Department of Health and Human Services

**Substance Abuse and Mental Health Services Administration**

**National Child Traumatic Stress Initiative**

**Community Treatment and Services Center Grants**

**(CTS Centers)**

**(Initial Announcement)**

**Request for Applications (RFA) No. SM-07-011**

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

**Key Dates:**

+----------------------+-----------------------------------------------+
| **Application        | **Applications are due by May 18, 2007**      |
| Deadline**           |                                               |
+----------------------+-----------------------------------------------+
| **Intergovernmental  | **Letters from State Single Point of Contact  |
| Review**             | (SPOC) are due no later than 60 days after    |
|                      | application deadline.**                       |
| **(E.O. 12372)**     |                                               |
+----------------------+-----------------------------------------------+
| **Public Health      | **Applicants must send the PHSIS to           |
| System Impact        | appropriate State and local health agencies   |
| Statement (PHSIS)/   | by application deadline. Comments from Single |
| Single State Agency  | State Agency are due no later than 60 days    |
| Coordination**       | after application deadline.**                 |
+----------------------+-----------------------------------------------+

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

A. Kathryn Power, M. Ed. Terry L. Cline, Ph.D.

Director Administrator

Center for Mental Health Services Substance Abuse and Mental Health

Substance Abuse and Mental Health Services Administration

Services Administration

> **Table of Contents**

[I. FUNDING OPPORTUNITY DESCRIPTION
4](#i.-funding-opportunity-description)

[1. INTRODUCTION 4](#introduction)

[2. EXPECTATIONS 5](#expectations)

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

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

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

[2. COST SHARING 15](#cost-sharing)

[3. OTHER 16](#other)

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

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

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

[3. SUBMISSION DATES AND TIMES 18](#submission-dates-and-times)

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

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

[6. OTHER SUBMISSION REQUIREMENTS 21](#other-submission-requirements)

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

[1. EVALUATION CRITERIA 22](#evaluation-criteria)

[2. REVIEW AND SELECTION PROCESS 31](#review-and-selection-process)

[VI. AWARD ADMINISTRATION INFORMATION
31](#award-administration-information)

[1. AWARD NOTICES 31](#award-notices)

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

[3. REPORTING REQUIREMENTS 32](#reporting-requirements)

[VII. AGENCY CONTACTS 33](#vii.-agency-contacts)

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

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

[Appendix C -- Overview of SAMHSA's National Registry of Evidence-based
Programs and Practices (NREPP)
40](#appendix-c-overview-of-samhsas-national-registry-of-evidence-based-programs-and-practices-nrepp)

[Appendix D - Center for Mental Health Services Evidence-Based Practice
Toolkits
41](#appendix-d---center-for-mental-health-services-evidence-based-practice-toolkits)

[Appendix E - Statement of Assurance
42](#appendix-e---statement-of-assurance)

[Appendix F-Areas of Budget Consideration
43](#appendix-f-areas-of-budget-consideration)

[Appendix G -- Sample Logic Model 44](#appendix-g-sample-logic-model)

[Appendix H -- Logic Model Resources
46](#appendix-h-logic-model-resources)

[Appendix I -- Confidentiality and Participant Protection
47](#appendix-i-confidentiality-and-participant-protection)

[Appendix J -- Funding Restrictions
51](#appendix-j-funding-restrictions)

[Appendix K -- Sample Budget and Justification
53](#appendix-k-sample-budget-and-justification)

[Appendix L - Glossary 57](#appendix-l---glossary)

**Executive Summary:**

The Substance Abuse and Mental Health Services Administration, Center
for Mental Health Services is accepting applications for fiscal year
(FY) 2007 for Community Treatment and Services (CTS) Center cooperative
agreements through the National Child Traumatic Stress Initiative. The
purpose of this program is to implement and evaluate effective
trauma-focused and trauma-informed treatment and services in community
settings and in youth-serving service systems and collaborate with other
Network Centers on clinical issues, service approaches, policy,
financing, and training issues.

# 

**Funding Opportunity Title:** NCTSI Community Treatment and Services
(CTS) Centers

**Funding Opportunity Number:** SM-07-011

**Due Date for Applications:** May 18, 2007

**Anticipated Total Available Funding:** \$4 million

**Estimated Number of Awards:** 10 awards

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

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

**Eligible Applicants:** Domestic public and private non-profit entities

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

#  

# I. FUNDING OPPORTUNITY DESCRIPTION

## INTRODUCTION

The Substance Abuse and Mental Health Services Administration, Center
for Mental Health Services is accepting applications for fiscal year
(FY) 2007 for Community Treatment and Services (CTS) Center cooperative
agreements through the National Child Traumatic Stress Initiative.

Community Treatment and Services Centers are a category (Category III)
of cooperative agreements under SAMHSA's larger National Child Traumatic
Stress Initiative (NCTSI). TNumber range CHAPTERhe purpose of the NCTSI
is to improve treatment and services for all children and adolescents in
the United States who have experienced traumatic events. The NCTSI is
designed to address child trauma issues by creating a national network
of grantees that work collaboratively to develop and promote effective
community practices for children and adolescents exposed to a wide array
of traumatic events. The NCTSI Network is comprised of three types of
Centers:

1.  The [National Center for Child Traumatic Stress]{.underline} (NCCTS)
    works with SAMHSA to develop and maintain the Network structure,
    coordinate collaborative Network activities, oversee resource
    development and dissemination, and coordinate national education and
    training efforts;

> 2\. The [Treatment and Service Adaptation (TSA) Centers]{.underline}
> provide national expertise on
>
> specific types of traumatic events, population groups and service
> systems, and support the specialized adaptation of effective treatment
> and service interventions for communities across the country; and

3.  The [Community Treatment and Services (CTS) Centers]{.underline}
    implement and evaluate effective trauma-focused and trauma-informed
    treatment and services in community settings and in youth-serving
    service systems and collaborate with other network centers on
    clinical issues, service approaches, policy, financing, and training
    issues.

Community Treatment and Services (CTS) Centers are community-focused
centers that promote the local use of trauma-informed practices and
interventions for children and adolescents.

*Trauma-informed interventions* include clinical treatments, services,
and practices that intervene directly with children and their families
or that address trauma by intervening with the professionals,
organizations, and service systems that serve children who witness or
experience traumatic events. Grants will be provided to community
organizations or programs that primarily provide or support treatment
and services in their community, or specialty child service settings,
for children, adolescents, and their families who have experienced
trauma.

The overall goals of CTS Centers are to identify trauma-informed
practices and interventions that address child trauma needs in their
communities, to collaborate with TSA Centers that target similar
priority areas, and to work with other community agencies to transform
service delivery approaches so that trauma-informed practices and
interventions "take root" within local community service systems.
Grantees are expected to collaborate intensively within the National
Child Traumatic Stress Network (NCTSN) for these purposes and for
developing child traumatic stress-related products and services for
nationwide dissemination.

CTS Center grants are authorized under Section 290hh-1 (42 U.S.C.
290hh-1) of the Public Health Service Act, as amended. This announcement
addresses Healthy People 2010 focus area 18 (Mental Health and Mental
Disorders).

## EXPECTATIONS

CTS Centers are expected to develop or enhance their expertise in
several areas: performing trauma assessment, intervention, and training;
conveying public and professional information; providing leadership on
child/adolescent trauma issues in their communities; and serving as a
resource to help their communities transform treatment and services for
child trauma.

1.  **Documentation of Selected Trauma-Informed Practices and
    Interventions**

*Identifying Target Population*

Applicants must clearly define their target population(s). Applicants
should describe the population's demographics (e.g., age, race,
ethnicity, socioeconomic status), culture, and environment, including
the role of relevant service systems (e.g., juvenile justice, child
welfare, medical systems). Each applicant is expected to describe gaps
in current services to this population and to provide justification for
why this population was selected and how this population would benefit
from trauma-informed practices and interventions.

*Selecting Trauma-Informed Practices and Interventions*

The NCTSI encourages the use of trauma-informed practices and
interventions designed to reduce the impact of potentially traumatic
events on children and adolescents. These approaches may be delivered in
a variety of service settings that are not limited to full clinical
interventions.

After carefully defining the target population and assessing service
needs, applicants are expected to propose trauma-informed practices
and/or interventions. SAMHSA is aware that an array of trauma-informed
practices and interventions exist in the child trauma field and that
several are currently under development. Applicants are encouraged to
determine the best approaches for the identified target population. If
an applicant is already utilizing a trauma-informed practice or
intervention, the applicant can propose to implement the intervention or
practice with the identified target population.

Trauma-informed practices and interventions may include, but are not
limited to:

-   psychoeducational programs on the impact of trauma

-   outreach and assessment of children/adolescents for trauma exposure

-   referral/triage of identified trauma-exposed children to the
    appropriate intensity of clinical services

-   acute interventions during or in the immediate aftermath of
    traumatic events

-   supportive services in the aftermath of a traumatic event

-   trainings to improve the response of service providers to
    child/adolescent trauma victims

-   trainings to reduce the potential for traumatic stress in the
    delivery of services

-   changes to services that improve the delivery of trauma treatment
    and services

Although different trauma-informed practices and interventions have
varying levels of information on their effectiveness, applicants are
encouraged to review and consider practices and interventions based not
only on their levels of evidence, but also on their appropriateness for
the community and target population, feasibility of implementation, and
potential for sustainability. Applicants are also encouraged to gather
information through discussions with the practice and intervention
developers and others using the proposed practice or intervention.

Applicants are expected to provide a narrative justification that
summarizes the effectiveness and acceptability of the proposed practice.
This plan may include describing process and outcome evaluations,
efficacy studies, case controlled studies, or clinical trials of the
proposed trauma-informed practice or intervention. Applicants must also
provide a preliminary plan for working with NCTSN Treatment and Services
Adaptation (TSA) Centers to refine and implement the proposed service
approaches.

*Documenting Trauma-Informed Practices and Interventions*

Applicants must document in their applications that the practices they
propose to implement are trauma-informed practices and interventions.
Applicants must justify both the use of the proposed practices for the
target population and any adaptations or modifications necessary to meet
the unique needs of the target population or otherwise increase the
likelihood of achieving positive outcomes.

Applicants are advised to consult with:

-   Child trauma experts

-   Professional associations

-   Materials and information from the National Child Traumatic Stress
    Network Web site at [www.NCTSNet.org](http://www.NCTSNet.org/) (see
    "Resource Materials for 2007 Grant Applicants" under New Resources)
    and included in the application package distributed with this
    announcement.

*Justifying Selection of the Trauma-Informed Practice or Intervention
for the Target Population*

Regardless of the type of trauma-informed practice or intervention
identified, all applicants must show that the proposed practice(s) or
intervention(s) are/will be appropriate for the target population(s).
The applicant should provide information on research findings on the
effectiveness and acceptability specific to the proposed target
population, if available. However, if such evidence is not available,
the applicant should provide a justification for using the proposed
practice with the target population. This justification might involve,
for example, a description of adaptations to the proposed practice based
on other research involving the target population.

*Proposing Adaptations/Modifications of the Proposed Practices or
Interventions*

SAMHSA has found that if using a trauma-informed practice or
intervention, a high degree of faithfulness or fidelity to the original
model increases the likelihood that positive outcomes will be achieved
when the model is used by others. Therefore, SAMHSA encourages fidelity
to the original evidence-based practices to be implemented. However,
SAMHSA recognizes that adaptations or modifications to the original
models may be necessary for a variety of reasons:

-   To allow implementers to use resources efficiently

-   To adjust for specific needs of the client population

-   To address unique characteristics of the local community where the
    practice will be implemented

All applicants must describe and justify any adaptations or
modifications that they envision making to the proposed trauma-informed
practices or interventions. Any adaptations and/or modifications should
be made in collaboration with Network centers, partnering organizations,
and/or other trauma-informed intervention developers.

**2.2 Program Design**

During the first year of the grant, grantees may need to modify plans
for implementing the proposed trauma-informed practice or intervention.
This should be achieved by creating a process of consensus building and
adaptation to further refine the implementation of the practice or
intervention. Grantees are expected to use the remaining grant period to
pilot test and implement the identified approaches. Data collection and
evaluation are essential components of the program design, and grantees
are expected to develop, plan, and execute data collection and
evaluation activities from the outset and for the duration of the award.

Consensus building, intervention development and adaptation, strategic
planning, pilot testing/ implementation, and evaluation are typically
the focus of the first two years of the cooperative agreement. Examples
of activities and tasks that grantees conduct include:

-   Initiating a process to build consensus among stakeholders that will
    assess community needs, review the appropriateness of the proposed
    trauma-informed intervention(s) among an array of interventions
    intended for the target population, and begin strategic planning for
    program implementation.

```{=html}
<!-- -->
```
-   Maintaining a coalition of stakeholders to oversee development and
    implementation of the chosen trauma-informed practices and
    interventions.

-   Consulting with experts within the NCTSN about the available
    practices for target populations, specialized service settings, and
    any necessary adaptations.

-   Developing plans and agreements with NCTSI Treatment and Services
    Adaptation (TSA) Centers for ongoing consultation, training, and
    implementation of trauma-informed interventions and practices.

-   Consulting with leaders from other communities about their
    experiences in implementing the trauma-informed practices and
    interventions.

-   Working with TSA Centers to train and educate key stakeholders about
    the array of trauma-informed practices and interventions.

-   Consulting with TSA Centers to complete the adaptation of
    interventions to community needs.

-   Initiating pilot testing and local evaluation of the trauma-informed
    practices and interventions.

-   Engaging professionals, consumers and family members to continue to
    build consensus and carry out the program design.

-   Participating in NCTSN efforts to develop protocols for collecting
    information on client characteristics, services received, and
    treatment outcomes for children and adolescents who receive trauma
    services, as the Network deems necessary to fulfill its monitoring
    and evaluation goals.

-   Evaluating the process of adaptation of trauma-informed practices
    and interventions to meet community needs.

Implementation, education, documentation, dissemination, outreach,
sustainability, and ongoing evaluation are typically the focus of the
final two years of the cooperative agreement. Examples of activities
include the following:

-   Modifying the identified trauma-informed practice or intervention
    based on pilot test results as well as consultation with NCTSI
    Treatment and Services Adaptation (TSA) Centers and community
    stakeholders.

-   Revising or customizing the manual(s) or documentation that describe
    in detail how the trauma-informed practice or intervention is being
    implemented for the local community.

-   Maintaining the coalition of stakeholders to oversee implementation.

-   Making organizational changes (e.g., hiring staff) necessary to
    implement the trauma-informed practice or intervention on a
    permanent basis and sustain it beyond the life of the grant.

-   Providing ongoing supervision and consultation for existing staff
    members, as well as education, training, and technical assistance
    for new staff.

-   Providing outreach to local programs and service systems to promote
    and provide consultation and/or training for the identification,
    assessment, treatment, and related services for traumatized children
    and adolescents in the community.

-   In collaboration with other NCTSN grantees, identifying lessons
    learned from the implementation of the selected trauma-informed
    practice or intervention, and assisting TSA Centers and the National
    Center for Child Traumatic Stress to create information and
    materials for dissemination based upon community experience.

-   Developing and implementing a multifaceted sustainability plan for
    key grant-funded activities.

**2.3 Performance Requirements**

By the end of the first year of grant funding grantees will be required
to provide documentation of the following:

-   The process of consensus building, including how consumers,
    families, community service providers, and other stakeholders were
    included in project planning and evidence that consensus was
    achieved for adopting a trauma-informed practice or intervention.

-   Efforts made to obtain input from consumers, families, community
    service providers, and other stakeholders in all aspects of program
    activities, including, but not limited to, a consumer and family
    advisory process.

-   Adaptation of trauma-informed practices and interventions.

-   Plans for full implementation or pilot-testing and evaluation.

```{=html}
<!-- -->
```
-   Partnerships with NCTSI Treatment and Services Adaptation (TSA)
    Centers and the purpose, plans/direction, and goals of those
    partnerships.

-   Sustainability planning, including the support, leadership, and
    methods developed to sustain the project after the funding period
    ends.

By the end of the second year of grant funding grantees will be required
to provide documentation of the following:

-   Procedure used to pilot test and/or implement the selected
    trauma-informed practice or intervention, including the results of
    the evaluation.

-   Status and progress of partnerships with TSA Centers toward
    achieving common goals.

-   Efforts made to establish collaborations with local and State
    service system(s) that provide(s) services to children and
    adolescents who have experienced trauma (such systems might include:
    school systems, State/county mental health services, child welfare,
    protective services, rehabilitative services for children with
    physical and developmental problems, juvenile justice system,
    emergency medical services, disaster services, and refugee
    services).

-   Implementation and continuous improvement of the sustainability
    plan.

By the end of the third year of grant funding, grantees will be required
to provide information to address the following:

-   Type of relationship established and degree of involvement with
    local and State service system(s) that provide services to children
    and adolescents who have experienced trauma.

```{=html}
<!-- -->
```
-   Status and progress of partnerships with TSA Centers toward
    achieving common goals.

-   Status and progress of efforts made to obtain input from consumers,
    families, community service providers, and other stakeholders in all
    aspects of program activities, including, but not limited to, a
    consumer and family advisory process.

By the end of the fourth year of grant funding, grantees must provide
the following:

-   Copies of manuals/documentation of the selected trauma-informed
    practice or intervention implemented, including adaptations that
    were made.

-   Evidence of implementation of the tailored trauma-informed practice
    or intervention and results of process evaluation(s).

-   Results of partnerships with TSA Centers regarding the intended
    purpose and goals of the partnerships.

-   Information related to the form, function, and results of consumer
    and family advisory and related processes and involvement.

-   Results of collaborations with local and State service system(s)
    that provide(s) services to children and adolescents who have
    experienced trauma.

-   Information regarding sustainability of the trauma-informed
    practices and interventions.

-   All grantees must participate in all of the required evaluation and
    reporting activities described in Sections I - 2.4 and 2.5,
    including the results of an ongoing evaluation.

    4.  **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 of 1993 (GPRA). Grantees will be given initial training
and ongoing technical assistance to support compliance with GPRA
reporting requirements.

***GPRA Reporting***

All CTS Centers and TSA Centers are expected to assist SAMHSA, the
National Center for Child Traumatic Stress (NCCTS), and the Cross-Site
Evaluation Contractor in reporting on the performance of the Network in
accomplishing the following GPRA goals:

1.  Increase the number of children and adolescents receiving
    trauma-informed services

2.  Improve children's outcomes

3.  Increase percentage of child-serving professionals who report
    implementing trauma-informed practices and services after receiving
    training

Additionally, NCTSI Community Treatment and Services Center grantees
will be required to report the following data in quarterly and annual
progress reports (as described in Section VI--3) or through ongoing data
entry using NCTSI data collection instruments:

.

1)  Number of children and adolescents reached by effective,
    trauma-informed treatment and services

2)  Children's outcomes, such as increased number of
    children/adolescents receiving services that show improved scores in
    various domains that measure psychosocial well-being and quality of
    life (e.g., interpersonal relationships, school performance) as
    assessed by standardized assessment tools

3)  Systems transformation outcomes, such as implementation and
    adaptation, and/or increased utilization, of effective
    trauma-informed treatment and services by local and/or State service
    system(s) and/or by specific service settings (e.g., school systems,
    child welfare, juvenile justice)

In addition to reporting program-specific data, SAMHSA's Center for
Mental Health Services (CMHS) is also in the process of standardizing
performance measures and data collection across its programs. The types
of data that will be collected fall into three performance categories:
*Consumer Outcomes*, *Infrastructure*, and *Technical Assistance*.
Grantees will be required to report data to SAMHSA on a timely basis
using tools designated by SAMHSA for data collection, including those
referenced below.

***Consumer Outcomes***

The collection of Consumer Outcome data will enable CMHS to report on
the National Outcome Measures (NOMs) which have been identified by
SAMHSA as key priority areas relating to mental health. Grantees will be
required to report performance in the NOMs domains which include: mental
illness symptomology, school attendance, criminal justice involvement,
stability in housing, social support/social connectedness, and number of
children/adolescents receiving trauma-informed services (by age, gender,
race and ethnicity). Consumer Outcomes data for each of the NOMs domains
is gathered electronically using the Core Data Set (CDS).

*The Core Data Set*

Grantees must contribute to the Core Data Set (CDS), an existing
network-wide clinical tool that collects *client-level data* from each
NCTSI center providing direct clinical services.  The CDS is a Web-based
system that allows centers to enter their data remotely through a
validated, secure, password-protected system. The CDS automatically
scores clinical assessments (PTSD-RI, TSCC-A, and the CBCL) and produces
clinical reports. NCTSI grantees are expected to support full
implementation of the CDS.

Grantees providing direct clinical services to children and adolescents
are expected to enter their clients into the CDS and conduct required
follow-up assessments at three-month intervals or at the conclusion of
treatment, should the treatment be less than three months. In cases
where the CDS assessments are not appropriate for a population (i.e.,
cultural inappropriateness or children receiving brief "single contact"
treatment) grantees are expected to work with the NCCTS Data Core to
identify measures more appropriate for specific clients. Grantees are
expected to provide the CDS prescribed demographic and basic background
information on all children receiving services. Grantees are also
expected to develop a plan for educating clinicians on the clinical
utility of the CDS in clinical decision making and treatment planning.

***Infrastructure Development and Technical Assistance***

In addition to Consumer Outcomes, grantees will be expected to collect
and report performance data for applicable program activities related to
Infrastructure Development and Technical Assistance. CMHS has identified
the following performance domains for Infrastructure: workforce
development, organizational restructuring, policy development,
financing, accountability, program-specific practices, and cost
efficiency. The frequency of the data collection will be finalized at a
later date but, at a minimum, will be required on an annual basis. The
proposed Technical Assistance domains include: process, content, and
value. Training data will be expected within 30 days from the date of
the training. Measures in each Infrastructure and Technical Assistance
domain are under development.

**2.5 Evaluation**

Applicants must develop comprehensive evaluation plans that document
their ability to collect and report required data. Each evaluation plan
should inform the proposed budget and reflect the resources required to
comply with *Local Evaluation* and *Cross-Site Evaluation* requirements
described below.

***Local Evaluation***

Grantees must evaluate their projects. Applicants are required to
describe their local process and outcome evaluation plans in their
applications. Evaluation efforts must include a process evaluation
related to local consensus building. The evaluation should also be
designed to provide regular feedback to the project to improve
dissemination, training, implementation, and provision of
trauma-informed interventions. Local evaluation efforts should also
demonstrate the impact of implementing trauma-informed interventions in
the wider community and/or service systems. Local evaluation efforts
should not duplicate grant performance monitoring or National Cross-Site
Evaluation activities. Grantees are required to produce an annual
evaluation report that documents the local program outcomes as well as
progress of the Center in meeting proposed goals and objectives.

***Cross-Site Evaluation***

Grantees are required to participate in the Cross-Site Evaluation (CSE)
of the NCTSI.

The CSE incorporates both quantitative and qualitative methods,
cross-sectional and longitudinal data collection approaches, and
utilizes a comprehensive set of standardized surveys to assess
descriptive characteristics and clinical outcomes. The CSE includes
eight study components:

1.  *Descriptive and Clinical Outcome Study*

```{=html}
<!-- -->
```
1.  *Consumer Satisfaction with Direct Mental Health Services*

2.  *Knowledge and Use of Trauma-Informed Services*

3.  *Product Development and Dissemination*

4.  *Adoption of Methods and Practices*

5.  *Network Collaboration*

6.  *National Impact*

7.  *National Registry of Evidence-based Programs and Practices*

Grantee program staff are required to participate in interviews, focus
groups, and/or surveys; assist the CSE team with identifying and
recruiting respondents/participants for interviews, focus groups, and/or
surveys; and participate in the longitudinal outcome study. Additional
information on the CSE and the specific grantee responsibilities for
implementation can be found in the Resource Guide for Applicants and the
NCTSN Web site at [www.NCTSNet.org](http://www.NCTSNet.org/) (see
"Resource Materials for 2007 Grant Applicants" under New Resources) and
included in the application package distributed with this announcement.

**No more than 20% of the total grant award may be used for data
collection, performance measurement and evaluation activities.**
Generally, evaluation, performance measurement, and data collection
activities are estimated to account for 15-20% of most grantees'
budgets.

**2.6 Grantee Meetings**

Grantees must plan to send a minimum of three people (including the
Project Director) to the annual NCTSN "All Network" grantee meeting, and
you must include funding for this travel in your budget. Additional
meetings will vary by year of the project and may include collaborative
or working group meetings, which will focus on strategic priority areas
of the NCTSN. At these meetings, grantees may be asked to collaborate on
cross-Network working groups, present the results of their projects, and
discuss project requirements with Federal staff. Annual All Network
meetings are approximately 2½ to 3 days in length. Attendance at these
meetings is mandatory.

# II. AWARD INFORMATION

**Funding Mechanism:** Cooperative Agreement

**Anticipated Total Available Funding:** \$4 million

**Estimated Number of Awards:** 10 awards

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

**Length of Project Period:** Up to 4 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, and timely submission of required
data and reports.

**Cooperative Agreement**

These awards are being made as cooperative agreements because they
require substantial post-award Federal programmatic participation to
oversee the collaboration of all centers within the Network. Under this
cooperative agreement, the roles and responsibilities of grantees and
SAMHSA staff are:

**Role of Grantee:**

-   Comply with the terms of the cooperative agreement award as
    specified in the requirements section of the Notice of Grant Award
    (NOGA);

-   Support and participate in the collaborative work groups and other
    collaborative activities with Network centers;

-   Participate in grantee meetings;

-   Accept guidance and respond to requests for data from CMHS;

-   Participate in policy steering groups and other work groups to help
    accomplish project goals;

-   As appropriate, author or co-author publications on project results
    for use by the field;

-   Participate in post-award, cross-site process and outcome evaluation
    activities; and

-   Implement specified activities, data collection, and quality control
    measures, and complete required SAMHSA reports.

**Role of Federal Staff:**

-   Review critical project activities for conformity to the goals of
    the NCTSI;

-   Assume overall responsibility for monitoring the conduct and
    progress of NCTSI programs;

-   Review "Terms and Conditions" section of Notice of Grant Award with
    the grantee and make recommendations regarding continued funding
    based upon satisfactory progress in meeting goals and objectives;

-   Provide guidance on project design and components;

-   Participate in selected policy and steering groups or related work
    groups;

-   Review quarterly reports and conduct site visits, if warranted;

-   Provide support services or recommend outside consultants, if
    needed;

-   Author or co-author publications on program findings;

-   Provide technical assistance on ways to help disseminate and
    implement products of collaborative activities;

-   Consult with NCCTS staff, TSA project directors, and CTS project
    directors on all phases of the project to ensure accomplishment of
    the goals of the initiative;

-   Oversee development and implementation of multi-site evaluation in
    partnership with evaluation contractors, NCCTS staff and other
    National Child Traumatic Stress Network grantees;

-   Approve data collection plans and institute policies regarding data
    collection; and

-   Submit required clearance packages to the Office of Management and
    Budget (OMB) using information and materials provided by the grantee
    and evaluation contractor.

# 

# III. ELIGIBILITY INFORMATION

## 1. ELIGIBLE APPLICANTS

Eligible applicants are domestic public and private nonprofit entities.
For example, State and local governments, federally recognized American
Indian/Alaska Native tribes and tribal organizations, urban Indian
organizations, public or private universities and colleges; and
community- and faith-based organizations; outpatient clinics;
psychiatric or general hospitals; and partnerships of multiple clinical
centers, programs, and/or community service providers applying as a
single CTS center may apply. The statutory authority for this program
precludes grants to for profit organizations.

Applicants may also apply for the NCTSI Treatment and Service Adaptation
(TSA) Centers cooperative agreements. If approved for funding in more
than one National Child Traumatic Stress Initiative program, an award
may be made in only one of the programs. Existing NCTSI grantees whose
awards are ending in FY 2007 are eligible to apply for this competitive
grant award.

## COST SHARING 

Cost sharing (see Glossary) is 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; application submission requirements in Section IV-3 of this
document; and formatting requirements provided in Appendix A of this
document.

# APPLICATION AND SUBMISSION INFORMATION 

## 1. 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/index.aspx]{.underline}](../www.samhsa.gov/grants/index.aspx)

Additional materials available on this Web site include:

-   a technical assistance manual for potential applicants;

-   standard terms and conditions for SAMHSA grants;

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

-   a list of certifications and assurances referenced in item 21 of the
    (SF) 424 v2.

## 2. CONTENT AND FORM OF APPLICATION SUBMISSION

**2.1. Application Kit**

SAMHSA application kits include the following documents:

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

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

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

**2.2. Required Application Components**

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 --** Use Standard Form (SF) 424 v2, which is part of the
    PHS 5161-1. \[Note: Applicants must provide a Dun and Bradstreet
    (DUNS) number to apply for a grant or cooperative agreement from the
    Federal Government. SAMHSA applicants are required to provide their
    DUNS number on the face page of the application. Obtaining a DUNS
    number is easy and there is no charge. To obtain a DUNS number,
    access the Dun and Bradstreet Web site at
    [www.dunandbradstreet.com](http://www.dunandbradstreet.com/) or call
    1-866-705-5711. To expedite the process, let Dun and Bradstreet know
    that you are a public/private nonprofit organization getting ready
    to submit a Federal grant application.\]

-   **Abstract** -- Your total abstract should not be longer than 35
    lines. It should include the project name, problem the project will
    address, national significance of the problem, population to be
    served and the geographic area to be served including demographics,
    proposed practice, project goals and measurable objectives. 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 K of this document.

-   **Project Narrative and Supporting Documentation** -- The Project
    Narrative describes your project. It consists of Sections A
    through E. Sections A-E 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 F through I. There are no page limits for these sections,
> except for Section H, Biographical Sketches/Job Descriptions.
> Additional instructions for completing these sections are included in
> Section V under "Supporting Documentation."

-   **Appendices 1 through 5** -- 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, and 4 combined. There are no page
    limitations for Appendix 2. Do not use appendices to extend or
    replace any of the sections of the Project Narrative. Reviewers will
    not consider them if you do.

```{=html}
<!-- -->
```
-   *Appendix* 1: Letters of Support, Memoranda of Understanding, or
    other documentation of collaboration with other potential centers or
    programs

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

-   *Appendix* 3: Sample Consent Forms

-   *Appendix* 4: Letter to the SSA

    -   **Assurances** -- Non-Construction Programs. Use Standard Form
        424B found in the PHS 5161-1.

```{=html}
<!-- -->
```
-   **Certifications** -- You must read the list of certifications
    provided on the SAMHSA Web site or in the application kit before
    signing the face page of the application.

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

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

2.3 Application Formatting Requirements

**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 **May 18, 2007**. **Hand
carried applications will not be accepted. Applications may be shipped
using only DHL, Federal Express (FedEx), United Parcel Service (UPS), or
the United States Postal Service (USPS).**

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

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

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

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

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

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

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

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

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

SAMHSA is collaborating with [www.Grants.gov](http://www.Grants.gov/) to
accept electronic submission of applications. Please refer to 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. **SM-07-011**. 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 or local health agencies
in the area(s) to be affected no later than the application deadline.
The PHSIS is intended to keep State 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 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. **SM-07-011**. 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
<http://www.hhs.gov/grantsnet> (Grants Policies and Regulations):

-   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 CTS grant recipients must comply with the
following funding restrictions:

-   No more than 20% of the total grant award may be used for data
    collection, performance measurement, and evaluation 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 J**.

## OTHER SUBMISSION REQUIREMENTS

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

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

SAMHSA is collaborating with [www.Grants.gov](http://www.Grants.gov/) to
accept electronic submission of applications. 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 "**NCTSI Community Treatment and Services
Center**-**SM-07-011**" in item number 12 on the face page 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.**

# V. APPLICATION REVIEW INFORMATION

## 1. EVALUATION CRITERIA

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

-   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**.

-   Sections A-E of the Project Narrative together may be no longer than
    30 pages.

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

```{=html}
<!-- -->
```
-   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."

```{=html}
<!-- -->
```
-   The Supporting Documentation you provide in Sections F-I and
    Appendices 1-4 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. Bullet statements in each section do not have points
    assigned to them. They are provided to invite the attention of
    applicants and reviewers to important areas within the criterion.

-   Applicants must be familiar with, or familiarize themselves with,
    the current structure and operation of the Network and commit to
    working within this collaborative framework. To adequately address
    some of the requirements in this section, it would be helpful to be
    familiar with current Network Centers and collaborative activities.
    This information is available in the application kit and can be
    accessed electronically at the National Child Traumatic Stress
    Initiative website at [www.nctsnet.org](http://www.nctsnet.org/).

**Section A: Statement of Need and Readiness (25 points)**

-   Describe the community (e.g. organization, community, city,
    metropolitan area, State, or tribal government area) where the
    project will be implemented.

-   Describe the target population (see Glossary) as well as the
    geographic area to be served, and justify the selection of both.
    Include numbers to be served and demographic information.

-   Describe the major needs in the community for trauma-informed
    treatment and services, as well as opportunities that exist in the
    community to promote and implement trauma-informed interventions in
    community programs and in youth service systems. Documentation of
    needs may come from local data or trend analyses, State data (e.g.,
    from State Needs Assessments), and/or national data studies that
    include information on the target population. For data sources that
    are not well known, provide sufficient information on how the data
    were collected so reviewers can assess the reliability and validity
    of the data.

-   Describe the current availability and status of trauma-informed
    treatment and services in the applicant's program(s) and in other
    youth-serving service programs/systems in the community. Indicate
    the types of clinical treatments and/or trauma-informed services
    that are available for children who experience trauma in the target
    population and how such treatments can be improved.

-   Describe the existing collaborations with local and State service
    system(s) that provide(s) services to children and adolescents who
    have experienced trauma, or describe a plan to establish such
    collaborations and support activities to develop knowledge regarding
    the availability of, and access to, effective child trauma services
    in the community and in child and adolescent specialty service
    settings.

**Section B: Proposed Trauma-Informed Practices or Interventions (20
points)**

-   Clearly state the purpose, goals, and objectives of your proposed
    project and how this project will utilize the collaborative
    resources of the National Child Traumatic Stress Network. Describe
    how achievement of the goals will address both the overall program
    purpose and the needs you have identified in Section A.

-   Identify the trauma informed practice or intervention that you
    propose to implement. Justify this selection and follow all of the
    specific instructions that apply below:

    1.  [If you are proposing to implement clinical treatment approaches
        and/or trauma-informed service approaches for which the evidence
        is based on a formal consensus process involving recognized
        experts in the field, describe]{.underline}:

        -   the experts involved in developing consensus on the proposed
            service/practice (e.g., work groups of the National Child
            Traumatic Stress Initiative, members of an expert panel
            formally convened by SAMHSA, NIH, the Institute of Medicine
            or other nationally recognized organization). The consensus
            must have been developed by a group of experts whose work is
            recognized and respected by others in the field. For
            example, applicants may identify and describe trauma-related
            practices or materials cited on the Web site of the National
            Child Traumatic Stress Initiative. Local recognition of an
            individual as a respected or influential person at the
            community level is not considered a "recognized expert" for
            this purpose;

        -   the nature of the consensus that has been reached and the
            process used to reach consensus;

        -   the extent to which the consensus has been documented (e.g.,
            in a consensus panel report, meeting minutes, or an accepted
            standard practice in the field);

        -   any empirical evidence (whether formally published or not)
            supporting the effectiveness of the proposed
            services/practice; and

        -   the rationale for concluding that further empirical evidence
            does not exist to support the effectiveness of the proposed
            services/practice

> [Note]{.underline}: Formal consensus and recommendations are
> particularly applicable to trauma-informed service approaches which
> may not have been the subject of clinical treatment studies but may
> have been developed based on other types of evidence, such as research
> on the effects of trauma and recommendations from experts on ways to
> minimize practices that may compound trauma (e.g., seclusion and
> restraint practices).

2.  [If you are proposing to implement clinical treatment approaches
    and/or trauma-informed service approaches for which the evidence
    includes scientific studies published in the peer-reviewed
    literature or other studies that have not been published, describe
    the extent to which]{.underline}:

    -   the practices have been evaluated and the quality of the
        evaluation studies (e.g., whether they are descriptive,
        quasi-experimental studies, or experimental studies);

    -   the practices have demonstrated positive outcomes and the
        populations for which the positive outcomes have been
        demonstrated;

    -   the practices have been documented (e.g., through development of
        guidelines, tool kits, treatment protocols, and/or manuals) and
        replicated; and

    -   fidelity measures have been developed (e.g., no measures
        developed, key components identified, or fidelity measures
        developed).

3.  [If you are proposing to implement clinical treatment approaches
    and/or trauma- informed service approaches included in NREPP (see
    Appendix C), CMHS toolkits]{.underline} [on evidence-based practices
    (see Appendix D), or the National Child Traumatic Stress Network
    Website (visit]{.underline}
    [www.NCTSNet.org](http://www.NCTSNet.org/) [and click on "Resource
    Materials for 2007 Grant Applicants" under New Resources), simply
    identify the practices and state the sources from which they were
    selected. You do not need to provide further evidence of
    effectiveness.]{.underline}

> 4\. If you propose to use a trauma-informed service or trauma
> treatment program developed by the applicant organization, partnering
> organization, or other service providers, for which the above evidence
> is not available, justify use of the proposed intervention with the
> target population. Applicants are expected to provide a narrative
> justification that summarizes the effectiveness and acceptability of
> the proposed intervention. This plan may include describing process
> and outcome evaluations, efficacy studies, effectiveness studies, case
> controlled studies, or clinical trials of the proposed trauma-informed
> intervention. Propose a plan to demonstrate the effectiveness of the
> program with traumatized populations. Funded grantees will have one
> year from the time of funding to develop this plan.

-   Justify the use of the proposed practice or intervention for the
    target population.

-   Describe the types of modifications/adaptations that may be
    necessary for the intervention to meet the needs of the target
    population, and describe how you will make a final determination
    about the adaptations/modifications to be made. Explain how the
    proposed trauma-informed practice or intervention and any
    anticipated modifications will address important characteristics of
    the target population (e.g. age, race, ethnicity, culture, sexual
    orientation, gender identity, disability, literacy, etc.), while
    maintaining fidelity to the chosen intervention. Funded grantees
    will have up to one year to make changes to their service approach.

-   Describe a preliminary plan for working with other NCTSN centers and
    stakeholders to make adaptations.

**Section C: Proposed Implementation Approach (30 points)**

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

-   Discuss the characteristics of the target population that must be
    considered when determining how the grant project will be
    implemented and how the chosen practice or intervention will be
    delivered. Discuss the target population's language, beliefs, norms
    and values, as well as socioeconomic factors that must be considered
    in delivering programs to this population. Explain how your proposed
    implementation approach address these issues?

-   Describe the involvement of key stakeholders in the proposed
    project, including the roles and responsibilities of each
    stakeholder. Describe how they will be recruited and selected for
    participation, and how they represent the community and target
    population. If partnering with other service organizations that
    provide treatment and/or services, provide documentation of their
    willingness to implement trauma-informed practices or interventions
    to improve treatment and services for traumatized
    children/adolescents and their families. Clearly demonstrate each
    stakeholder's commitment to the consensus building and strategic
    planning processes. Attach letters of support and other documents
    showing stakeholder commitment in **Appendix 1** of your
    application.

-   Describe the strategies or models that will be used to build
    consensus on the selected trauma-informed practice or intervention,
    including a description of how key stakeholders will be educated
    about the intervention. Describe potential barriers to achieving
    consensus among stakeholders and the resources and plans you will
    use to overcome these barriers.

-   Describe how the project will invite and utilize input from consumer
    constituency groups---especially children/adolescents/families and
    community service providers---in all aspects of the project,
    including but not limited to strategic planning and a consumer
    advisory process.

-   Describe how the project components will be embedded within the
    existing service delivery system, including other SAMHSA-funded
    projects if applicable.

-   Describe how the project will mobilize or develop existing expertise
    and resources to allow the proposed Center to serve as an expert on
    child/adolescent trauma for the community.

-   Describe how you will use National Child Traumatic Stress Network
    resources and collaborate with other Network Centers to increase the
    trauma expertise of your Center during the course of the project.

-   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.

-   SAMHSA discourages the use of seclusion and restraint and expects
    grantees to reduce and work towards eliminating seclusion and
    restraint practices.  Describe your policies on reducing and
    eliminating seclusion and restraint, any conditions under which
    seclusion and restraint would be used, and the alternatives to
    seclusion and restraint you will be employing.

**Section D: Staff and Organizational Experience (10 points)**

-   Discuss the capability and experience of the applicant organization
    and other participating organizations with similar projects and
    populations, including experience in providing culturally
    appropriate/competent services.

-   Provide a list of staff members who will participate in the project,
    showing the role of each and their level of effort and
    qualifications. Include the Project Director, who must serve at
    least 50% time on the grant, and other key personnel, including
    evaluators and database management personnel.

-   Describe the prior experience of your proposed project's key staff,
    partners, or consultants, in providing trauma-focused clinical
    treatment and services and/or mental health or other therapeutic or
    supportive services to children/adolescents who have experienced
    trauma or to other populations that have experienced trauma in the
    targeted population or service systems.

-   Discuss how key staff have demonstrated experience in serving the
    target population and are familiar with the culture of the target
    population. If the target population is multi-linguistic, indicate
    if the staffing pattern includes bilingual or bicultural
    individuals.

```{=html}
<!-- -->
```
-   Describe the experience of the applicant organization and staff in
    community education, service provider training and consultation.

```{=html}
<!-- -->
```
-   Identify the project staff or contractor(s) who will develop the
    implementation manual, and demonstrate that they have the requisite
    skills and experience.

-   If you plan to have an advisory body, describe its composition,
    roles, and frequency of meetings.

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

**Section E: Evaluation Design and Analysis (15 points)**

-   Describe your comprehensive evaluation plan. Describe your plans to
    devote the staff and resources necessary to: 1) conduct local
    process and outcome evaluations; 2) submit client level data to the
    Core Data Set (CDS); 3) fully participate in the NCTSI Cross-site
    Evaluation (CSE); and 4) comply with GPRA reporting requirements.

-   Describe the resources that will be used to obtain required IRB
    clearances for ongoing contribution to the CDS and full
    participation in the CSE. Name the IRB entity that will be utilized.
    Additional information on IRB approval for CDS and CSE activities
    can be found in the Resource Guide for Applicants and the NCTSN
    website at [www.NCTSNet.org](http://www.NCTSNet.org/) (see "Resource
    Materials for 2007 Grant Applicants" under New Resources).

-   Describe how data collection and evaluation results will be utilized
    to inform project improvements and clinical decision-making. Be sure
    to link local evaluation efforts to data collection and reporting
    requirements (the Core Data Set, the National Cross-site Evaluation,
    GPRA data, and Quarterly and Annual Reports).

```{=html}
<!-- -->
```
-   Provide a logic model (see Appendices G and H) for the evaluation of
    the implementation and/or dissemination of the trauma-informed
    practices and intervention as well as other implementation
    activities (e.g., training, stakeholder involvement).

NOTE: Although the budget for the proposed project is not a review
criterion, the Review Group will be asked to comment on the
appropriateness of the budget after the merits of the application have
been considered.

**SUPPORTING DOCUMENTATION**

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

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

**Section G:** Budget Justification, Existing Resources, Other Support.
You must provide a narrative justification of the items included in your
proposed budget, as well as a description of existing resources and
other support you expect to receive for the proposed project. Be sure to
show that no more than 20% of the total grant award will be used for
data collection, performance measurement, and evaluation. An
illustration of a budget and narrative justification is included in
Appendix K of this document.

####### 

####### **Section H:** Biographical Sketches and Job Descriptions. 

####### Include a biographical sketch for the Project Director and other key positions. Each sketch should be 2 pages or less. If the person has not been hired, include a position description and/or 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 I:** Confidentiality and SAMHSA Participant
    Protection/Human Subjects: Applicants must describe procedures
    relating to Confidentiality, Participant Protection and the
    Protection of Human Subjects Regulations in Section I of the
    application, using the guidelines provided below. Number range
    CHAPTERMore detailed guidance for completing this section can be
    found in Appendix I 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" that describes 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 and the protection of human subjects
identified during peer review of the application may result in the delay
of 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, reviewing the
    relevant literature. In no case may the value of an incentive exceed
    \$20.

-   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, "Data Collection
    Instruments/Interview Protocols." State whether specimens such as
    urine and/or blood will be obtained and the purpose for collecting.
    If applicable, describe how the specimens and process will be
    monitored to ensure the safety of participants.

-   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}**

    All applicants must comply with the Protection of Human Subjects
    Regulations (45 CFR 46), as appropriate. Applicants 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, you 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
    participants in the proposed project.

Applicants for NCTSI cooperative agreements must complete the
Institutional Review Board (IRB) approval process in order to contribute
to the Core Data Set (CDS) and participate fully in the NCTSI Cross-Site
Evaluation (CSE) (as described in Section I--2.4 and 2.5). Additional
information on IRB approval for CDS and CSE activities can be found in
the Resource Guide for Applicants and the NCTSN website at
[www.NCTSNet.org](http://www.NCTSNet.org/) (see "Resource Materials for
2007 Grant Applicants" under New Resources).

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.

## 2. 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 (NAC), which is an administrative body in HHS
that may comprise both scientists and lay members. As authorities
knowledgeable in specific areas, NAC members may perform the final
advisory review of grant applications, offer advice, and make
recommendations on matters of significance to the policies, missions,
and goals of the awarding unit they advise.

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
    Mental Health Services' National Advisory Council;

-   availability of funds; and

```{=html}
<!-- -->
```
-   equitable distribution of awards in terms of geography (including
    urban, rural and remote settings) and balance among target
    populations and program size.

# AWARD ADMINISTRATION INFORMATION

## 1. AWARD NOTICES 

####### 

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

If you are approved for funding, you will receive an **additional**
notice 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.

## 2. 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
    [www.samhsa.gov/grants/management.aspx](http://www.samhsa.gov/grants/management.aspx).

-   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/generalinfo/grant_reqs.aspx>).

```{=html}
<!-- -->
```
-   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.

```{=html}
<!-- -->
```
-   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.

```{=html}
<!-- -->
```
-   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.

## 3. REPORTING REQUIREMENTS

In addition to the data reporting requirements listed in Section I-2.4,
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.

```{=html}
<!-- -->
```
-   Because SAMHSA is extremely interested in ensuring that treatment
    and prevention services can be sustained, your progress reports
    should explain plans to ensure the sustainability (see Glossary) 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.

-   Grantees must participate in reporting requirements that have been
    established through the cross-site evaluation activities.

-   Grantees must submit an annual evaluation report that documents the
    local program outcomes as well as progress of the Center in meeting
    proposed goals and objectives.

    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 data") from grantees. The performance requirements for SAMHSA's
CTS grant program are described in Section I-2.4 of this document under
"Data Collection and Performance Measurement."

**3.3 Publications**

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

Grantees are encouraged to work with SAMHSA staff to collaborate in the
development, revision, and production of publications on program
findings.

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

# VII. AGENCY CONTACTS

For questions about program issues contact:

Jean Plaschke, M.S.W.

Division of Prevention, Traumatic Stress, and Special Programs

SAMHSA/Center for Mental Health Services

1 Choke Cherry Road, Room 6-1103

Rockville, MD 20857

240-276-1436

E-mail: jean.plaschke@samhsa.hhs.gov

For questions on grants management issues contact:

Kimberly Pendleton

Office of Program Services, Division of Grants Management

Substance Abuse and Mental Health Services Administration

1 Choke Cherry Road

Room 7-1097

Rockville, Maryland 20857

\(240\) 276-1421

<kimberly.pendleton@samhsa.hhs.gov>

### Appendix A -- Checklist for Formatting Requirements and Screenout Criteria for SAMHSA Grant Applications

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

-   Use the PHS 5161-1 application.

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

-   Information provided must be sufficient for review.

-   Text must be legible. (For Project Narratives submitted
    electronically in Microsoft Word, see separate requirements in
    Section IV-6 of this announcement under "Submission of Electronic
    Applications.")

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

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

footnotes will not be considered in determining compliance.)

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

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

-   To ensure equity among applications, the amount of space allowed for
    the Project Narrative cannot be exceeded. (For Project Narratives
    submitted electronically in Microsoft Word, see separate
    requirements in Section IV-6 of this announcement under "Submission
    of Electronic Applications.")

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

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

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

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

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

```{=html}
<!-- -->
```
-   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)

```{=html}
<!-- -->
```
-   Applications should comply with the following requirements:

```{=html}
<!-- -->
```
-   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.

```{=html}
<!-- -->
```
-   Pages should be typed single-spaced in black ink, with one column
    per page. Pages should not have printing on both sides.

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

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

-   Send the original application and two copies to the mailing address
    in Section IV-6 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 products (e.g., Microsoft Word, Microsoft Excel,
etc.).** 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 one inch
    each. Adhering to these standards will help to ensure the accurate
    transmission of your document. If the type size in the Project
    Narrative of an electronic submission exceeds 15 characters per
    inch, or the text exceeds 6 lines per vertical inch, SAMHSA will
    reformat the document to Times New Roman 12, with line spacing of
    single space. Please note that this may alter the formatting of your
    document, especially for charts, tables, graphs, and footnotes.

-   *Amount of space allowed for Project Narrative*: The Project
    Narrative for an electronic submission may not exceed 15,450 words.
    If the Project Narrative for an electronic submission exceeds the
    word limit and exceeds the allowed space as defined in Appendix A,
    then **any part of the Project Narrative in excess of these limits
    will not be submitted to review**. To determine the number of words
    in your Project Narrative document in Microsoft Word, select
    file/properties/statistics.

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

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

After you electronically submit your application, you will receive an
automatic acknowledgement from Grants.gov that contains a Grants.gov
tracking number. It is important that you retain this number. **Include
the Grants.gov tracking number in the top right corner of the face page
for any paper submission. 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 -- Overview of SAMHSA's National Registry of Evidence-based Programs and Practices (NREPP)

The National Registry of Evidence-based Programs and Practices (NREPP --
formerly the National Registry of Effective Prevention Programs) is a
voluntary rating and classification system for mental health and
substance abuse prevention and treatment interventions. The system is
designed to categorize and disseminate information about programs and
practices that meet established evidence rating criteria. SAMHSA is
committed to making NREPP a leading national resource for contemporary
and reliable information on the scientific basis and practicality of
interventions to prevent and/or treat mental and addictive disorders.

The system began in 1998 in SAMHSA\'s Center for Substance Abuse
Prevention (CSAP), and is being revised and expanded to include all
interventions to prevent and/or treat mental and addictive disorders.
SAMHSA\'s Center for Substance Abuse Treatment (CSAT) and Center for
Mental Health Services (CMHS) are participating in this expansion.
SAMHSA launched a new Web site for
NREPP ([www.nrepp.samhsa.gov](http://www.nrepp.samhsa.gov/)) on March 1,
2007.

However, approximately 160 programs are on the current Registry as
either Model, Effective, or Promising Programs. Information on these
programs is available through the current Model Programs Web site at
[www.modelprograms.samhsa.gov](http://www.modelprograms.samhsa.gov/)

### Appendix D - Center for Mental Health Services Evidence-Based Practice Toolkits 

SAMHSA's Center for Mental Health Services and the Robert Wood Johnson
Foundation initiated the Evidence-Based Practices Project to: 1) help
more consumers and families access services that are effective; 2) help
providers of mental health services develop effective services; and 3)
help administrators support and maintain these services. The project is
now also funded and endorsed by numerous national, State, local, private
and public organizations, including the Johnson & Johnson Charitable
Trust, the MacArthur Foundation, and the West Family Foundation.

The project has been developed through the cooperation of many Federal
and State mental health organizations, advocacy groups, mental health
providers, researchers, consumers and family members. A Website
([www.mentalhealth.samhsa.gov/cmhs/communitysupport/toolkits](http://www.mentalhealth.samhsa.gov/cmhs/communitysupport/toolkits))
was created as part of Phase I of the project, which included the
identification of the first cluster of evidence-based practices and the
design of implementation resource kits to help people understand and use
these practices successfully.

Basic information about the first five evidence-based practices is
available on the Web site. The five practices are:

1.  Illness Management and Recovery

2.  Assertive Community Treatment

3.  Family Psychoeducation

4.  Supported Employment

5.  Co-occurring Disorders: Integrated Dual Disorders Treatment

Each of the resource kits contains information and materials written by
and for the following groups:

-   Consumers

-   Families and Other Supporters

-   Practitioners and Clinical Supervisors

-   Mental Health Program Leaders

-   Public Mental Health Authorities

Material on the Web site can be printed or downloaded with Acrobat
Reader, and references are provided where additional information can be
obtained.

Once published, the full kits will be available from National Mental
Health Information Center at
[www.mentalhealth.org](http://www.mentalhealth.org/) or 1-800-789-CMHS
(2647).

### Appendix E - Statement of Assurance

As the authorized representative of the applicant organization, I assure
SAMHSA that if \[*insert name of organization*\] application is within
the funding range for a grant award, the organization 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 F-Areas of Budget Consideration

Note: Information in this appendix is provided for planning purposes.
Unless otherwise referenced in the RFA, budget percentages and dollar
ranges are approximate amounts for consideration when developing program
plans.

+-----------------+--------------------------------------+-------------+
| **Budget        | **Allowable Activities**             | *           |
| Category**      |                                      | *Percentage |
|                 |                                      | Range of    |
|                 |                                      | Budget**    |
+-----------------+--------------------------------------+-------------+
| *Community      | Supporting collaborative community   | 10-20%      |
| Outreach*       | efforts to develop trauma-informed   |             |
|                 | treatment and services; supporting   |             |
|                 | training of and consultation with    |             |
|                 | community and service system         |             |
|                 | providers; increasing public and     |             |
|                 | professional awareness of            |             |
|                 | child/adolescent trauma issues       |             |
+-----------------+--------------------------------------+-------------+
| *Treatment and  | Supporting training and supervision  | Maximum of  |
| Service         | of service providers in trauma       | 50%         |
| I               | interventions and services; other    |             |
| mplementation/* | expenses to implement treatment and  |             |
|                 | service interventions for            |             |
| *Direct         | child/adolescent trauma. Providing   |             |
| Services*       | trauma-informed interventions in     |             |
|                 | community settings and service       |             |
|                 | systems.                             |             |
+-----------------+--------------------------------------+-------------+
| *Network        | Participation in National Child      | At least    |
| Collaboration*  | Traumatic Stress Initiative          | 25%         |
|                 | committees, communication with other |             |
|                 | TSA and CTS centers regarding        |             |
|                 | Network activities                   |             |
+-----------------+--------------------------------------+-------------+
| *               | Participation in cross-site          | No more     |
| Evaluation/Data | evaluation and performance           | than 20%    |
| Collection*     | monitoring activities, support for   |             |
|                 | Network-wide clinical data           |             |
|                 | collection protocols, collaborating  |             |
|                 | with other centers in evaluation of  |             |
|                 | Network intervention development     |             |
|                 | products; implementing training      |             |
|                 | evaluation activities;               |             |
|                 | center-specific evaluation           |             |
|                 | activities, assessing quality and    |             |
|                 | impact of interventions implemented  |             |
|                 | in community and service system      |             |
|                 | settings, collecting clinical data   |             |
|                 | for intervention planning and        |             |
|                 | outcome assessment.                  |             |
+-----------------+--------------------------------------+-------------+

### Appendix G -- 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 H -- 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 I -- 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.

```{=html}
<!-- -->
```
-   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.

```{=html}
<!-- -->
```
-   Explain how you will recruit and select participants. Identify who
    will select participants.

3.  [Absence of Coercion]{.underline}

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

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

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

4.  [Data Collection]{.underline}

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

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

```{=html}
<!-- -->
```
-   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:

```{=html}
<!-- -->
```
-   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:

```{=html}
<!-- -->
```
-   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.

```{=html}
<!-- -->
```
-   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.

```{=html}
<!-- -->
```
-   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.

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

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

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

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

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

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

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

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

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

### 

###  

### Appendix J -- Funding Restrictions

SAMHSA grant funds must be used for purposes supported by the program
and may not be used to:

-   Pay for any lease beyond the project period.

```{=html}
<!-- -->
```
-   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 of times deemed necessary to achieve program outcomes. A
    grantee or treatment or prevention provider may also provide up to
    \$20 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.

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

-   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.

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

### Appendix K -- Sample Budget and Justification

**ILLUSTRATION OF A SAMPLE DETAILED BUDGET AND**

**NARRATIVE JUSTIFICATION TO ACCOMPANY**

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

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

**[Personnel]{.underline}**

**Job Annual Level of Salary being**

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

Project

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

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

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

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

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

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

**[Travel]{.underline}**

2 trips for SAMHSA Meetings for 2 Attendees

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

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

Local Travel (500 miles x .24 per mile)

120

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

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

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

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

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

**[Supplies]{.underline}**

Office Supplies \$500

Computer Software - 1 WordPerfect 500

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

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

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

**Evaluation**

Job Name Annual Salary being Level of

Title Salary Requested Effort

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

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

Fringe Benefits (25%) \$10,500

**Travel**

2 trips x 1 Evaluator

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

per diem @ \$120 x 6 720

Supplies (General Office) 500

Evaluation Direct \$54,920

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

Evaluation Subtotal \$65,355

**Training**

Job Name Level of Salary being

Title Effort Requested

Coordinator M. Smith 0.5 \$ 12,000

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

Fringe Benefits (25%) \$ 5,250

**Travel**

2 Trips for Training

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

Per Diem \$120 x 2 x 2 days 480

Local (500 miles x .24/mile) 120

**Supplies**

Office Supplies \$ 500

Software (WordPerfect) 500

**Other**

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

Telephone 500

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

Audit \$ 3,000

Training Direct \$ 40,025

Training Indirect \$ -0-

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

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

**[Other]{.underline}**

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

(If expert is known, should list by name)

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

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

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

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

15% of Salary and Wages (copy of negotiated

indirect cost rate agreement attached)

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

**[TOTALS]{.underline}**

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

**[JUSTIFICATION]{.underline}**

PERSONNEL - Describe the role and responsibilities of each position.

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

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

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

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

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

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

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

[CALCULATION OF FUTURE BUDGET PERIODS]{.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 and no cost of living increases will be honored. (NOTE: new
salary cap of \$186,600 is effective for all FY 2007 awards.) \*

First Second Third

12-month 12-month 12-month

Period Period Period

Personnel

Project Director 30,000 30,000 30,000

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

Counselor 25,000 25,000 25,000

TOTAL PERSONNEL 64,000 73,000 73,000

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

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

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

Travel 5,400 5,400 5,400

Equipment -0- -0- -0-

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

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

Contractual

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

Training 40,025 40,025 40,025

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

Other 1,500 1,500 1,500

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

Indirect Costs 9,600 9,600 9,600

(15% S&W)

TOTAL COSTS 202,240 216,884 219,603

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

### Appendix L - Glossary

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

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

**[Cost sharing or Matching:]{.underline}** Cost sharing refers to the
value of allowable non-Federal contributions toward the allowable costs
of a Federal grant project or program. Such contributions may be cash or
in-kind contributions. For SAMHSA grants, cost sharing or matching is
not required, and applications will not be screened out on the basis of
cost sharing.  However, applicants often include cash or in-kind
contributions in their proposals as evidence of commitment to the
proposed project. This is allowed, and this information may be
considered by reviewers in evaluating the quality of the application.

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

[**Government Performance and Results Act (GPRA)**:]{.underline} The
GPRA of 1993 (Public Law 103-62) mandates performance-based management
by Federal agencies, focusing on results or outcomes in monitoring the
effectiveness of Federal programs and their progress toward achieving
national goals. The law places increased emphasis on collecting,
reporting, and reviewing data to hold the agency accountable for
achieving results with public funds. As a condition of receiving a
SAMHSA grant, grantees must collect and report data on performance
measures specified by the agency. In addition, participation in
evaluation studies that collect program data to answer broader questions
regarding efficiency or effectiveness may be required, depending on the
program.

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

**[In-Kind Contribution]{.underline}**: In-kind contributions toward a
grant project are non-cash contributions (e.g., facilities, space,
services) that are derived from non-Federal sources, such as State or
sub-State non-Federal revenues, foundation grants, or contributions from
other non-Federal public or private entities.

**[Intervention:]{.underline}** Services, practices, or treatments
developed and implemented to change or improve knowledge, attitudes,
behavior, awareness, or processes. Interventions are purposeful
responses, which can be acute and provided prior to, in the immediate
aftermath of, or after a traumatic event has occurred. Interventions can
be implemented with individual, groups, institutions, and/or systems.

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

**[National Advisory Council (NAC)]{.underline}:** The NAC is an
administrative body in HHS that may comprise both scientists and lay
members. As authorities knowledgeable in specific areas, NAC members may
perform the final advisory review of grant applications, offer advice,
and make recommendations on matters of significance to the policies,
missions, and goals of the awarding unit they advise. SAMHSA and its
three CentersCMHS, CSAP, and CSATeach has its own NAC.

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

**[Practice Support System]{.underline}:** This term refers to
contextual factors that affect practice delivery and effectiveness in
the pre-adoption phase, delivery phase, and post-delivery phase, such as

a\) community collaboration and consensus building, b) training and
overall readiness of those implementing the practice, and c) sufficient
ongoing supervision for those implementing the practice.

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

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

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

**[Trauma-Informed Interventions]{.underline}:** Includes interventions
designed to reduce the impact of exposure to traumatic events on
children and adolescents. These interventions may also target service
providers by informing them of the impact of trauma in their service
populations and by improving their response to traumatized children and
adolescents. Examples of trauma-informed services include
pychoeducational programs related to the impact of trauma,
outreach/screening in specific service systems for trauma exposure and
reactions, and staff training on the effects of trauma and appropriate
service provision.

**[Treatment:]{.underline}** Treatments are clinical interventions
intended to directly ameliorate significant negative aspects of children
and adolescents' traumatic stress reactions.

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

[^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).