation, and certification requirements do not
    exist.

If the GPO does not receive this documentation within the time
specified, the application will not be considered for an award.

# APPLICATION AND SUBMISSION INFORMATION 

## ADDRESS TO REQUEST APPLICATION PACKAGE 

You may request a complete application kit from the SAMHSA Information
Line at 1-877-SAMHSA7 \[TDD: 1-800-487-4889\].

You also may download the required documents from the SAMHSA Web site at
[www.samhsa.gov/grants/apply.aspx](http://www.samhsa.gov/grants/apply.aspx)

Additional materials available on this Web site include:

-   Frequently Asked Questions for the Minority SA/HIV Prevention
    Initiative;

-   A grant writing 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

-   A list of certifications and assurances referenced in item 21 of the
    SF 424 v2.

## CONTENT AND FORM OF APPLICATION SUBMISSION

1.  **Application Kit**

SAMHSA application kits include the following documents:

-   PHS 5161-1 (revised July 2000) -- Includes the face page (SF 424
    v2), 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.**

-   Request for Applications (RFA) -- Provides a description of the
    program, specific information about the availability of funds, and
    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.

1.  **Required Application Components**

Applications 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 --** SF 424 v2 is the face page. This form 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. It should include the project name, population to be served
    (demographics and clinical characteristics),
    strategies/interventions, project goals and measurable objectives,
    including the number of people to be served annually and throughout
    the lifetime of the project, etc. 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 PHS 5161-1.
    Fill out Sections B, C, and E of the SF 424A. A sample budget and
    justification is included in Appendix H of this document.

-   **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 30 pages.
    (Remember that if your Project Narrative starts on page 5 and ends
    on page 35, it is 31 pages long, not 30 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."
    Supporting documentation should be submitted in black and white (no
    color).

####### Appendices 1 through 7 -- 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, 3, 4, 6 and 7 combined. There are no page limitations for Appendices 2 and 5. Do not use appendices to extend or replace any of the sections of the Project Narrative. Reviewers will not consider them if you do. Pease label the appendices as: Appendix 1, Appendix 2, etc.

-   *Appendix 1*: Memoranda of Understanding/letters of
    commitment/support from service provider organizations that have
    agreed to participate in the Minority SA/HIV Prevention Initiative
    project in your proposed catchment area. Applicants must also submit
    MOUs with hepatitis treatment providers.

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

-   *Appendix 3*: Sample Consent Forms

-   *Appendix 4*: Letter to the Single State Agency (SSA) (if
    applicable; see Section IV-4 of this document)

-   *Appendix 5*: A copy of an existing community-wide (i.e., town,
    city, county) needs assessment

-   *Appendix 6*: Only current grantees under SAMHSA's SP-05-001 must
    include the completed form in Appendix K of this RFA as **Appendix
    6** of the application. If you are a current SP-05-001 grantee and
    you do not include the form provided in Appendix K of this RFA as
    **Appendix 6** of your application, your application will be
    returned without begin reviewed. All other applicants must specify
    the geographical area where activities are proposed in **Appendix
    6** of their applications.

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-   *Appendix 7*: Credentialing

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-   Identification of at least one provider of direct substance abuse
    prevention services;

-   A list of all direct service provider organizations that have agreed
    to participate in the proposed project, including type of services
    each one provides;

-   Statement of Assurance (provided in Appendix C of this
    announcement), signed by the authorized representative of the
    applicant organization identified on the face-page of the
    application, that assures SAMHSA: 1) that all listed providers meet
    the 2-year experience requirement and meet applicable licensing,
    accreditation, certification requirements; and 2) that if the
    application is within the funding range for an award, the applicant
    will send the GPO the required documentation within the time
    specified.

    -   **Assurances** -- Non-Construction Programs. You must read the
        list of assurances provided on the SAMHSA Web site or in the
        application kit before signing the face page (SF 424 v2) of the
        application. 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.

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```
-   **Certifications** -- You must read the list of certifications
    provided on the SAMHSA Web site or in the application kit before
    signing the face page (SF 424 v2) of the application.

-   **Disclosure of Lobbying Activities** -- You must submit 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. If no lobbying is to be disclosed, mark
    N/A on the form.

-   **Checklist** -- Use the Checklist found in PHS 5161-1. The
    Checklist ensures that you have obtained the proper signatures,
    assurances and certifications. If you are submitting a paper
    application, the Checklist should be the last page.

2.3 Application Formatting Requirements

**Please refer to Appendix A, *Checklist for Formatting Requirements and
Screenout Criteria for SAMHSA Grant Applications*, for SAMHSA's basic
application formatting requirements. Applications that do not comply
with these requirements will be screened out and will not be reviewed.**

## SUBMISSION DATES AND TIMES 

Applications are due by close of business on **April 1, 2008**. Hard
copy applications are due by 5:00 PM (EST). Electronic applications are
due by 11:59 PM (EST). **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).**

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

**Your application must be received by the application deadline or it
will not be considered for review.** Please remember that mail sent to
Federal facilities undergoes a security screening prior to delivery. You
are responsible for ensuring that you submit your application so that it
will arrive by the application due date and time.

If an application is mailed to a location or office (including room
number) that is not designated for receipt of the application and, as a
result, the designated office does not receive your application by the
deadline, your application will be considered late and ineligible for
review.

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

SAMHSA accepts electronic submission of applications through
[www.Grants.gov](http://www.Grants.gov/). Please refer to Appendix B for
"Guidance for Electronic Submission of Applications."

## INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS

This grant program is covered under Executive Order (EO) 12372, as
implemented through Department of Health and Human Services (DHHS)
regulation at 45 CFR Part 100. Under this Order, States may design their
own processes for reviewing and commenting on proposed Federal
assistance under covered programs. Certain jurisdictions have elected to
participate in the EO process and have established State Single Points
of Contact (SPOCs). A current listing of 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. You **do not** need to do this if you are an American
    Indian/Alaska Native tribe or tribal organization.

    -   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-08-001**. Change the zip code
        to **20850** if you are using another delivery service.

In addition, if you are a community-based, non-governmental service
provider and you are not transmitting your application through the
State, you must submit a Public Health System Impact Statement
(PHSIS)[^1] to the head(s) of appropriate State, county and local health
agencies in the area(s) to be affected no later than the application
deadline. The PHSIS is intended to keep State, county and local health
officials informed of proposed health services grant applications
submitted by community-based, non-governmental organizations within
their jurisdictions. If you are a [State, county or local government or
American Indian/Alaska Native tribe or tribal organization, you are not
subject to these requirements]{.underline}.

The PHSIS consists of the following information:

-   a copy of the face page of the application (SF 424 v2); and

-   a summary of the project, no longer than one page in length, that
    provides: 1) a description of the population to be served; 2) a
    summary of the services to be provided; and 3) a description of the
    coordination planned with appropriate State or local health
    agencies.

For SAMHSA grants, the appropriate State agencies are the Single State
Agencies (SSAs) for substance abuse and mental health. A listing of the
SSAs can be found on SAMHSA's Web site at
[www.samhsa.gov](http://www.samhsa.gov/). If the proposed project falls
within the jurisdiction of more than one State, you should notify all
representative SSAs.

If applicable, you [must]{.underline} include a copy of a letter
transmitting the PHSIS to the SSA in **Appendix 4, "Letter to the
SSA**." The letter must notify the State that, if it wishes to comment
on the proposal, its comments should be sent not later than 60 days
after the application deadline 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**. ATTN: SSA -- Funding Announcement No. **SP-08-001**. Change
the zip code to **20850** if you are using another delivery service.

In addition:

-   Applicants may request that the SSA send them a copy of any State
    comments.

-   The applicant must notify the SSA within 30 days of receipt of an
    award.

## 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
[www.samhsa.gov/grants/management.aspx](http://www.samhsa.gov/grants/management.aspx):

-   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 Minority SA/HIV Initiative cooperative agreement
recipients must comply with the following funding restrictions:

-   No more than 20% of the total grant award may be used for data
    collection and performance assessment, including incentives for
    participating in the required data collection follow-up.

**SAMHSA grantees must also comply with SAMHSA's standard funding
restrictions, which are included in** **Appendix G of this RFA**.

## OTHER SUBMISSION REQUIREMENTS

You may submit your application in either electronic or paper format:

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

SAMHSA accepts electronic submission of applications through
[www.Grants.gov](http://www.Grants.gov/). 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](http://www.Grants.gov/) apply site. You will be able to
download a copy of the application package from
[www.Grants.gov](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.

**Please refer to Appendix B for detailed instructions on submitting
your application electronically.**

**[Submission of Paper Applications]{.underline}**

You must submit an original application and 2 copies (including
appendices). The original and copies must not be bound. Do not use
staples, paper clips, or fasteners. Nothing should be attached, stapled,
folded, or pasted.

Send applications to the address below:

**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**

Change the zip code to **20850** if you are using another delivery
service.

Do not send applications to other agency contacts, as this could delay
receipt. Be sure to include "**Minority** **SA/HIV Prevention Initiative
-- SP-08-001**" in item number 12 on the face page (SF 424 v2) of any
paper applications. If you require a phone number for delivery, you may
use (240) 276-1199.

**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.**

# APPLICATION REVIEW INFORMATION

##  {#section-1 .unnumbered}

## EVALUATION CRITERIA

The Project Narrative describes what you intend to do with your project
and includes the Evaluation Criteria in Sections A-D below. Your
application will be reviewed and scored according to the
[quality]{.underline} of your response to the requirements in Sections
A-D.

-   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
    30 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, and will consider how well
    you address the cultural competence aspects of the evaluation
    criteria when scoring your application. 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/Applying
    for a New SAMHSA Grant/Guidelines for Assessing Cultural
    Competence."

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-   The Supporting Documentation you provide in Sections E-H and
    Appendices 1-7 will be considered by reviewers in assessing your
    response, along with the material in the Project Narrative.

-   The number of points after each heading is the maximum number of
    points a review committee may assign to that section of your Project
    Narrative. Although scoring weights are not assigned to individual
    bullets, applicants are encouraged to respond to each bulleted
    statement.

**Section A: Statement of Need (15 points)**

-   **Documentation of AIDS Case Rate in Target Area/Population --
    Applicants must document that the AIDS case rate in the city/county
    where services will be provided meet the eligibility requirements in
    Section III, Eligibility Information, of this RFA.** Specifically,
    applicants must:

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-   Identify the geographic area where services will be provided, the
    city or county in which that area is located, and document the AIDS
    case rate in that city/county, using data from the CDC, city/county
    public health department/agency or other reliable source. \[NOTE:
    Applicants from geographic areas listed in Appendix I may use the
    rate for minority populations listed in Appendix I.\]

-   Identify which [one]{.underline} of the following racial/ethnic
    minority subpopulations you will target within your geographic
    service area:

    \- Reentry populations (i.e., racial/ethnic minorities who have

    been released from prisons and jails within the past 2 years);

    \- Men having sex with men (MSM);

    \- Black, Latina or Hispanic women;

    \- Adolescents (age 12-17);

    \- Young adults (age 18-24); or

    \- Older adults (age 50 and over).

-   Document the AIDS case rate for the target racial/ethnic
    subpopulation, if the data are available. (If the data are not
    available, state that fact in the application.)

    \[NOTE: If neither city/county data are available, applicants may
    use data from the closest equivalent for which data are available.
    In some instances, this may be the State. Rural applicants may
    combine data from multiple counties in order to build a large enough
    population to document an AIDS case rate.\]

> **For Current Grantees under SAMHSA's RFA No. SP-05-001 only**:
>
> Current grantees funded under RFA \# SP-05-001 (*Substance Abuse (SA),
> HIV, & Hepatitis Prevention for Minority Reentry Populations in
> Communities of Color*) may apply, but are [required]{.underline} to:
>
> Serve [one]{.underline} of the target subpopulations listed above. 
> You may serve the same target subpopulation that you are currently
> serving under RFA \# SP-05-001 in a different catchment area (as long
> as it is one from the above list) [or]{.underline} serve a different
> subpopulation (chosen from the above list) in the same catchment
> area under RFA \# SP-05-001.
>
> You must describe your target populations, demographics, and catchment
> areas currently being served under RFA \# SP-05-001. Please provide
> this information on the form provided in Appendix K of this RFA and
> submit it as **Appendix 6** of your application.
>
> **Applications from grantees funded under RFA \# SP-05-001 that are
> found out of compliance with these requirements will be screened out
> and returned without review.**

-   **Documentation of Other Factors Contributing to Need in the Target
    Area/Subpopulation -- In this section of the Project Narrative,
    applicants must document that there are other factors (aside from a
    high AIDS case rate) that create a compelling need for substance
    abuse (SA) and HIV prevention services in the target
    area/subpopulation**. **Specifically, applicants must discuss and
    (where appropriate) provide data to document other major factors
    contributing to need in the target area/subpopulation. These factors
    may include current service gaps/barriers, gaps in funding for
    services, and demographic trends suggesting a growing risk of
    HIV/AIDS in the target area/subpopulation. These factors may also
    include related health/social problems in the target area and
    experienced by the target racial/ethnic minority subpopulation,
    including substance abuse rates (especially rates of injection drug
    use), homelessness, criminal activity, etc. Finally, these factors
    may include community, cultural or social norms, values and beliefs
    in the target area/target racial/ethnic subpopulation that may
    influence HIV risk and protective behaviors and, therefore, limit
    the effectiveness of HIV/AIDS and substance abuse prevention. All
    applicants [must]{.underline} specifically discuss the needs of
    [one]{.underline} subpopulation within the target area.**

> \[NOTE: All grantees will be required to complete a comprehensive
> community needs assessment reflecting the selected subpopulation after
> award. This section of the Project Narrative does not constitute a
> comprehensive community needs assessment. However, applicants who have
> recently completed a comprehensive community needs assessment should
> submit a copy of it in **Appendix 5** of their application. Successful
> applicants with an approved needs assessment focused on one of
> SAMHSA's racial/ethnic minority subpopulations may be able to receive
> up to five years of funding to carry out Steps 2-5 of the SPF.
> Successful applicants lacking an assessment of SA and HIV prevention
> service needs for their target racial/ethnic minority subpopulation,
> will be required to begin at Step 1 of the SPF to conduct an in depth
> assessment.\]

**Section B: Proposed Implementation Approach (45 points)**

-   Clearly state the purpose of the proposed project, including goals
    and objectives. Describe how implementation of selected
    evidence-based interventions (direct services and environmental
    strategies) will lead to achieving the goals and objectives, and how
    this will increase capacity to address SA and HIV prevention in
    communities reporting high SA and HIV/AIDS rates among your target
    racial/ethnic minority subpopulation. \[NOTE: Applicants are
    strongly encouraged to refer to SAMHSA's *Guide to Evidence-Based
    Practices on the Web* at
    [www.samhsa.gov/ebpwebguide](http://www.samhsa.gov/ebpwebguide) to
    select an appropriate intervention for their target subpopulation.\]

-   Clearly state the unduplicated number of individuals you propose to
    serve annually and over the entire project period.

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-   Discuss your plans for implementing each step of SAMHSA's Strategic
    Prevention Framework (SPF) in the proposed Minority SA/HIV
    Prevention Initiative project.

-   Provide a logic model that demonstrates the linkage between the
    identified need, the proposed approach, and outcomes. \[NOTE:
    Appendix D of this RFA contains a sample logic model or you may
    submit a similar model of your own design. Appendix E provides logic
    model resources.\]

-   Describe plans for forming and mobilizing a workgroup of key
    stakeholders that also includes, but is not limited to,
    representatives from the list of planning groups and programs (see
    Section I-2.1.1 - Step 2). Include a description of their roles and
    functions, and frequency of meetings. Demonstrate key stakeholders'
    commitment to the project by including in **Appendix 1** of your
    application, letters of commitment, coordination, and support. These
    letters from key stakeholders must describe commitment to providing
    referral sources and linkages to care.

-   Provide an outreach strategy to identify and provide services to the
    target racial/ethnic minority subpopulation for HIV transmission
    resulting from substance abuse.

-   Describe plans to implement culturally appropriate policies,
    programs and practices related to the proposed project. Describe how
    activities will improve SA and HIV prevention services in the
    proposed catchment area.

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

-   Describe your plan to continue the project after the funding period
    ends. Also describe how program continuity will be maintained when
    there is a change in the operational environment (e.g., staff
    turnover, change in project leadership) to ensure stability over
    time.

-   Describe how members of your target racial/ethnic minority
    subpopulation were involved in the preparation of the application,
    and how they will be involved in all the SPF steps of the project.

    **Section C: Staff and Organizational Experience (20 points)**

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-   Discuss the capability and experience of the applicant organization
    and other participating organizations with similar projects and
    subpopulations. Demonstrate that the applicant organization and
    other participating organizations have linkages to the target
    racial/ethnic subpopulation and ties to grassroots/community-based
    organizations that are rooted in the culture and language of the
    target racial/ethnic subpopulation.

-   Provide a complete list of staff positions for the project, showing
    the role of each and their level of effort and qualifications.
    Include the Project Director and other key personnel, such as
    treatment/prevention personnel.

-   Discuss how key staff have demonstrated experience in serving the
    target racial/ethnic minority subpopulation and are familiar with
    the culture and language of the target subpopulation. If the target
    racial/ethnic minority subpopulation is multicultural and
    multilinguistic, describe how the staff are qualified to serve this
    subpopulation.

-   Describe the resources available for the proposed project (e.g.,
    facilities, equipment), and provide evidence that services will be
    provided in a location that is adequate, accessible, compliant with
    the Americans with Disabilities Act (ADA), and amenable to the
    target racial/ethnic minority subpopulation. If the ADA does not
    apply to your organization, please explain why.

    **Section D: Performance Assessment and Data (20 points)**

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-   Document your ability to collect and report on the required
    performance measures as specified in Section I-2.3, Data Collection
    and Performance Measurement, of this RFA. Describe your plan for
    data collection, management, analysis and reporting. Specify and
    justify any additional measures or instruments you plan to use for
    your project.

    -   Describe how data will be used to manage the project and assure
        continuous quality improvement.

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-   Provide a per-person or unit cost of the project to be implemented.
    You can calculate this figure by: 1) taking the total cost of the
    project over the lifetime of the cooperative agreement and
    subtracting 20% for data and performance assessment; 2) dividing
    this number by the total unduplicated number of persons to be
    served.

-   Describe your plan for conducting the performance assessment as
    specified in Section I-2.4 of this RFA and document your ability to
    conduct the assessment. Indicate your willingness to participate in
    and provide all the required forms, data and reports for the
    multi-site evaluation.

NOTE: Although the budget for the proposed project is not a scored
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.

In reviewing applications, peer reviewers can rate and make comments on
the items listed above for reasonable merit.  Program staff can
negotiate specific targets with applicants during the pre-award or
post-award phase using the applicant's information noted above and peer
review comments, as applicable.

**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% of the total grant award will be used for
data collection and performance assessment. An illustration of a budget
and narrative justification is included in Appendix H of this document.

Applicants **[must]{.underline}** budget (up to 5% of total direct costs
of the award) for standard or rapid HIV testing. Please describe the
following in your budget justification:

1.  Type of HIV testing (e.g., standard HIV testing, rapid HIV testing)
    and purchasing mechanism (e.g., bulk, direct, wholesale retail
    costs) for the test kits.

2.  Explain the additional costs needed for rapid and confirmatory test
    results, supplies and other administrative costs (e.g., lab services
    and reports not to exceed 5% of total direct costs of the award). 

3.  Provide an estimate on the number of persons that will be tested
    annually and over the entire project period.

More information on HIV testing methodologies and apparatus related
costs is available at
<http://www.cdc.gov/hiv/topics/testing/rapid/index.htm>.

####### Section G: Biographical Sketches and Job Descriptions.  {#section-g-biographical-sketches-and-job-descriptions. .unnumbered}

####### 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 a 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 on
    the SAMHSA Web site.

    **Section H:** Confidentiality and SAMHSA Participant
    Protection/Human Subjects: You must describe procedures relating to
    Confidentiality, Participant Protection and the Protection of Human
    Subjects Regulations in Section H of your application, using the
    guidelines provided below. Number range CHAPTERMore detailed
    guidance for completing this section can be found in Appendix F of
    this RFA.

    **[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 eight 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 eight 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 Institutional Review Board (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
the protection of human subjects identified during peer review of the
application must be resolved prior to funding.

-   Identify foreseeable risks or adverse effects due to participation
    in the project and/or in the data collection (performance
    assessment) activities (including physical, medical, psychological,
    social, legal, and confidentiality) and provide your procedures for
    minimizing or protecting participants from these risks.

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

-   Describe the target population and explain why you are including or
    excluding certain subgroups. Explain how and who will recruit and
    select participants.

-   State whether participation in the project is voluntary or required.
    If you plan to provide incentives/compensate participants, specify
    the type (e.g., money, gifts, coupons), and the value of any such
    incentives. Provide justification that the use of incentives is
    appropriate, judicious, and conservative and that incentives do not
    provide an "undue inducement" which removes the voluntary nature of
    participation. Incentives should be the minimum amount necessary to
    meet the programmatic and performance assessment goals of the grant.
    Applicants should determine the minimum amount that is proven to be
    effective by consulting with existing local programs and reviewing
    the relevant literature. In no case may the value of an incentive
    paid for with SAMHSA discretionary grant funds exceed \$20. (See
    Appendix F: Confidentiality and Participant Protection.)

-   Describe data collection procedures, including sources (e.g.,
    participants, school records) and the data collecting setting (e.g.,
    clinic, school). Provide copies of proposed data collection
    instruments and interview protocols in **Appendix 2** of your
    application, "Data Collection Instruments/Interview Protocols."
    State whether specimens such as urine and/or blood will be obtained
    and the purpose for collecting the specimens. If applicable,
    describe how the specimens and process will be monitored to ensure
    both the safety of participants and the integrity of the specimens.

-   Explain how you will ensure privacy and confidentiality of
    participants' records, data collected, interviews, and group
    discussions. Describe where the data will be stored, safeguards
    (e.g., locked, coding systems, storing identifiers separate from
    data), and who will have access to the information.

-   Describe the process for obtaining and documenting consent from
    adult participants and assent from minors along with consent from
    their parents or legal guardians. Provide copies of all consent
    forms in **Appendix 3** of your application, "Sample Consent Forms."
    If needed, give English translations.

-   Discuss why the risks are reasonable compared to expected benefits
    from the project.

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

SAMHSA expects that most grantees funded under this announcement will
not have to comply with the Protection of Human Subjects Regulations (45
CFR 46), which requires Institutional Review Board (IRB) approval.
However, in some instances, the applicant's proposed performance
assessment design may meet the regulation's criteria of research
involving human subjects. For assistance in determining if your proposed
performance assessment meets the criteria in 45 CFR 46, Protection of
Human Subjects Regulations, refer to the SAMHSA decision tree on the
SAMHSA Web site, under "Applying for a New SAMHSA Grant,"
<http://www.samhsa.gov/grants/apply.aspx>.

Applicants whose projects must comply with the Human Subjects
Regulations must, in addition to the bullets above, fully describe the
process for obtaining IRB approval. While IRB approval is not required
at the time of grant award, these grantees will be required, as a
condition of award, to provide documentation that an Assurance of
Compliance is on file with the Office for Human Research Protections
(OHRP). IRB approval must be received in these cases prior to enrolling
clients in the project. General information about Human Subjects
Regulations can be obtained through OHRP at <http://www.hhs.gov/ohrp>,
or <ohrp@osophs.dhhs.gov>, or (240) 453-6900. SAMHSA--specific questions
should be directed to the program contact listed in Section VII of this
announcement.

## REVIEW AND SELECTION PROCESS

SAMHSA applications are peer-reviewed according to the evaluation
criteria listed above. For those programs where the individual award is
over \$100,000, applications also must 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

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-   equitable distribution of awards in terms of geography (including
    urban, rural and remote settings) and balance among target
    racial/ethnic minority subpopulations and program size.

# ADMINISTRATION INFORMATION

## AWARD NOTICES 

#######  {#section-2 .unnumbered}

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 through postal mail, the Notice of Grant Award, signed by
SAMHSA's Grants Management Officer. The Notice of Grant Award is the
sole obligating document that allows you to receive Federal funding for
work on the grant project.

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

## ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS 

-   If your application is funded, you must comply with all terms and
    conditions of the grant award. SAMHSA's standard terms and
    conditions are available on the SAMHSA Web site at
    http://[www.samhsa.gov/grants/management.asp](http://www.samhsa.gov/grants/management.aspx)x.

-   If your application is funded, you 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/management.aspx](http://www.samhsa.gov/grants/management.aspx)).

-   If your application is funded, you must provide a copy of your
    Notice of Grant Award and the grant abstract to the head(s) of
    appropriate State, county and local public health agencies in the
    area(s) to be affected.

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-   Depending on the nature of the specific funding opportunity and/or
    your proposed project as identified during review, SAMHSA may
    negotiate additional terms and conditions with you 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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-   If your application is funded, you will be held accountable for the
    information provided in the application relating to performance
    targets. SAMHSA program officials will consider your progress in
    meeting goals and objectives, as well as your failures and
    strategies for overcoming them, when making an annual recommendation
    to continue the grant and the amount of any continuation award.
    Failure to meet stated goals and 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. You are
    encouraged to complete the survey and return it, using the
    instructions provided on the survey form.

## REPORTING REQUIREMENTS

In addition to the data reporting requirements listed in Section I-2.3,
you must comply with the following reporting requirements:

1.  **Progress and Financial Reports**

-   You will be required to submit quarterly, annual and final progress
    reports, as well as annual and final financial status reports.
    Progress reports must be submitted electronically through CSAP's
    Minority AIDS Initiative Strategic Prevention Framework Management
    Reporting Tool (MAI SPF MRT). The MAI SPF MRT is a Web-based system
    that is accessible through CSAP's Service Accountability Monitoring
    System (CSAMS) and is designed to assist grantees with implementing
    the SPF effectively.

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-   Because SAMHSA is extremely interested in ensuring that SA and HIV
    prevention services can be sustained, your progress reports should
    explain plans to ensure the sustainability of efforts initiated
    under this grant.

-   If your application is funded, SAMHSA will provide you with
    guidelines and requirements for these reports 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
    your progress toward meeting its goals.

    1.  **Government Performance and Results Act (GPRA)**

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 and NOMs data") from grantees. The performance requirements for
this grant program are described in Section I-2.3 of this document under
"Data Collection and Performance Measurement."

2.  **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 grant
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.

# AGENCY CONTACTS

For questions about program issues contact:

> Claudia Richards, MSW, LICSW
>
> Chief, Community Grants and Program Development Branch
>
> Division of Community Programs
>
> Center for Substance Abuse Prevention
>
> Substance Abuse and Mental Health Services Administration

1 Choke Cherry Road, Room 4-1115

> Rockville, Maryland 20857
>
> Helpline: (240) 276-2409
>
> Email inquiries to: <fy08mairfa@samhsa.hhs.gov>

For questions on grants management issues contact:

Edna Frazier

Grants Management Specialist

Office of Program Services, Division of Grants Management

Substance Abuse and Mental Health Services Administration

1 Choke Cherry Road, Room 7-1087

Rockville, Maryland 20857

\(240\) 276-1405

<edna.frazier@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 form.

-   Applications must be received by the application due date and time,
    as detailed in Section IV-3 of this grant announcement.

-   Information provided must be sufficient for review.

-   Text must be legible. Pages must be typed in black ink,
    single-spaced, using a font of Times New Roman 12, with all margins
    (left, right, top, bottom) at least one inch each. (For Project
    Narratives submitted electronically, see separate requirements in
    Section IV-6 of this announcement under "Submission of Electronic
    Applications.")

-   To ensure equity among applications, page limits for the Project
    Narrative cannot be exceeded.

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

-   Current grantees under SAMHSA/CSAP's RFA No. SP-05-001 will be
    screened out if they propose to serve one of the SAME target
    subpopulations with the SAME demographics (i.e., gender, age, sexual
    orientation) in the SAME catchment area as proposed under RFA No.
    SP-05-001. **Refer to the requirements in Section I-2.2, Data
    Supporting Target Racial/Ethnic Minority Subpopulations, in this
    RFA.**

-   Current grantees under SAMHSA/CSAP's RFA No. SP-05-001 will be
    screened out if they fail to complete and submit the form provided
    in Appendix K of this RFA in **Appendix 6** of their application.

*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 and submitted in the following order:

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-   Face Page (Standard Form 424 v2, 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

-   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 and participant protection
    specified in Section V-1 of this announcement.

-   Budgetary limitations as specified in Sections 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.

-   Pages should be numbered consecutively from beginning to end so that
    information can be located easily during review of the application.
    The abstract page should be page 1, the table of contents should be
    page 2, etc. The four pages of Standard form 424 v2 are not to be
    numbered. 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 Section IV-2.2 of this
    announcement should not be exceeded.

-   Send the original application and two copies to the mailing address
    in Section IV-6 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 -- Guidance for Electronic Submission of Applications

If you would like to submit your application electronically, you may
search [www.Grants.gov](http://www.Grants.gov/) 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](http://www.Grants.gov/) apply site, on the Help page.
In addition to the User Guide, you may wish to use the following sources
for help:

-   By e-mail: <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, excluding Federal holidays.

**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: 1) DUNS Number registration; 2)
Central Contractor Registry (CCR) registration; 3) Credential Provider
registration; and 4) Grants.gov registration.

**It is strongly recommended that you submit your grant application
using Microsoft Office 2003 products (e.g., Microsoft Word 2003,
Microsoft Excel, etc.).** The new Microsoft Vista operating system and
Microsoft Word 2007 products are not currently accepted by Grants.gov.
If you do not have access to Microsoft Office products, you may submit
PDF files. 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 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 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 at least
    one inch each. Adhering to these standards will help to ensure the
    accurate transmission of your document.

-   *Amount of space allowed for Project Narrative*: The Project
    Narrative for an electronic submission may not exceed **15,450**
    words. **If the Project Narrative for an electronic submission
    exceeds the word limit, the application will be screened out and
    will not be reviewed**. To determine the number of words in your
    Project Narrative document in Microsoft Word, select
    file/properties/statistics.

**Keep the Project Narrative as a separate document. Please consolidate
all other materials in your application to ensure the fewest possible
number of attachments. Be sure to label each file according to its
contents, e.g., "Appendices 1-3", "Appendices 4-5." **

Ensure all pages in your application are numbered consecutively, with
the exception of the standard forms in the PHS-5161 application package.
**Documents containing scanned images must also contain page numbers to
continue the sequence.** 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
(SF 424 v2) for any paper submission. Receipt of the tracking number is
the only indication that Grants.gov has successfully received and
validated your application. If you do not receive a Grants.gov tracking
number, you may want to contact the Grants.gov help desk for
assistance.**

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 v2), the assurances (SF 424B), 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 services, change the zip code to 20850.**

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

### Appendix C -- Statement of Assurance

As the authorized representative of \[*insert name of applicant
organization*\]
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_,
I assure SAMHSA that all participating service provider organizations
listed in this application meet the two-year experience requirement and
applicable licensing, accreditation, and certification requirements. If
this application is within the funding range for a grant award, we will
provide the SAMHSA Government Project Officer (GPO) with the following
documents. I understand that if this documentation is not received by
the GPO within the specified timeframe, the application will be removed
from consideration for an award and the funds will be provided to
another applicant meeting these requirements.

-   a letter of commitment that specifies the nature of the
    participation and what service(s) will be provided from every
    service provider organization listed in **Appendix 1** of the
    application, that has agreed to participate in the project;

-   official documentation that all service provider organizations
    participating in the project have been providing relevant services
    for a minimum of 2 years prior to the date of the application in the
    area(s) in which services are to be provided. Official documents
    must definitively establish that the organization has provided
    relevant services for the last 2 years; and

-   official documentation that all participating service provider
    organizations are in compliance with all local (city, county) and
    State/tribal requirements for licensing, accreditation, and
    certification or official documentation from the appropriate agency
    of the applicable State/tribal, county, or other governmental unit
    that licensing, accreditation, and certification requirements do not
    exist. (Official documentation is a copy of each service provider
    organization's license, accreditation, and certification.
    Documentation of accreditation will not be accepted in lieu of an
    organization's license. A statement by, or letter from, the
    applicant organization or from a provider organization attesting to
    compliance with licensing, accreditation and certification or that
    no licensing, accreditation, certification requirements exist [does
    not]{.underline} constitute adequate documentation.)

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

Signature of Authorized Representative Date

### Appendix D -- Sample Logic Model 

A Logic Model is a tool to show how your proposed project links the
purpose, goals, objectives, and tasks stated with the activities and
expected outcomes or "change" and can help to plan, implement, and
assess your project. The model also links the purpose, goals,
objectives, and activities back into planning and evaluation. A Logic
Model is a *picture* of your project. It graphically shows the
activities and progression of the project. It should also describe the
relationships among what resources you put in (inputs), what you do
(outputs), and what happens or results (outcomes). Based on both your
planning and evaluating activities, you can then make a "logical" chain
of "if-then" relationships.

Look at the graphic on the following page to see the chain of events
that links the inputs to program components, the program components to
outputs, and the outputs to outcomes (goals).

The framework you set up to build your model is based on a review of
your Statement of Need, in which you state the conditions that gave rise
to the project with your target group. Then you look at the **Inputs,**
which are the resources, contributions, time, staff, materials**,** and
equipment you will invest to change these conditions. These inputs then
are organized into the **Program Components**, which are the activities,
services, interventions and tasks that will reach the target population.
These outputs then are intended to create **Outputs** such as changes or
benefits for the consumer, families, groups, communities, organizations
and SAMHSA. The understanding and further evidence of what works and
what does not work will be shown in the **Outcomes**, which include
achievements that occur along the path of project operation.

### 

### 

\*The logic model presented is not a required format and SAMHSA does not
expect strict adherence to this format. It is presented only as a sample
of how you can present a logic model in your application.

### 

### 

### 

Sample Logic Model\*

+--------------+---+--------------+---+---------------+---+---------------+
| *            |   | **Program    |   | **Outputs**   |   | **Outcomes**  |
| *Resources** |   | Components** |   |               |   |               |
|              |   |              |   | **(           |   | **(Goals)**   |
| **(Inputs)** |   | **(A         |   | Objectives)** |   |               |
|              |   | ctivities)** |   |               |   |               |
+--------------+---+--------------+---+---------------+---+---------------+
| **Examples** |   | **Examples** |   | **Examples**  |   | **Examples**  |
+--------------+---+--------------+---+---------------+---+---------------+
| People       |   | Outreach     |   | Waiting list  |   | Inprogram:    |
|              |   |              |   | length        |   |               |
| Staff --     |   | Intak        |   |               |   | Client        |
| hours        |   | e/Assessment |   | Waiting list  |   | satisfaction  |
|              |   |              |   | change        |   |               |
| Volunteer -- |   | Client       |   |               |   | Client        |
| hours        |   | Interview    |   | Client        |   | retention     |
|              |   |              |   | attendance    |   |               |
| Funds        |   | Treatment    |   |               |   | In or         |
|              |   | Planning     |   | Client        |   | postprogram:  |
| Other        |   |              |   | participation |   |               |
| resources    |   | Treatment by |   |               |   | > Reduced     |
|              |   | type:        |   | Number of     |   | > drug use -- |
| Facilities   |   |              |   | Clients:      |   | > self        |
|              |   | Methadone    |   |               |   | > reports,    |
| Equipment    |   | maintenance  |   | Admitted      |   | > urine, hair |
|              |   |              |   |               |   | >             |
| Community    |   | Weekly       |   | Terminated    |   | > Empl        |
| services     |   | 12-step      |   |               |   | oyment/school |
|              |   | meetings     |   | Inprogram     |   | > progress    |
|              |   |              |   |               |   | >             |
|              |   | De           |   | Graduated     |   | >             |
|              |   | toxification |   |               |   | Psychological |
|              |   |              |   | Placed        |   | > status      |
|              |   | Counseling   |   |               |   | >             |
|              |   | sessions     |   | Number of     |   | > Vocational  |
|              |   |              |   | Sessions:     |   | > skills      |
|              |   | Relapse      |   |               |   | >             |
|              |   | prevention   |   | Per month     |   | > Social      |
|              |   |              |   |               |   | > skills      |
|              |   | Crisis       |   | Per           |   | >             |
|              |   | intervention |   | client/month  |   | > Safer       |
|              |   |              |   |               |   | > sexual      |
|              |   | Special      |   | Funds raised  |   | > practices   |
|              |   | Training     |   |               |   | >             |
|              |   |              |   | Number of     |   | > Nutritional |
|              |   | Vocational   |   | volunteer     |   | > practices   |
|              |   | skills       |   | hours/month   |   | >             |
|              |   |              |   |               |   | > Child care  |
|              |   | Social       |   | Other         |   | > practices   |
|              |   | skills       |   | resources     |   | >             |
|              |   |              |   | required      |   | > Reduced     |
|              |   | Nutrition    |   |               |   | > deli        |
|              |   |              |   |               |   | nquency/crime |
|              |   | Child care   |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Literacy     |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Tutoring     |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Safer sex    |   |               |   |               |
|              |   | practices    |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Other        |   |               |   |               |
|              |   | Services     |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Placement in |   |               |   |               |
|              |   | employment   |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Prenatal     |   |               |   |               |
|              |   | care         |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Child care   |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Aftercare    |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Program      |   |               |   |               |
|              |   | Support      |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Fundraising  |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Long-range   |   |               |   |               |
|              |   | planning     |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Ad           |   |               |   |               |
|              |   | ministration |   |               |   |               |
|              |   |              |   |               |   |               |
|              |   | Public       |   |               |   |               |
|              |   | Relations    |   |               |   |               |
+--------------+---+--------------+---+---------------+---+---------------+

### Appendix E -- 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 F -- Confidentiality and Participant Protection 

### 

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.

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-   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}

-   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.

-   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.

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

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

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.). Provide
    justification that the use of incentives is appropriate, judicious,
    and conservative and that incentives do not provide an "undue
    inducement" which removes the voluntary nature of participation.
    Incentives should be the minimum amount necessary to meet the
    programmatic and performance assessment goals of the grant.
    Applicants should determine the minimum amount that is proven
    effective by consulting with existing local programs and reviewing
    the relevant literature. In no case may the value if an incentive
    paid for with SAMHSA discretionary grant funds exceed \$20.

-   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}

-   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:

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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
performance assessment design proposed by the applicant may require
compliance with these regulations. For assistance in determining if your
proposed performance assessment meets the criteria in 45 CFR 46,
Protection of Human Subjects Regulations, refer to the SAMHSA decision
tree on the SAMHSA Web site, under "Applying for a New SAMHSA Grant,"
<http://www.samhsa.gov/grants/apply.aspx>.

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.

### 

###  

### Appendix G -- Funding Restrictions

SAMHSA grant funds must be used for purposes supported by the program
and may [not]{.underline} be used to:

-   Support [more than 20% of the total direct cost of the
    award]{.underline} for data collection and performance assessment,
    including incentives for participating in the required data
    collection follow-up.

-   Spend [in excess of 5% of the total direct cost of the
    award]{.underline} for purchasing rapid HIV antibody test kits,
    control kits, confirmatory kits, and/or confirmation laboratory
    services to test clients enrolled in this program. Those with MOUs
    in place with local HIV testing provider(s) for clients enrolled in
    this program may use up to five percent (5%) of their award to
    purchase rapid HIV antibody test kits, control kits, confirmatory
    kits, and/or confirmation laboratory services for providers to
    conduct on- and offsite HIV testing services.

-   Pay for substance abuse treatment and HIV treatment. Pay for
    pharmacologies for HIV antiretroviral therapy, sexually transmitted
    diseases (STD)/sexually transmitted illnesses (STI), TB, and
    hepatitis B and C, or for psychotropic drugs and other medications;

-   Pay for hepatitis, TB and sexually transmitted infections (other
    than HIV) screening, testing, and treatment services under this
    initiative. Grantees are [required]{.underline} to make referrals
    for these services through Memoranda of Understanding with local
    health providers.

-   Pay for any lease beyond the project period.

```{=html}
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```
-   Provide services to incarcerated populations (defined as those
    persons in jail, prison, detention facilities, or in custody where
    they are not free to move about in the community).

-   Pay for the purchase or construction of any building or structure to
    house any part of the program. (Applicants may request up to
    \$75,000 for renovations and alterations of existing facilities, if
    necessary and appropriate to the project.)

-   Provide residential or outpatient treatment services when the
    facility has not yet been acquired, sited, approved, and met all
    requirements for human habitation and services provision. (Expansion
    or enhancement of existing residential services is permissible.)

-   Pay for housing other than residential mental health and/or
    substance abuse treatment.

-   Provide inpatient treatment or hospital-based detoxification
    services. Residential services are not considered to be inpatient or
    hospital-based services.

-   Make direct payments to individuals to induce them to enter
    prevention or treatment services. However, SAMHSA discretionary
    grant funds may be used for non-clinical support services (e.g., bus
    tokens, child care) designed to improve access to and retention in
    prevention and treatment programs.

-   Make direct payments to individuals to encourage attendance and/or
    attainment of prevention or treatment goals. However, SAMHSA
    discretionary grant funds may be used for non-cash incentives of up
    to \$20 to encourage attendance and/or attainment of prevention or
    treatment goals when the incentives are built into the program
    design and when the incentives are the minimum amount that is deemed
    necessary to meet program goals. SAMHSA policy allows an individual
    participant to receive more than one incentive over the course of
    the program. However, non-cash incentives should be limited to the
    minimum number of times deemed necessary to achieve program
    outcomes. A grantee or treatment or prevention provider may also
    provide up to \$20 cash or equivalent (coupons, bus tokens, gifts,
    child care, and vouchers) to individuals as incentives to
    participate in required data collection follow up. This amount may
    be paid for participation in each required interview.

-   Food is generally unallowable unless it's an integral part of a
    conference grant or program specific, e.g., children's program,
    residential.

-   Implement syringe exchange programs, such as the purchase and
    distribution of syringes and/or needles.

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

### Appendix H -- 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 SAMHSA Non-Federal TOTAL**

**Title** **Name Salary Effort Funded Sources**

Project

> Director J. Doe \$30,000 1.0 \$30,000 \$-0-
>
> Clinical
>
> Director J. Doe \$-0- In-Kind

Secretary Unnamed \$18,000 0.5 \$-0- \$ 9,000

Counselor R. Down \$25,000 1.0 \$25,000 \$-0-

**SUBTOTAL \$55,000 \$9,000**

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

**[Fringe Benefits]{.underline}** (24%) \$15,360 \$-0-

**SUBTOTAL \$15,360 \$-0-**

**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 \$-0-

Local Travel (500 miles x .24 per mile) \$-0- \$120

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

**SUBTOTAL \$5,280 \$120**

**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.

**SUBTOTAL \$-0- \$-0-**

**Enter Equipment subtotal on 424A, Section B, 6.d. \$-0-**

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

**[Supplies]{.underline}**

Office Supplies \$500 \$-0-

Computer Software -- Microsoft Word \$-0- 500

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

**[CONTRACTUAL COSTS]{.underline}**

**[Evaluation]{.underline}**

**Job Annual Level of SAMHSA Non-Federal TOTAL**

**Title** **Name Salary Effort Funded Sources**

Evaluator J. Wilson \$48,000 .05 \$24,000 \$-0-

Other Staff \$18,000 1.0 \$18,000 \$-0-

Fringe Benefits (25%) \$10,500 \$-0-

**Travel**

2 trips x 1 Evaluator

(\$600 x 2) \$ 1,200 \$-0-

Per Diem @ \$120 x 6 720 \$-0-

Supplies (General Office) 500 \$-0-

Evaluation Contractual Direct Costs \$54,920 \$-0-

Evaluation Contractual Indirect Costs (19%) \$10,435 \$-0-

Evaluation Contract Subtotal **\$65,355**

**SUBTOTAL \$65,355** **\$-0- \$65,355**

**[Training]{.underline}**

**Job Annual Level of SAMHSA Non-Federal TOTAL**

**Title** **Name Salary Effort Funded Sources**

Coordinator M. Smith \$ 12,000 0.5 \$12,000 \$-0-

Admin. Asst. N. Jones 9,000 0.5 9,000 \$-0-

Fringe Benefits (25%) 5,250 \$-0-

**Travel**

2 Trips for Training

Airfare @ \$600 x 2 \$1,200 \$-0-

Per Diem \$120 x 2 x 2 days 480 \$-0-

Local (500 miles x .24/mile) 120 \$-0-

**Supplies**

Office Supplies \$500 \$-0-

Software (Microsoft Word) \$500 \$-0-

Training Contractual Direct Costs Subtotal \$40,025 \$-0- **\$40,025**

Training Contractual Indirect Costs Subtotal \$-0- \$-0- **\$-0-**

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

**SUBTOTAL \$105,380 \$-0-** **\$105,380**

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

**SAMHSA Non-Federal TOTAL**

**Funded Sources**

**[OTHER]{.underline}**

Rent (500 Sq. Ft. x \$9.95) \$ 4,975 \$-0-

Telephone \$ 500 \$-0-

Maintenance (e.g., van) \$-0- \$ 2,500

Audit \$-0- \$ 3,000

Consultants = Expert @ \$250/day X 6 day \$ 1,500 \$-0-

(If expert is known, should list by name)

**SUBTOTAL \$6,957 \$5,500**

**Enter Other subtotal on 424A, Section B, 6.h. \$12,475**

**[TOTAL DIRECT CHARGES]{.underline} (sum of 6.a-6.h)**

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

**[INDIRECT CHARGES]{.underline}**

15% of Salary and Wages (copy of negotiated

Indirect Cost Rate Agreement attached) \[\$64,000 X 15% = \$9,600\]

> **Enter Indirect Costs subtotal of 424A, Section B, 6.j. \$9,600**
>
> **Enter TOTALS on 424A, Section B, 6.k. (sum of 6i and 6j) \$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. If rent is requested, provide the name of the owner of the
building/facility. If anyone related to the project owns the building
which is a less than arms length arrangement, provide cost of
ownership/use allowance.

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.

OTHER SOURCES -- If other non-Federal sources of funding, including
match or cost sharing as a total operating budget is included, provide
the name of the source, e.g., in-kind, foundation, program income,
Medicaid, State funds, applicant organization, etc., and explain its
use.

[CALCULATION OF FUTURE BUDGET PERIODS]{.underline}

[(based on first 12-month budget period)]{.underline}

Review and verify the accuracy of future year budget estimates.
Increases or decreases in the future years must be explained and
justified. (NOTE: salary cap of \$186,600 is effective for all FY 2008
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

\*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 reflect 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 I -- Eligible States and MSAs

+---------------------------------------+------------------------------+
| **ELIGIBLE STATES**                   |                              |
+---------------------------------------+------------------------------+
| ***States with 10 AIDS Case Rates and |                              |
| Greater per 100,000 People,***        |                              |
|                                       |                              |
| ***reported through December 2005***  |                              |
+---------------------------------------+------------------------------+
|                                       |                              |
+---------------------------------------+------------------------------+
| **State**                             | **Rate**                     |
+---------------------------------------+------------------------------+
| Alabama                               | 11.4                         |
+---------------------------------------+------------------------------+
| Arizona                               | 10.8                         |
+---------------------------------------+------------------------------+
| California                            | 11.3                         |
+---------------------------------------+------------------------------+
| Connecticut                           | 19                           |
+---------------------------------------+------------------------------+
| Delaware                              | 20.9                         |
+---------------------------------------+------------------------------+
| District of Columbia                  | 128.4                        |
+---------------------------------------+------------------------------+
| Florida                               | 27.9                         |
+---------------------------------------+------------------------------+
| Georgia                               | 25.7                         |
+---------------------------------------+------------------------------+
| Illinois                              | 15.1                         |
+---------------------------------------+------------------------------+
| Louisiana                             | 21.2                         |
+---------------------------------------+------------------------------+
| Maryland                              | 28.5                         |
+---------------------------------------+------------------------------+
| Massachusetts                         | 10.8                         |
+---------------------------------------+------------------------------+
| Mississippi                           | 13.2                         |
+---------------------------------------+------------------------------+
| Nevada                                | 12.3                         |
+---------------------------------------+------------------------------+
| New Jersey                            | 14.7                         |
+---------------------------------------+------------------------------+
| New York                              | 32.7                         |
+---------------------------------------+------------------------------+
| North Carolina                        | 10.9                         |
+---------------------------------------+------------------------------+
| Pennsylvania                          | 12.1                         |
+---------------------------------------+------------------------------+
| South Carolina                        | 15.7                         |
+---------------------------------------+------------------------------+
| Tennessee                             | 14.1                         |
+---------------------------------------+------------------------------+
| Texas                                 | 13.6                         |
+---------------------------------------+------------------------------+
| Puerto Rico                           | 26.4                         |
+---------------------------------------+------------------------------+
| Virgin Islands, U.S.                  | 15.6                         |
+---------------------------------------+------------------------------+
| [*CDC reported AIDS cases and annual  |                              |
| rates (per 100,000 population), by    |                              |
| area of residence and age category,   |                              |
| cumulative through 2005-United        |                              |
| States, HIV/AIDS Surveillance Report  |                              |
| 2005 Vol. 17, U.S. Department of      |                              |
| Health and Human services, Centers    |                              |
| for Disease Control and Prevention,   |                              |
| National Center for HIV, STD, and TB  |                              |
| Prevention, Division of HIV/AIDS,     |                              |
| Prevention, Surveillance, and         |                              |
| Epidemiology. Single copies of the    |                              |
| report are available through the CDC  |                              |
| National Prevention Information       |                              |
| Network, 1-800-458-5231 or            |                              |
| 301-562-1098 or                       |                              |
| http://www.cdc.gov/hiv/topics/surv    |                              |
| eillance/resources/reports/2005report |                              |
| /table14.htm*](../CDC%20reported%20AI |                              |
| DS%20cases%20and%20annual%20rates%20( |                              |
| per%20100,000%20population),%20by%20a |                              |
| rea%20of%20residence%20and%20age%20ca |                              |
| tegory,%20cumulative%20through%202005 |                              |
| -United%20States,%20HIV/AIDS%20Survei |                              |
| llance%20Report%202005%20Vol.%2017,%2 |                              |
| 0U.S.%20Department%20of%20Health%20an |                              |
| d%20Human%20services,%20Centers%20for |                              |
| %20Disease%20Control%20and%20Preventi |                              |
| on,%20National%20Center%20for%20HIV,% |                              |
| 20STD,%20and%20TB%20Prevention,%20Div |                              |
| ision%20of%20HIV/AIDS,%20Prevention,% |                              |
| 20Surveillance,%20and%20Epidemiology. |                              |
| %20%20Single%20copies%20of%20the%20re |                              |
| port%20are%20available%20through%20th |                              |
| e%20CDC%20National%20Prevention%20Inf |                              |
| ormation%20Network,%201-800-458-5231% |                              |
| 20or%20301-562-1098%20or%20http://www |                              |
| .cdc.gov/hiv/topics/surveillance/reso |                              |
| urces/reports/2005report/table14.htm) |                              |
+---------------------------------------+------------------------------+

+-----------------------------------+-------------+-------------------+
| **eligible METROPOLITAN           |             |                   |
| STATISTICAL AREAS (MsAs)**        |             |                   |
+===================================+=============+===================+
| ***50 states and D.C. and Puerto  |             |                   |
| Rico***                           |             |                   |
|                                   |             |                   |
| **Reported AIDS cases and rates   |             |                   |
| *(per 100,000 population)* *among |             |                   |
| minorities* in 2005**             |             |                   |
+-----------------------------------+-------------+-------------------+
| **Area of residence**             | **No.**     | **Rate**          |
+-----------------------------------+-------------+-------------------+
| Akron, OH                         | 38          | 36.1              |
+-----------------------------------+-------------+-------------------+
| Albany-Schenectady-Troy, NY       | 62          | 55.6              |
+-----------------------------------+-------------+-------------------+
| Allentown-Bethlehem-Easton, PA-NJ | 54          | 43.8              |
+-----------------------------------+-------------+-------------------+
| Atlanta-Sandy Springs-Marietta,   | 1,296       | 60.2              |
| GA                                |             |                   |
+-----------------------------------+-------------+-------------------+
| Augusta-Richmond County, GA-SC    | 96          | 45.2              |
+-----------------------------------+-------------+-------------------+
| Austin-Round Rock, TX             | 133         | 22.1              |
+-----------------------------------+-------------+-------------------+
| Bakersfield, CA                   | 66          | 15.9              |
+-----------------------------------+-------------+-------------------+
| Baltimore-Towson, MD              | 928         | 98.8              |
+-----------------------------------+-------------+-------------------+
| Baton Rouge, LA                   | 204         | 71.8              |
+-----------------------------------+-------------+-------------------+
| Birmingham-Hoover, AL             | 112         | 32.1              |
+-----------------------------------+-------------+-------------------+
| Boston-Cambridge-Quincy, MA-NH \* | 294         | 32.8              |
+-----------------------------------+-------------+-------------------+
| Bridgeport-Stamford-Norwalk, CT   | 119         | 46.1              |
+-----------------------------------+-------------+-------------------+
| Buffalo-Niagara Falls, NY         | 77          | 37.8              |
+-----------------------------------+-------------+-------------------+
| Cape Coral-Fort Myers, FL         | 26          | 20.8              |
+-----------------------------------+-------------+-------------------+
| Charleston-North Charleston, SC   | 62          | 29.6              |
+-----------------------------------+-------------+-------------------+
| Charlotte-Gastonia-Concord, NC-SC | 167         | 32.4              |
+-----------------------------------+-------------+-------------------+
| Chicago-Naperville-Joliet,        | 1,271       | 31.8              |
| IL-IN-WI                          |             |                   |
+-----------------------------------+-------------+-------------------+
| Cincinnati-Middletown, OH-KY-IN   | 61          | 19.1              |
+-----------------------------------+-------------+-------------------+
| Cleveland-Elyria-Mentor, OH       | 171         | 31.2              |
+-----------------------------------+-------------+-------------------+
| Columbia, SC                      | 128         | 47.8              |
+-----------------------------------+-------------+-------------------+
| Columbus, OH                      | 82          | 23.7              |
+-----------------------------------+-------------+-------------------+
| Dallas-Fort Worth-Arlington, TX   | 552         | 21.1              |
+-----------------------------------+-------------+-------------------+
| Dayton, OH                        | 31          | 19.6              |
+-----------------------------------+-------------+-------------------+
| Denver-Aurora, CO                 | 143         | 19.2              |
+-----------------------------------+-------------+-------------------+
| Des Moines, IA                    | 12          | 18.8              |
+-----------------------------------+-------------+-------------------+
| Detroit-Warren-Livonia, MI        | 441         | 32.4              |
+-----------------------------------+-------------+-------------------+
| Grand Rapids-Wyoming, MI          | 23          | 16.6              |
+-----------------------------------+-------------+-------------------+
| Greensboro-High Point, NC         | 40          | 17.9              |
+-----------------------------------+-------------+-------------------+
| Greenville, SC                    | 47          | 33.6              |
+-----------------------------------+-------------+-------------------+
| Harrisburg-Carlisle, PA           | 18          | 22.1              |
+-----------------------------------+-------------+-------------------+
| Hartford-West Hartford-East       | 189         | 66.6              |
| Hartford, CT                      |             |                   |
+-----------------------------------+-------------+-------------------+
| Houston-Baytown-Sugar Land, TX    | 837         | 28.9              |
+-----------------------------------+-------------+-------------------+
| Indianapolis, IN                  | 98          | 28.6              |
+-----------------------------------+-------------+-------------------+
| Jackson, MS                       | 125         | 48.9              |
+-----------------------------------+-------------+-------------------+
| Jacksonville, FL                  | 230         | 60.1              |
+-----------------------------------+-------------+-------------------+
| Kansas City, MO-KS                | 107         | 25.3              |
+-----------------------------------+-------------+-------------------+
| Knoxville, TN                     | 14          | 21.3              |
+-----------------------------------+-------------+-------------------+
| Lakeland, FL                      | 58          | 36.8              |
+-----------------------------------+-------------+-------------------+
| Las Vegas-Paradise, NV            | 133         | 17.5              |
+-----------------------------------+-------------+-------------------+
| Little Rock-North Little Rock, AR | 51          | 29.8              |
+-----------------------------------+-------------+-------------------+
| Los Angeles-Long Beach-Santa Ana, | 1,040       | 12.3              |
| CA                                |             |                   |
+-----------------------------------+-------------+-------------------+
| Louisville, KY-IN                 | 61          | 28.9              |
+-----------------------------------+-------------+-------------------+
| Memphis, TN-MS-AR                 | 365         | 57.6              |
+-----------------------------------+-------------+-------------------+
| Miami-Fort Lauderdale-Miami       | 2,006       | 61.9              |
| Beach, FL                         |             |                   |
+-----------------------------------+-------------+-------------------+
| Milwaukee-Waukesha-West Allis, WI | 46          | 11.1              |
+-----------------------------------+-------------+-------------------+
| Minneapolis-St. Paul-Bloomington, | 115         | 21.7              |
| MN-WI                             |             |                   |
+-----------------------------------+-------------+-------------------+
| N                                 | 128         | 40.2              |
| ashville-Davidson\--Murfreesboro, |             |                   |
| TN                                |             |                   |
+-----------------------------------+-------------+-------------------+
| New Haven-Milford, CT             | 119         | 51.1              |
+-----------------------------------+-------------+-------------------+
| New Orleans-Metairie-Kenner, LA   | 315         | 51.9              |
+-----------------------------------+-------------+-------------------+
| New York-Newark-Edison, NY-NJ-PA  | 5,332       | 59.6              |
+-----------------------------------+-------------+-------------------+
| Oklahoma City, OK                 | 54          | 17.3              |
+-----------------------------------+-------------+-------------------+
| Omaha-Council Bluffs, NE-IA       | 17          | 12                |
+-----------------------------------+-------------+-------------------+
| Orlando, FL                       | 385         | 49.8              |
+-----------------------------------+-------------+-------------------+
| Oxnard-Thousand Oaks-Ventura, CA  | 36          | 10                |
+-----------------------------------+-------------+-------------------+
| Palm Bay-Melbourne-Titusville, FL | 28          | 29.6              |
+-----------------------------------+-------------+-------------------+
| Philadelphia-Camden-Wilmington,   | 992         | 55                |
| PA-NJ-DE-MD                       |             |                   |
+-----------------------------------+-------------+-------------------+
| Phoenix-Mesa-Scottsdale, AZ       | 221         | 15                |
+-----------------------------------+-------------+-------------------+
| Pittsburgh, PA                    | 70          | 27.1              |
+-----------------------------------+-------------+-------------------+
| Portland-Vancouver-Beaverton,     | 50          | 12.3              |
| OR-WA                             |             |                   |
+-----------------------------------+-------------+-------------------+
| Poughkeepsie-Newburgh-Middletown, | 107         | 65.4              |
| NY                                |             |                   |
+-----------------------------------+-------------+-------------------+
| Providence-New Bedford-Fall       | 59          | 22.3              |
| River, RI-MA                      |             |                   |
+-----------------------------------+-------------+-------------------+
| Raleigh-Cary, NC                  | 111         | 36.4              |
+-----------------------------------+-------------+-------------------+
| Richmond, VA                      | 95          | 22.1              |
+-----------------------------------+-------------+-------------------+
| Rochester, NY                     | 92          | 47.8              |
+-----------------------------------+-------------+-------------------+
| Sacra                             | 78          | 10                |
| mento\--Arden-Arcade\--Roseville, |             |                   |
| CA                                |             |                   |
+-----------------------------------+-------------+-------------------+
| St. Louis, MO-IL                  | 119         | 19.1              |
+-----------------------------------+-------------+-------------------+
| San Antonio, TX                   | 153         | 13.4              |
+-----------------------------------+-------------+-------------------+
| San Diego-Carlsbad-San Marcos, CA | 241         | 17.7              |
+-----------------------------------+-------------+-------------------+
| San Francisco-Oakland-Fremont, CA | 446         | 20.6              |
+-----------------------------------+-------------+-------------------+
| Sarasota-Bradenton-Venice, FL     | 33          | 29.7              |
+-----------------------------------+-------------+-------------------+
| Scranton\--Wilkes-Barre, PA       | 7           | 23.9              |
+-----------------------------------+-------------+-------------------+
| Seattle-Tacoma-Bellevue, WA       | 140         | 17.4              |
+-----------------------------------+-------------+-------------------+
| Springfield, MA                   | 82          | 55.7              |
+-----------------------------------+-------------+-------------------+
| Syracuse, NY                      | 25          | 30.3              |
+-----------------------------------+-------------+-------------------+
| Tampa-St. Petersburg-Clearwater,  | 336         | 46.9              |
| FL                                |             |                   |
+-----------------------------------+-------------+-------------------+
| Toledo, OH                        | 17          | 13.4              |
+-----------------------------------+-------------+-------------------+
| Tucson, AZ                        | 53          | 14.1              |
+-----------------------------------+-------------+-------------------+
| Tulsa, OK                         | 36          | 16.1              |
+-----------------------------------+-------------+-------------------+
| Virginia Beach-Norfolk-Newport    | 149         | 23                |
| News, VA-NC                       |             |                   |
+-----------------------------------+-------------+-------------------+
| Washington-Arlington-Alexandria,  | 1,233       | 50.9              |
| DC-VA-MD-WV                       |             |                   |
+-----------------------------------+-------------+-------------------+
| Wichita, KS                       | 21          | 16.9              |
+-----------------------------------+-------------+-------------------+
| Worcester, MA                     | 57          | 48.3              |
+-----------------------------------+-------------+-------------------+
| Youngstown-Warren-Boardman, OH-PA | 16          | 19.6              |
+-----------------------------------+-------------+-------------------+
| **Notes:**                        |             |                   |
|                                   |             |                   |
| **Reported AIDS cases and annual  |             |                   |
| rates (per 100,000 population) by |             |                   |
| area of residence and age         |             |                   |
| category, cumulative through      |             |                   |
| 2005-United States, HIV/AIDS      |             |                   |
| Surveillance Report 2005 Vol. 17, |             |                   |
| U.S. Department of Health and     |             |                   |
| Human Services, Centers for       |             |                   |
| Disease Control and Prevention,   |             |                   |
| National Center for HIV, STD, and |             |                   |
| TB Prevention, Division of        |             |                   |
| HIV/AIDS, Prevention,             |             |                   |
| Surveillance, and Epidemiology.   |             |                   |
| CDC conducted a "special data     |             |                   |
| run" for purposes of assisting    |             |                   |
| SAMHSA/CSAP with this RFA.**      |             |                   |
|                                   |             |                   |
| **Cases with unknown and multiple |             |                   |
| races are included in the         |             |                   |
| table.**                          |             |                   |
|                                   |             |                   |
| **\*Includes a metropolitan       |             |                   |
| division with population of       |             |                   |
| \<500,000.**                      |             |                   |
+-----------------------------------+-------------+-------------------+

###  

### Appendix J -- SAMHSA's Rapid HIV Testing Requirements

Grantees that meet the requirements delineated below for rapid HIV
testing **may use up to five percent (5%)** of the total direct costs
**to purchase rapid HIV antibody test kits, control kits, confirmatory
kits, and/or confirmation laboratory services** to test clients enrolled
in this program. **Please refer to the note at the end of this appendix
referencing budget justification for both standard and rapid HIV
testing**. Award recipients with MOUs in place with local HIV testing
provider(s) for clients enrolled in this program may use up to five
percent (5%) of their award to purchase rapid HIV antibody test kits,
control kits, confirmatory kits, and/or confirmation laboratory services
for providers to conduct on- and offsite HIV testing services.

a.  **Grantees must obtain the following trainings:**

-   Basic fundamentals of HIV/AIDS training, as recognized by the State.

-   State-certified HIV Counseling, Testing, and Reporting (CTR)
    Services.

-   Fundamentals of Rapid HIV Testing and Pre/Post Test Prevention
    Counseling with the OraQuick® Rapid HIV-1 Antibody Test *(provided
    by SAMHSA or CDC, and State training, as required).*

A.  **CLIA Certificate of Waiver**: Trained award recipients must obtain
    a Clinical Laboratory Improvement Amendments (CLIA) certificate of
    waiver. Instructions on how to obtain this waiver are available on
    CDC's Web site at:
    [http://www.cms.hhs.gov/clia/08_certificate_of\_%20waiver_laboratory_project.asp](http://www.cms.hhs.gov/clia/08_certificate_of_ waiver_laboratory_project.asp).

B.  **State regulations:** Grantees must adhere to their State HIV
    testing regulatory requirements. A copy of State compliance
    documentation on rapid HIV testing (i.e., HIV Prevention Counseling,
    Partner Notification, Disease Reporting protocol) must be provided.
    State agency contacts are listed at
    http://[www.cms.hhs.gov/clia/](http://www.cms.hhs.gov/clia/)12_state_agency\_&\_regional_office_clia_contacts.asp#topofpage.

C.  **Linkages to Care:** Trained service providers on Rapid HIV testing
    MUST provide signed Memoranda of Understanding (MOUs) or Agreement
    (MOAs) in **Appendix 1** of your application demonstrating
    established referral networks for clients needing appropriate
    counseling, treatment, and support services. Linkages to care must
    consist of, but are not limited to, partnership(s) with: local
    health departments and AIDS service organizations to secure
    appropriate HIV/AIDS support resources including HIV testing,
    laboratory services, HIV/AIDS primary and behavioral health care
    services, and other necessary support services (e.g., insurance,
    housing, food, transportation). **Grantees with MOUs in place with
    local HIV testing provider(s) for HIV testing on clients enrolled in
    this program may use up to five percent (5%)** of the total direct
    costs of the award **to purchase rapid HIV test kits for providers
    to conduct on- and off-site HIV testing services.**

D.  **Rapid HIV Testing Quality Assurance Plan:** Trained service
    providers must provide a copy of their site's rapid testing
    policies, procedures, and Quality Assurance (QA) plan (i.e., records
    management, self-monitoring protocol, test reliability and validity,
    and use of control kits). For information on CDC's QA guidelines,
    visit:
    <http://www.cdc.gov/hiv/rapid_testing/materials/QA-Guide.htm>.

E.  **Policies & Procedures**: Grantees must provide a copy of the
    following policies and procedures before initiating SAMHSA's new
    rapid testing protocol:

-   *Informed Consent Form* -- Grantees must have an informed consent
    form for clients to give consent to confidential or anonymous
    testing and HIV prevention and risk reduction counseling.

-   *Legal/Ethical Policies* - Grantees must know their State laws
    regarding who may implement Counseling, Testing, and Referral (CTR)
    procedures and disclosure of an individual's HIV status (whether
    positive or negative) to partners and other parties. Organizations
    are also obligated to inform clients about State laws regarding the
    reporting of child abuse, sexual abuse of minors, and elder abuse.

-   *HIPAA Compliance/Participant Protection and Confidentiality* --
    Grantees must maintain the confidentiality of client records
    according to the provisions of Title 42 of the Code of Federal
    Regulations, Part II. For information on HIPAA compliance, visit:
    [www.hhs.gov/ocr/hipaa](http://www.hhs.gov/ocr/hipaa).

-   *Safety* -- Grantees must have guidelines for personal safety and
    security in non-traditional settings, for assuring minimal safety
    standards (including biohazard waste disposal) as outlined by the
    Occupational Safety and Health Administration.

-   *Volunteers* -- Grantees using volunteers must follow State
    requirements.

-   *Data Security* - Grantees must collect and report data consistent
    with SAMHSA/CDC requirements to ensure data security and
    confidentiality. This includes written protocols on how to collect
    and analyze CTR data according to State and local policies.

[]{.mark}

### []{.mark}

### Appendix K -- Disclosure of Target Minority Subpopulations, Demographics, & Catchment Areas

**(For current recipients of SAMHSA's RFA No. SP-05-001
[ONLY]{.underline})**

+-----------------------------------------------------------------------+
| **Please answer the following questions if you are currently an award |
| recipient of SAMHSA/CSAP's Request for Applications (RFA)             |
| No. SP-05-001, entitled:**                                            |
|                                                                       |
| ***"Substance Abuse (SA), HIV, & Hepatitis Prevention for Minority    |
| Populations and Minority Reentry Populations in Communities of        |
| Color"***                                                             |
+-----------------------------------------------------------------------+
| 1.  **Identify your target Minority and Reentry populations being     |
|     served in your SP-05-001 grant.**                                 |
+-----------------------------------------------------------------------+
|                                                                       |
+-----------------------------------------------------------------------+
| 2.  **Provide detailed demographics (i.e., age, gender, sexual        |
|     orientation) on your current target populations**                 |
+-----------------------------------------------------------------------+
|                                                                       |
+-----------------------------------------------------------------------+
| 3.  **Identify the geographic area(s)/catchment area(s) where         |
|     services are being provided.**                                    |
+-----------------------------------------------------------------------+
|                                                                       |
+-----------------------------------------------------------------------+

### Appendix L -- Acronyms and Definitions

**AIDS** -- Acquired Immunodeficiency Syndrome

**ATOD** -- Alcohol, Tobacco, and other Drugs

**CBO** -- Community-Based Organization

**CDC** -- Centers for Disease Control and Prevention

**CFR** -- Code of Federal Regulations

**CSAM** --Center Services Accountability and Monitoring System

**CSAP** -- Center for Substance Abuse Prevention

**DHHS** -- Department of Health and Human Services

**FY** -- Fiscal Year

**GPO** -- Government Project Officer

**GMO** -- Grants Management Officer

**GPRA** -- Government Performance and Results Act

**HIV** -- Human Immunodeficiency Virus

**IDU** -- Injection Drug Use

**IDUs** -- Injection Drug Users

**IRB** -- Institutional Review Board

**MSA** -- Metropolitan Statistical Area

**NIDA** -- National Institute on Drug Abuse

**NOMs** - National Outcome Measures

**PART** - Program Assessment Ratings Tool

**SAMHSA** -- Substance Abuse and Mental Health Services Administration

**SIGs** -- State Incentive Grants

**SPF** -- Strategic Prevention Framework

**SPP** -- SAMHSA Participant Protection

**SSA --** Single State Agency

**STDs** -- Sexually Transmitted Diseases

**STIs** -- Sexually Transmitted Infections

###  {#section-14 .unnumbered}

### Appendix M -- Glossary

**A**

##  {#section-15 .unnumbered}

## Abstinence: {#abstinence .unnumbered}

## Voluntary restraint from indulging a desire or appetite for certain bodily activities that are widely experienced as giving pleasure. Most frequently, the term refers to abstention from sexual intercourse, alcohol, illicit drugs, or food. {#voluntary-restraint-from-indulging-a-desire-or-appetite-for-certain-bodily-activities-that-are-widely-experienced-as-giving-pleasure.-most-frequently-the-term-refers-to-abstention-from-sexual-intercourse-alcohol-illicit-drugs-or-food. .unnumbered}

##  {#section-16 .unnumbered}

## Abuse: {#abuse .unnumbered}

The intentional or unintentional misuse of substances despite negative
consequences or the threat of physical damage to the health of the user
that imposes social and personal costs.

**Adaptation:**

The degree to which a program undergoes change in its implementation to
fit the needs of a particular delivery situation. Adaptation can be
deliberate or unplanned; can alter program integrity if it is so great
that the program is not delivered as intended; and can increase a
program\'s cultural sensitivity and its fit within an implementation
setting.

**Adolescents:**

Individuals aged 12-17 years

**B**

##  {#section-17 .unnumbered}

## Baseline Data: {#baseline-data .unnumbered}

The initial information collected prior to the implementation of an
intervention, against which outcomes can be compared at strategic points
during and at completion of an intervention.

**C**

**Community Indicators:**

A defined, measurable variable used to monitor the quality of a
community.

**Cooperative Agreement:**

A legal instrument reflecting a relationship between the United States
Government and a State, a local government, or other recipient when (1)
the principal purpose of the relationship is to transfer a thing of
value to the State, local government, or other recipient to carry out a
public purpose of support or stimulation authorized by a law of the
United States instead of acquiring (by purchase, lease, or barter)
property or services for the direct benefit or use of the United States
Government; **AND** (2) substantial involvement is expected between the
funding agency and the State, local government, or other recipient when
carrying out the activity contemplated in the agreement. (31 U.S.C.
6305)

**Cost-Effectiveness Analysis (CEA):**

A systematic method for valuing over time the monetary costs and
non-monetary consequences of producing and consuming substance abuse
program services. Results from a CEA are often shown in terms of total
costs and total levels of effectiveness (e.g., total quality adjusted
life-years saved or total numbers of substance abuse cases avoided), or
in terms of cost per unit of effectiveness. These data are used by
employers to determine contents of a benefits package.

**Cultural Competency**

Cultural competence exists when a group of people agree to abide by a
set of behaviors, attitudes, and policies.  This agreement, in turn,
allows them to work effectively in cross-cultural situations.

**D**

**Data Analysis:**

The systematic process of applying statistical and logical techniques to
describe, summarize, and compare data.

**Demographics:**

Physical characteristics of a population such as age, sex, marital
status, family size, education, geographic location, and occupation.

**E**

**Evidence Based Interventions:**

Interventions based on a strong theory or conceptual framework that
comprise activities grounded in that theory or framework and that
produce empirically verifiable positive outcomes when well implemented.
(Source:
<http://download.ncadi.samhsa.gov/csap/spfsig/Final_SPFGuidance_Jan04_2007.pdf>)

**F**

**Faith Based Organizations:**

A community that includes religious groups or churches.

**Fidelity:**

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 through SAMHSA's
Evaluation Technical Assistance Center at
[http://tecathsri.org](http://tecathsri.org/) or by calling (617)
876-0426.

**G**

**Grant:**

A 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 is the public, as opposed to the Federal Government.

**H**

**Healthy People 2010:**

The prevention agenda for the Nation. It is a statement of national
health objectives designed to identify the most significant preventable
threats to health and to establish national goals to reduce these
threats. This agenda was established with a great deal of input from
public and private organizations and will be carefully monitored
throughout the present decade. A number of prevention goals have been
established with respect to substance abuse.

**HIV Screening Test:**

In most cases the EIA (enzyme immunoassay), used on blood drawn from a
vein, is the most common screening test used to look for antibodies to
HIV. A positive (reactive) EIA must be used with a follow-up
(confirmatory) test such as the Western blot to make a positive
diagnosis. There are EIA tests that use other body fluids to look for
antibodies to HIV. These include:

-   Oral Fluid Tests -- use oral fluid (not saliva) that is collected
    from the mouth using a special collection device. This is an EIA
    antibody test similar to the standard blood EIA test. A follow-up
    confirmatory Western Blot uses the same oral fluid sample.

-   Urine Tests -- use urine instead of blood. The sensitivity and
    specificity (accuracy) are somewhat less than that of the blood and
    oral fluid tests. This is also an EIA antibody test similar to blood
    EIA tests and requires a follow-up confirmatory Western Blot using
    the same urine sample.

**I**

**Illegal Drugs:**

Drugs whose use, possession, or sale is illegal.

**L**

**Logic Model:**

A diagrammatic representation of a theoretical framework that describes
logical linkages among program resources, activities, outputs,
audiences, and short-, intermediate-, and long-term outcomes related to
a specific problem or situation.

**M**

**Measure:**

An assessment item or ordered set of items. Measures are the tools used
to obtain the information or evidence needed to answer a research
question. They are similar to indicators, but more concrete and
specific. Often an indicator will have multiple measures. Indicators are
statements about what will be measured; measures answer the question
exactly how will it be measured.

**Metropolitan Statistical Areas (MSAs):**

Whole counties (or equivalent entities) that have at least one urbanized
area of 50,000 or more population, plus adjacent territory that has a
high degree of social and economic integration with the core as measured
by commuting ties. (Source: **U.S. Office of Management and Budget:**
<http://www.whitehouse.gov/omb/bulletins/fy2007/b07-01.pdf>)

**Minorities**

A subset of the U.S. population distinguished by racial, ethnic, or
cultural heritage.

The Office of Management and Budget (OMB) Directive No. 15 defines
racial and ethnic categories as: American Indian or Alaskan Native,
Asian, Black or African American, Hispanic or Latino, and Native
Hawaiian and other Pacific Islander.

**N**

**National Registry of Evidence-based Programs and Practices (NREPP**):

A searchable database of interventions for the prevention and treatment
of mental and substance use disorders. SAMHSA has developed this
resource to help people, agencies, and organizations implement programs
and practices in their communities. For more information about NREPP,
visit: [http://www.nrepp.samhsa.gov](http://www.nrepp.samhsa.gov/)/.

**P**

**Performance Assessment:**

The act of collecting information about individuals or groups of
individuals in order to better understand them. For this award,
recipients will assess program effectiveness, ensure service delivery
quality, identify successes, encourage needed improvement, and promote
sustainability of effective policies, programs, and practices.

**Protective Factors:**

Conditions that build resilience to substance abuse and can serve to
buffer the negative effects of risks.

**Q**

**Quantitative Data:**

Data which are measurable, quantifiable or tangible. They involve
counting of people, behaviors, conditions, or other events; classifying
those events into categories; and using math and statistics to answer
questions.

**R**

**Risk Factors:**

Characteristics, variables and/or conditions present in individuals or
groups that increase the likelihood of that individual or group
developing a disorder or adverse outcome.

**S**

##  {#section-18 .unnumbered}

**Selective Preventive Interventions:**

Interventions that are targeted to individuals or a subgroup of the
population whose risk of developing adverse disorders is significantly
higher than average. The risk may be imminent or it may be a lifetime
risk (Institute of Medicine, Mrazek & Haggerty, 1994).

## School Survey: {#school-survey .unnumbered}

A process, most often using a specially designed instrument, to collect
information relevant to school administration, student attitudes and
behavior, and/or student performance

## Strategic Prevention Framework: {#strategic-prevention-framework .unnumbered}

A series of guiding principles to prevention that is built on
community-based risk and protective factors and can be utilized at the
federal, State/tribal and community levels. For more information about
the Strategic Prevention Framework, visit:
([www.samhsa.gov/Matrix/matrix_prevention.aspx#](http://www.samhsa.gov/Matrix/matrix_prevention.aspx))

####  {#section-19 .unnumbered}

#### Stakeholder:  {#stakeholder .unnumbered}

#### An individual, organization, constituent group, or other entity that has an interest in and will be affected by a proposed project. {#an-individual-organization-constituent-group-or-other-entity-that-has-an-interest-in-and-will-be-affected-by-a-proposed-project. .unnumbered}

**Subpopulations**

A subset of the U.S. population distinguished by racial, ethnic,
geographic origins, national origins and/or cultural differences.

**Sustainability:**

The ability to continue a program or practice after funding has ended.

**T**

**Target Population:**

A specific population of people whom a particular program or practice is
designed to serve or reach.

**V**

## Validity:  {#validity .unnumbered}

Getting results that accurately reflect the concept being measured.

**Y**

## Youth {#youth .unnumbered}

Individuals, aged 18-24 years.

### Appendix N -- References

1.  (HIV/AIDS Surveillance Report. U.S. HIV and AIDS cases reported
    through June 2000 Midyear edition Vol. 12, No. 1) or
    <http://www.whitehouse.gov/onap/facts.html>

2.  <http://www.cdc.gov/hiv/resources/factsheets/>

3.  Glaze LE, Palla S. Probation and parole in the United States, 2003.
    Washington, DC: BJS, 2003

4.  U.S. Department of Justice, 2000

5.  <http://www.cdc.gov/hiv/resources/reports/hiv3rddecade/chapter4.htm#MSM>

```{=html}
<!-- -->
```
6.  US Census Bureau. Annual estimates of the population by sex, race
    and Hispanic or Latino origin for the United States: April 1, 2000
    to July 1, 2006. Available at
    [http://www.census.gov/popest/national/asrh/NC-EST2006-srh.html](https://webmail.hhs.gov/exchweb/bin/redir.asp?URL=http://www.census.gov/popest/national/asrh/NC-EST2006-srh.html).

7.  CDC. Cases of HIV infection and AIDS in the United States and
    dependent areas, 2005. HIV/AIDS surveillance report, Vol. 17,
    revised edition. Atlanta, GA: US Department of Health and Human
    Services, CDC; 2007:12,47. Available at
    [http://www.cdc.gov/hiv/topics/surveillance/resources/reports/2005report](https://webmail.hhs.gov/exchweb/bin/redir.asp?URL=http://www.cdc.gov/hiv/topics/surveillance/resources/reports/2005report).

8.  CDC. [*HIV/AIDS Surveillance Report,
    2005*](http://www.cdc.gov/hiv/topics/surveillance/resources/reports/2005report).
    Vol. 17. Rev ed. Atlanta: US Department of Health and Human
    Services, CDC: 2007:1--46. Accessed July 30, 2007.

```{=html}
<!-- -->
```
9.  Centers for Disease Control and Prevention, *HIV/AIDS Surveillance
    Report 2004*, Vol.16. Available at:
    [www.cdc.gov/hiv/stats/2004surveillancereport.pdf](http://www.cdc.gov/hiv/stats/2004surveillancereport.pdf).

10. National Center for Health Statistics, *National Vital Statistics
    Report*, Vol. 53, No. 17, March 2005.

11. SAMHSA\'s 2006 National Survey on Drug Use & Health (NSDUH)

12. SAMHSA\'s 2005 Treatment Episode Data Set (TEDS)

13. SAMHSA\'s 2005 National Survey of Substance Abuse Treatment Services
    (N-SSATS).

14. The Centers for Disease Control and Prevention:
    <http://www.cdc.gov/>

15. 2000 National Household Survey on Drug Use and Health (NHSDUH)

16. The National Institute on Aging\'s page on HIV, AIDS, and older
    people: <http://www.aoa.gov/aoa/pages/agepages/aids.html>

17. Resnick B. Risky Behaviors In Older Adults. National Conference of
    Gerontological Nurse Practitioners (NCGNP) 2003. Highlights of the
    National Conference of Gerontological Nurse Practitioners (NCGNP)
    2003

18. Centers for Disease Control and Prevention. AIDS among persons aged
    \> 50 years; United States, 1991-1996. Atlanta, GA: Centers for
    Disease Control and Prevention; 1999. Available at:
    <http://www.cdc.gov/hiv/stats/hasrlink.htm>. Accessed November 4,
    2003.

19. HIV/AIDs and Older Adults. National Association on HIV Over Fifty.
    Available at: <http://www.hivoverfifty.org/tip.html>. Accessed
    November 4, 2003.

### 

[^1]: ^^ Approved by OMB under control no. 0920-0428; Public reporting
    burden for the Public Health System Reporting Requirement is
    estimated to average 10 minutes per response, including the time for
    copying the face page of SF 424 v2 and the abstract and preparing
    the letter for mailing. An agency may not conduct or sponsor, and a
    person is not required to respond to, a collection of information
    unless it displays a currently valid OMB control number. The OMB
    control number for this project is 0920-0428. Send comments
    regarding this burden to CDC Clearance Officer, 1600 Clifton Road,
    MS D-24, Atlanta, GA 30333, ATTN: PRA (0920-0428).