Department of Health and Human Services

**Substance Abuse and Mental Health Services Administration**

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

**SP 04-002**

**(Initial Announcement)**

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

**Key Dates:**

+---------------------+------------------------------------------------+
| **Application       | **Application deadline: July 2, 2004**         |
| Deadline**          |                                                |
+---------------------+------------------------------------------------+
| **Intergovernmental | **Letters from State Single Point of Contact   |
| Review**            | (SPOC) are due no later than 60 days after     |
|                     | application deadline.**                        |
| **(E.O. 12372)**    |                                                |
+---------------------+------------------------------------------------+

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

Beverly Watts Davis Charles G. Curie, M.A., A.C.S.W.

Director, Center for Substance Abuse Prevention Administrator

Substance Abuse and Mental Health Substance Abuse and Mental Health

Services Administration Services Administration

Table of Contents

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

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

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

II. Award
    Information...........................................................................
    13

    1.  Award Amount
        ..........................................................................
        13

    2.  Funding Mechanism
        ......................................................\...............
        14

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

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

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

     3.  Other
         ....................................................................................\...
         15

IV. Application and Submission
    Information.................................................. 15

    1.  Address to Request Application Package
        ..........................................\... 15

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

    3.  Submission Dates and Times
        ........................................................... 23

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

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

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

V.  Application Review
    Information.........................................................\...
    25

    1.  Evaluation Criteria
        .......................................................................
        25

    2.  Review and Selection Process
        ......................................................... 29

VI. Award Administration
    Information......................................................\...
    29

    1.  Award Notices
        ........................................................................\...
        29

    2.  Administrative and National Policy Requirements
        ................................. 30

    3.  Reporting Requirements
        ...............................................................
        30

VII. Agency Contacts
     .............................................................................
     32

Appendix A: Checklist for Formatting Requirements and Screenout Criteria
for SAMHSA

Grant
Applications.....................................................................................
33

Appendix B: Glossary ......................
......................................................... 35

Appendix C: National Registry of Effective Prevention
Programs............................. 37

Appendix D: Performance Measures for the SPF SIG
Program................................. 38

# I. FUNDING OPPORTUNITY DESCRIPTION

**1. INTRODUCTION**

As authorized under Section 516 of the Public Health Service Act, the
Substance Abuse and Mental Health Services Administration (SAMHSA)
Center for Substance Abuse Prevention (CSAP) announces the availability
of grant funds for Strategic Prevention Framework State Incentive Grants
(SPF SIGs).

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

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

-   reduce substance abuse-related problems in communities, and

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

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

# EXPECTATIONS 

The Strategic Prevention Framework provides an effective prevention
process, a direction and a common set of goals, expectations and
accountabilities to be adopted and integrated at all levels. Through the
SPF SIGs, States will be funded for up to five years to implement the
Strategic Prevention Framework in partnership with community-level
organizations in their States. The SPF SIG grantees may retain 15
percent of the total grant award to provide leadership and coordination
of the SPF project in the State, hire SPF SIG project staff, and
implement the following State-level activities:

-   Conduct a statewide needs assessment

-   Establish and maintain a State Epidemiological Workgroup \[Note:
    SAMHSA expects that an average of \$200,000 per year will be needed
    to support the needs assessment and State Epidemiological Workgroup
    activities\]

-   Develop a statewide Strategic Plan

-   Conduct on-going monitoring and oversight of the SPF SIG project

-   Conduct a State-level evaluation of the SPF SIG project

-   Provide training and technical assistance to support the SPF SIG
    project

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

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

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

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

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

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

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

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

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

**2.2 Strategic Prevention Framework Process**

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

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

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

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

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

-   assessment of community assets and resources,

-   identification of gaps in services and capacity,

-   assessment of readiness to act,

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

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

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

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

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

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

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

-   identifies the priorities that will be targeted in the State's
    Strategic Prevention Framework,

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

-   describes necessary infrastructure development and/or evidence-based
    policies, programs and practices (or a process for selection) to be
    implemented within the broader service system and specifies
    timelines for implementation,

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

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

-   identifies any training required,

-   includes key policies and relationships among stakeholders,

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

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

-   identifies key milestones and outcomes against which to gauge
    performance, thereby allowing for system improvement and
    accountability of all parties involved, and

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

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

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

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

> [State Role]{.underline}: Once the State's Strategic Plan is approved
> by the SAMHSA/CSAP Government Project Officer, implementation may
> begin. SPF SIG grantees must provide the infrastructure and other
> necessary support to local stakeholders in selecting and implementing
> policies, programs, and practices proven to be effective in research
> settings and communities. States must ensure that community
> implementers make culturally competent adaptations without sacrificing
> the core elements of the program.
>
> [Community Role]{.underline}: Similarly, local stakeholders will use
> the findings of their needs assessments to guide selection and
> implementation of policies, programs and practices proven to be
> effective in research settings and communities. Community implementers
> must ensure that culturally competent adaptations are made without
> sacrificing the core elements of the program. SAMHSA especially
> encourages the selection and adaptation of programs contained in the
> National Registry of Effective Programs (NREP), though this is not a
> requirement of the SPF SIG. (See Appendix C for information about
> NREP.)

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

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

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

**2.3 Inclusion of Underage Drinking**

Recent studies---including a major undertaking by the National Academy
of Science---indicates a severe and persistent problem with the use of
alcohol by children and youth under the age of 21. The Department of
Health and Human Services, through SAMHSA/CSAP, is committed to bringing
down the rates of underage drinking and is working toward a target of
\$30 million in FY 2004 funding for communities to address this problem.
The SPF SIG grant offers an excellent vehicle for supporting the goals
of this underage drinking initiative. State applicants must therefore
include the prevention of underage alcohol consumption as part of their
SPF SIG project and provide a comprehensive strategy that addresses this
problem, along with other SPF SIG priorities. (This will mean addressing
underage drinking and other substance abuse.) Underage drinking must be
included in all five steps of the Strategic Prevention Framework
implemented by each SPF SIG grantee.

**2.4 Strategic Prevention Framework Advisory Council**

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

1\) the Office of the Governor;

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

3\) a Demand Reduction Coordinator from the Drug Enforcement
Administration who has responsibility for the State;

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

5\) SAMHSA/CSAP.

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

The Chair of the SPF Advisory Council is to be appointed by the
Governor.

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

2.5 Data and Performance Measurement

The Government Performance and Results Act of 1993 (P.L.103-62, or
"GPRA") requires all Federal agencies to:

-   develop strategic plans that specify what they will accomplish over
    a 3- to 5-year period;

-   set performance targets annually related to their strategic plan;
    and

-   report annually on the degree to which the previous year's targets
    were met.

The law further requires agencies to link their performance to their
budgets. Agencies are expected to evaluate their programs regularly and
to use results of these evaluations to explain their successes and
failures.

To meet these requirements, SAMHSA must collect performance data (i.e.,
"GPRA data") from grantees. Grantees are required to report these
performance data to SAMHSA on a timely basis so that results are
available to support budgetary decisions.

In collaboration with States and other stakeholders, SAMHSA has reviewed
its discretionary and block grant programs, examining their ability to
capture and assess performance data on treatment and prevention
outcomes. The result has been the identification of seven key National
Outcome domains.

-   Four domains apply to both prevention and recovery and will be
    addressed by the SPF SIG: 1) abstinence from illicit drug use and
    alcohol abuse, 2) increased employment/return to school, 3)
    prevented or decreased criminal justice involvement, and 4)
    increased stabilization of family and living conditions.

-   Two of the three remaining domains -- increased access to services
    and increased social supports and connectedness -- relate directly
    to the prevention services process itself and will be addressed by
    the SPF SIG.

-   The seventh domain (increased retention in treatment) is not
    relevant to prevention and will not be addressed by the SPF.

The SPF SIG grantees also will be required to collect and report data on
two additional domains -- Cost Effectiveness and Use of Evidence-Based
Practices -- as a result of the Office of Management and Budget (OMB)
Program Assessment and Review Tool (PART) review of SAMHSA's block
grants.

SPF SIG grantees must include performance measures in the National
Outcome domains in the needs assessments and on-going monitoring and
evaluation activities that will be conducted through the SPF SIGs. By
using these same outcome domains and their measures over time to assess
progress, States and SAMHSA can foster continuous program and policy
improvement.

The performance measures in each of the domains relevant to the
Strategic Prevention Framework are listed below and specific data
elements to be used for each of the performance measures are provided in
Appendix D of this announcement. SPF SIG States will be expected to
collect and aggregate these data from the target communities for the SPF
SIG. Comparable statewide data will be collected through the prevention
portion of the States Substance Abuse Prevention and Treatment Block
Grant (SAPTBG) allotment.

Applicants for the SPF SIG should describe their current ability to
collect and report data on these measures in their applications, but
should understand that the specific requirements for doing so may
change. In particular, data elements for some of the performance
measures are currently under development. Applicants for the SPF SIG
must propose an approach to collecting and reporting data on the
developmental performance measures in their applications. A meeting of
the SPF SIG grantees and State officials working on the prevention
portion of the SAPTBG will be convened 3 to 6 months after award to
finalize an approach to collecting and reporting these measures.
Ultimately, OMB approval will be required. SAMHSA/CSAP will provide the
final set of measures, data collection tools and approved methodology to
the SPF SIG grantees after OMB approval has been obtained.

+---------------------+------------------------------------------------+
| Desired             | Performance Measure                            |
| Outcome/Domain      |                                                |
+=====================+================================================+
| Abstinence from     | 30-day substance use (non-use/reduction in     |
| Drug Use/Alcohol    | use)                                           |
| Abuse               |                                                |
+---------------------+------------------------------------------------+
|                     | Availability of alcohol, tobacco and other     |
|                     | drugs                                          |
+---------------------+------------------------------------------------+
|                     | Perception of drug use as harmful              |
+---------------------+------------------------------------------------+
|                     | Attitude toward use (Perception of drug use as |
|                     | wrong)                                         |
+---------------------+------------------------------------------------+
| Increased/Retained  | School attendance                              |
| Employment or       |                                                |
| Return to/Stay in   | ATOD-related suspensions/expulsions            |
| School              |                                                |
|                     | Drug-related workplace injuries                |
+---------------------+------------------------------------------------+
| Decreased Criminal  | Drug-related crime                             |
| Justice Involvement |                                                |
+---------------------+------------------------------------------------+
| Increased Stability | Parent participation in prevention activities  |
| in Family and       |                                                |
| Living Conditions   |                                                |
+---------------------+------------------------------------------------+
| Increased Access to | Number of persons served by age, gender, race, |
| Services (Service   | and ethnicity                                  |
| Capacity)           |                                                |
+---------------------+------------------------------------------------+
| Increased Social    | Under development                              |
| Supports/Social     |                                                |
| Connectedness       |                                                |
+---------------------+------------------------------------------------+
| OMB Required        | Performance Measure                            |
| Outcome/Domain      |                                                |
+---------------------+------------------------------------------------+
| Cost Effectiveness  | Increase services provided within cost bands   |
+---------------------+------------------------------------------------+
| Use of              | Total number of evidence-based programs and    |
| Evidence-Based      | strategies funded by SPF SIG                   |
| Practices           |                                                |
+---------------------+------------------------------------------------+

In addition to the required performance data, SPF SIG States will be
required to identify and report the amount of funding focused on
underage drinking for each year of the project. Finally, grantees may
choose to collect additional data to monitor progress in addressing
state-specific needs identified in the statewide needs assessment.
Applicants should specify and justify any additional measures they plan
to collect in their applications.

**2.6 Evaluation**

Grantees must conduct on-going monitoring and evaluation of their
projects to determine if the outcomes desired are achieved and to assess
program effectiveness and service delivery quality, encourage needed
improvement, and promote sustainability of effective programs. Grantees
must be prepared to adjust their implementation plans based on the
results of their monitoring/evaluation activities. The evaluation must
include the required performance measures described above and must
enable the State to track progress in achieving SPF SIG Project Goals.
The evaluation must include both process and outcome components.
Although control groups are not required, the State must identify
potential sources of comparison data at the state and community level.
The evaluation plan must be considered when preparing the project
budget.

The process evaluation must address the implementation of the Strategic
Prevention Framework:

-   How closely did implementation match the plan?

-   What types of deviation from the plan occurred?

-   What led to the deviations?

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

####### 

The outcome evaluation must provide data and measurement to determine
changes in the seven National Outcome domains described above. To the
extent possible, the outcome evaluation should investigate the
relationship between changes in the domains and the implementation of
the Strategic Prevention Framework:

-   What was the effect of the Strategic Prevention Framework project on
    service capacity and other system outcomes?

-   Did the Strategic Prevention Framework project achieve the intended
    Project Goals?

-   What program/contextual factors were associated with outcomes?

-   What individual factors were associated with outcomes?

-   How durable were the effects?

Following award, SPF SIG States will be required to submit revisions to
their data collection and evaluation plans based on the results of needs
assessment activities, the on-going work of the Epidemiological
Workgroup, and development of the SPF SIG strategic plan.

In addition to conducting a project-specific evaluation, SPF SIG
grantees must participate in a SPF SIG cross-site evaluation to be
conducted by CSAP and the National Institute on Drug Abuse (NIDA). This
cross-site evaluation will be designed to measure the impact of the SPF
SIG program as a whole in terms of establishing and sustaining an
infrastructure at the State and community-levels to allow data-based
decision-making and improving client outcomes as well as environmental
factors that affect substance abuse. SPF SIG grantees must explicitly
state their willingness to participate in this cross-site evaluation in
their applications, including their willingness to provide required
forms, data and reports related to the cross-site evaluation.

**2.7 Grantee Meetings**

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

8.  **Technical Assistance from SAMHSA**

    Due to the unique nature of this grant program, SAMHSA recognizes
    that applicants may wish to entertain an array of program and
    administrative options. To respond, SAMHSA will make available both
    pre-application and post-award technical assistance. Examples of
    topics for which technical assistance may be provided include, but
    are not limited to:

-   Conducting needs assessments,

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

-   Identification and selection of evidence-based practices,

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

-   Management of information systems to track performance and outcomes,

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

-   Outreach to entities unknown to the State.

II. **AWARD INFORMATION**

**1. AWARD AMOUNT**

It is expected that approximately \$45 million will be available to fund
up to 20 awards in Fiscal Year (FY) 2004. Annual awards are expected to
be \$3.0 million or less per year in total costs (direct and indirect).
Applicants may request a project period of up to five years.

Based on the President's budget request for FY 2005, SAMHSA expects to
have additional funds available for a small number of new awards in
2005. The amount available for new awards in FY 2005 will be determined
by the final appropriation. Because the number of new awards to be made
is expected to be small, SAMHSA does not currently plan to republish the
SPF SIG announcement for 2005. Instead, SAMHSA plans to make FY 2005
awards to applicants who submit applications under this grant
announcement but do not receive funding in FY 2004. All States are
strongly encouraged to apply for an SPF SIG grant in FY 2004.

**Proposed budgets may be less than, but may not exceed, \$3 million in
any year of the proposed project.** Annual continuation awards will
depend on the availability of funds, grantee progress in meeting project
goals and objectives, and timely submission of required data and
reports.

Because the SPF SIG is intended to be implemented through a partnership
between the State and community-level organizations, and because much of
the Strategic Prevention Framework involves activity that must be
implemented at the community level, State applicants for the SPF SIG may
retain up to 15 percent of the total grant award for activities to be
implemented at the State level. A minimum of 85 percent of the total
grant award must be allocated to community-level organizations for
activities to be implemented at the community level. Both State and
community-level recipients of funds are expected to be involved in all
five required steps of the Strategic Prevention Framework.

**2. FUNDING MECHANISM**

Awards will be made as Cooperative Agreements.

[Role of the State Awardee]{.underline}

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

[Role of Federal Staff]{.underline}

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

III. **ELIGIBILITY INFORMATION**

**1. ELIGIBLE APPLICANTS**

This program is intended to help States enhance the prevention
infrastructure and service delivery system throughout the State.
Applicants for the SPG SIG must have the ability to leverage and
coordinate all prevention-related sources of funding and other resources
in order to achieve the goals of the Strategic Prevention Framework.
Therefore, eligibility for the SPF SIG is limited to the immediate
office of the Governor in those States and Territories that currently
receive the SAPT Block Grant. Governors are strongly encouraged to
designate administration and oversight of the SPF SIG to the agency in
the State that manages the 20 percent prevention set-aside of the SAPT
Block Grant.

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

Cost sharing is not required in this program, and applications will not
be screened out on the basis of cost sharing. However, you may include
cash or in-kind contributions in your proposal as evidence of commitment
to the proposed project. Reviewers may consider this information in
evaluating the quality of the application.   

**3. OTHER**

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

[]{.mark}

IV. **APPLICATION AND SUBMISSION INFORMATION**

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

**1. ADDRESS TO REQUEST APPLICATION PACKAGE**

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

You also may download the required documents from the SAMHSA web site at
[www.samhsa.gov](http://www.samhsa.gov/). Click on "grant
opportunities."

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

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

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

**2.1 Required Documents**

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 PHS 5161-1
    will be screened out and will not be reviewed**.

    -   Request for Application (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](http://www.samhsa.gov/)) and on the Federal
        grants web site ([www.grants.gov](http://www.grants.gov/)). The
        RFA also will be published in the Federal Register.

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

**2.2 Required Application Components**

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

-   **Face Page** -- Use Standard Form (SF) 424, which is part of the
    PHS 5161-1. \[Note: Beginning October 1, 2003, applicants will need
    to provide a Dun and Bradstreet (DUNS) number to apply for a grant
    or cooperative agreement from the Federal Government. SAMHSA
    applicants will be required to provide their DUNS number on the face
    page of the application. Obtaining a DUNS number is easy and there
    is no charge. To obtain a DUNS number, access the Dun and Bradstreet
    web site at
    [www.dunandbradstreet.com](http://www.dunandbradstreet.com/) or call
    1-866-705-5711. To expedite the process, let Dun and Bradstreet know
    that you are a public/private nonprofit organization getting ready
    to submit a Federal grant application.\]

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

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

-   **Budget Form** -- Use SF 424A, which is part of the 5161-1. Fill
    out Sections B, C, and E of the SF 424A.

-   **Project Narrative and Supporting Documentation** -- The Project
    Narrative describes your project. It consists of Sections A
    through D. These sections in total may not be longer than 25 pages.
    More detailed instructions for completing each section of the
    Project Narrative are provided in "Section V---Application Review
    Information" of this document.

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

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

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

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

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

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

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

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    -   *Section H* - Confidentiality and SAMHSA Participant
        Protection/Human Subjects. Section IV-2.4 of this document
        describes requirements for the protection of the
        confidentiality, rights and safety of participants in
        SAMHSA-funded activities. This section also includes guidelines
        for completing this part of your application.

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    -   **Appendices 1 through 3** -- Use only the appendices listed
        below. Do not use more than 30 pages for Appendices 1 and 3.
        There are no page limitations for Appendix 2. Do not use
        appendices to extend or replace any of the sections of the
        Project Narrative. Reviewers will not consider them if you do.

        -   *Appendix 1*: Letters of Support

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

        -   *Appendix 3*: Sample Consent Forms

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

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

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

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

**2.3 Application Formatting Requirements**

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

-   Information provided must be sufficient for review.

-   Text must be legible.

• 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.

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

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

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

-   The 30-page limit for Appendices 1 and 3.

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

-   Pages should be typed single-spaced with one column per page.

-   Pages should not have printing on both sides.

-   Please use black ink and 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.

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

    4.  **SAMHSA Confidentiality and Participant Protection Requirements
        and**

**Protection of Human Subjects Regulations**

Applicants must describe procedures relating to Confidentiality,
Participant Protection and the Protection of Human Subjects Regulations
in Section H of the application, using the guidelines provided below.
Number range CHAPTERProblems with confidentiality, participant
protection, and protection of human subjects identified during peer
review of the application may result in the delay of funding.

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

All applicants [must]{.underline} describe how they will address the
requirements for each of the following elements relating to
confidentiality and participant protection.

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

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

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

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

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

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

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

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

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

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

3.  [Absence of Coercion]{.underline}

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

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

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

4.  [Data Collection]{.underline}

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

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

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-   Provide in **Appendix 2, "Data Collection Instruments/Interview
    Protocols,"** copies of [all]{.underline} available data collection
    instruments and interview protocols that you plan to use.

5.  [Privacy and Confidentiality]{.underline}

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

-   Describe:

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-   How you will use data collection instruments.

-   Where data will be stored.

-   Who will or will not have access to information.

-   How the identity of participants will be kept private, for example,
    through the use of a coding system on data records, limiting access
    to records, or storing identifiers separately from data.

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

6.  [Adequate Consent Procedures]{.underline}

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

-   State:

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-   Whether or not their participation is voluntary.

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

-   Possible risks from participation in the project.

-   Plans to protect clients from these risks.

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

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

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

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

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

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

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

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

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

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

    Applicants may have to comply with the Protection of Human Subjects
    Regulations (45 CFR 46), depending on the evaluation design proposed
    in the application.

    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.

    Additional information about Protection of Human Subjects
    Regulations can be obtained on the web at
    [http://ohrp.osophs.dhhs.gov](http://ohrp.osophs.dhhs.gov/). You may
    also contact OHRP by e-mail (<ohrp@osophs.dhhs.gov>[)]{.underline}
    or by phone (301-496-7005).

**3. SUBMISSION DATES AND TIMES**

Applications are due by close of business on July 2, 2004. Your
application must be received by the application deadline. Applications
sent through postal mail and received after this date must have a
proof-of-mailing date from the carrier dated at least 1 week prior to
the due date. Private metered postmarks are not acceptable as proof of
timely mailing.

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

**Applications not received by the application deadline or not
postmarked by a week prior to the application deadline will be screened
out and will not be reviewed**.

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

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

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

    -   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:

Substance Abuse and Mental Health Services Administration

Office of Program Services, Review Branch

5600 Fishers Lane, Room 17-89

Rockville, Maryland, 20857

> ATTN: SPOC -- Funding Announcement No. SP 04-002

**5. FUNDING LIMITATIONS/RESTRICTIONS**

Cost principles describing allowable and unallowable expenditures for
Federal grantees, including SAMHSA grantees, are provided in the
following documents:

-   Institutions of Higher Education: OMB Circular A-21

-   State and Local Governments: OMB Circular A-87

-   Nonprofit Organizations: OMB Circular A-122

-   Appendix E Hospitals: 45 CFR Part 74

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

-   Grant funds must be used for purposes supported by the program.

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-   The SPF SIG grantees may retain up to 15% of the total grant award
    for implementation of State-level activities, while a minimum of 85%
    of the total grant award must be allocated to community-level
    organizations to support activities taking place at the community
    level.

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-   Grant funds may not be used to pay for the purchase or construction
    of any building or structure to house any part of the grant project.
    Applications may request up to \$75,000 for renovations and
    alterations of existing facilities.

**6. OTHER SUBMISSION REQUIREMENTS**

**6.1 Where to Send Applications**

Send applications to the following address:

Substance Abuse and Mental Health Services Administration

Office of Program Services, Review Branch

5600 Fishers Lane, Room 17-89

Rockville, Maryland, 20857.

Be sure to include "SPF SIG/SP 04-002" in item number 10 on the face
page of the application. If you require a phone number for delivery, you
may use (301) 443-4266.

**6.2 How to Send Applications**

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

You must use a recognized commercial or governmental carrier. **Hand
carried applications will not be accepted. Faxed or e-mailed
applications will not be accepted.**

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

**1. EVALUATION CRITERIA**

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

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

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

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

-   The Supporting Documentation you provide in Sections E-H and
    Appendices 1-5 will be considered by reviewers in assessing your
    response, along with the material in the Project Narrative.

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

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

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

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

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

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

**Section B: Proposed Approach (35 points)**

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

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

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

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

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

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

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

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

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-   Describe your plans for forming and mobilizing a new SPF Advisory
    Council or enhancing an existing advisory body to meet the
    requirements for the SPF Advisory Council described in Section
    I-2.4, SPF Advisory Council. Include a description of the SPF
    Advisory Council's membership, roles and functions, and frequency of
    meetings.

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

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

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-   Describe the community partners and any other organizations that
    will participate in the project and their roles and
    responsibilities. Demonstrate their commitment to the project.
    Include letters of commitment/coordination/support from these
    community organizations in **Appendix 1** of the application.
    Identify any cash or in-kind contributions that will be made to the
    project.

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-   Describe how members of the target population were involved in the
    preparation of the application, and how they will be involved in the
    planning, implementation, and evaluation of the project.

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

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

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

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

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

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

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

**Section D: Evaluation and Data (30 points)**

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

-   Document your ability to collect and report on the required
    performance measures as specified in Section I-2.5, Data and
    Performance Measurement, and Appendix D of this grant announcement.
    Specify and justify any additional measures you plan to use for your
    grant project.

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

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

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

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

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

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

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

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

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

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.

**2. REVIEW AND SELECTION PROCESS**

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

Decisions to fund a grant are based on:

-   the strengths and weaknesses of the application as identified by
    peer reviewers and, when appropriate, approved by the appropriate
    National Advisory Council;

-   availability of funds;

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

-   after applying the aforementioned criteria, the following method for
    breaking ties: When funds are not available to fund all applications
    with identical scores, SAMHSA will make award decisions based on the
    application(s) that received the greatest number of points by peer
    reviewers on the evaluation criterion in Section V-1 with the
    highest number of possible points (Proposed Approach - 35 points).
    Should a tie still exist, the evaluation criterion with the next
    highest possible point value will be used, continuing sequentially
    to the evaluation criterion with the lowest possible point value,
    should that be necessary to break all ties.

**VI. AWARD ADMINISTRATION INFORMATION**

**1. AWARD NOTICES**

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

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

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

**2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS**

**2.1 General Requirements**

[]{.mark}

-   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/2004/useful_info.asp](http://www.samhsa.gov/grants/2004/useful_info.asp).

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

    -   actions required to be in compliance with human subjects
        requirements;

    -   requirements relating to additional data collection and
        reporting;

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

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

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-   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.

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

**3. REPORTING REQUIREMENTS**

## 

## **3.1 Progress and Financial Reports**

-   Grantees must provide quarterly and final progress reports. The
    final progress report must summarize information from the quarterly
    reports, describe the accomplishments of the project, and describe
    next steps for implementing plans developed during the grant period.

-   Grantees must provide quarterly and final financial status reports.
    These reports may be included as separate sections of quarterly and
    final progress reports or can be separate documents. Because SAMHSA
    is extremely interested in ensuring that infrastructure development
    and enhancement efforts can be sustained, your financial reports
    must explain plans to ensure the sustainability (see Glossary --
    Appendix B) of efforts initiated under this grant. Initial plans for
    sustainability should be described in year 1 of the grant. In each
    subsequent year, you should describe the status of the project,
    successes achieved and obstacles encountered in that year.

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

**3.2 Government Performance and Results Act**

The Government Performance and Results Act (GPRA) mandates
accountability and performance-based management by Federal agencies. To
meet the GPRA requirements, SAMHSA must collect performance data (i.e.,
"GPRA data") from grantees. The performance requirements for SAMHSA's
SPF SIGs are described in Section I-2.5 under "Data and Performance
Measurement" of this document.

**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 (301-443-8596) of any materials based on the SAMHSA-funded
project that are accepted for publication.

In addition, SAMHSA requests that grantees:

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

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

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

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

**VII. AGENCY CONTACTS**

For questions on program issues, contact:

Mr. Mike Lowther

Director, Division of State and Community Systems Development

Center for Substance Abuse Prevention

5600 Fishers Lane

Rockwall II, Suite 930

Rockville, MD 20857

301-443-0369

<mlowther@samhsa.gov>

or

Mr. Dave Robbins

Deputy Director, Division of State and Community Systems Development

Center for Substance Abuse Prevention

Rockwall II, Suite 930

Rockville, MD 20857

301-443-0369

<drobbins@samhsa.gov>

For questions on grants management issues, contact:

> Ms. Edna Frazier

Office of Program Services, Division of Grants Management

Substance Abuse and Mental Health Services Administration

5600 Fishers Lane

Rockwall II, Suite 630

Rockville, MD 20857

\(301\) 443-6816

<efrazier@samhsa.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.** In addition to these
formatting requirements, programmatic requirements (e.g., relating to
eligibility) may be stated in the specific funding announcement. Please
check the entire funding announcement before preparing your
application.*

-   Use the PHS 5161-1 application.

-   Applications must be received by the application deadline.
    Applications received after this date must have a proof of mailing
    date from the carrier dated at least 1 week prior to the due date.
    Private metered postmarks are not acceptable as proof of timely
    mailing. Applications not received by the application deadline or
    not postmarked at least 1 week prior to the application deadline
    will not be reviewed.

-   Information provided must be sufficient for review.

-   Text must be legible.

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-   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.

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-   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.

• 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 total number of allowed pages. 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.

-   The page limit for Appendices stated in the specific funding
    announcement cannot be exceeded.

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

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

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

-   Abstract

-   Table of Contents

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

-   Project Narrative and Supporting Documentation

-   Appendices

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

-   Certifications (a form in PHS 5161-1)

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

-   Checklist (a form in PHS 5161-1)

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-   Applications should comply with the following requirements:

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-   Provisions relating to confidentiality, participant protection and
    the protection of human subjects specified in Section IV-2.4 of the
    specific funding announcement.

-   Budgetary limitations as specified in Sections I, II, and IV-5 of
    the specific funding announcement.

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

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-   Pages should be typed single-spaced with one column per page.

-   Pages should not have printing on both sides.

-   Please use black ink, and 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.

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

> **Appendix B -- Glossary**

[]{.mark}

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

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

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

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

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

**[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.

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

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

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

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

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

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

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

**Appendix C: National Registry of Effective Programs**

To help SAMHSA's constituents learn more about science-based programs,
SAMHSA's Center for Substance Abuse Prevention (CSAP) created a National
Registry of Effective Programs (NREP) to review and identify effective
programs. NREP seeks candidates from the practice community and the
scientific literature. While the initial focus of NREP was substance
abuse prevention programming, NREP has expanded its scope and now
includes prevention and treatment of substance abuse and of co-occurring
substance abuse and mental disorders, and psychopharmacological programs
and workplace programs.

NREP includes three categories of programs: Effective Programs,
Promising Programs, and Model Programs. Programs defined as Effective
have the option of becoming Model Programs if their developers choose to
take part in SAMHSA dissemination efforts. The conditions for making
that choice, together with definitions of the three major criteria, are
as follows.

[**Promising
Programs**](http://modelprograms.samhsa.gov/template_cf.cfm?page=promising_list)
have been implemented and evaluated sufficiently and are scientifically
defensible. They have positive outcomes in preventing substance abuse
and related behaviors. However, they have not yet been shown to have
sufficient rigor and/or consistently positive outcomes required for
Effective Program status. Nonetheless, Promising Programs are eligible
to be elevated to Effective/Model status after review of additional
documentation regarding program effectiveness. Originated from a range
of settings and spanning target populations, Promising Programs can
guide prevention, treatment, and rehabilitation.

[**Effective
Programs**](http://modelprograms.samhsa.gov/template_cf.cfm?page=effective_list)
are well-implemented, well-evaluated programs that produce consistently
positive pattern of results (across domains and/or replications).
Developers of Effective Programs have yet to help SAMHSA/CSAP
disseminate their programs, but may do so themselves.

[**Model
Programs**](http://modelprograms.samhsa.gov/template_cf.cfm?page=model_list)
are also well-implemented, well-evaluated programs, meaning they have
been reviewed by NREP according to rigorous standards of research. Their
developers have agreed with SAMHSA to provide materials, training, and
technical assistance for nationwide implementation. That helps ensure
the program is carefully implemented and likely to succeed.

Programs that have met the NREP standards for each category can be
identified by accessing the NREP Model Programs Web site at
[www.modelprograms.samhsa.gov](http://www.modelprograms.samhsa.gov/).

**Appendix D: Performance Measures for the SPF SIG**

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

####### National Outcomes and National Outcome Measures

This list represents the specific questions to be used to determine
progress toward the National Outcome Measures listed in Section I-2.5.
Grantees and subgrantees may be required to supply additional data to
comply with any evaluations of the SPF SIG program and/or as required by
SAMHSA. For the past 10 years, SAMHSA and the States have endeavored to
bring accountability for performance to SAMHSA's Block Grants. SAMHSA
and the States have identified seven key domains of resilience and
recovery, including: abstinence from alcohol abuse or drug use, or
decreased mental illness symptomatology; increased or retained
employment and school enrollment; decreased involvement with the
criminal justice system; increased stability in family and living
conditions; increased access to services; increased retention in
services (substance abuse) or decreased utilization of psychiatric
inpatient beds (mental health); and increased social supports/social
connectedness. These seven domains, as well as three outcomes identified
by the OMB Program Assessment Rating Tool (PART) process -- client
perception of care, cost effectiveness, and use of evidence-based
practices -- constitute the ten National Outcomes.

Specifically, with regard to substance abuse prevention, SAMHSA's Center
for Substance Abuse Prevention (CSAP) and a group of State prevention
officials have met regularly to identify and define the performance
measures now being tested by the States as part of CSAP's original State
Incentive Grant program, many of which are taken from existing data
sources, such as CSAP's Minimum Data Set or its Core Measures
Initiative. The measures listed in Section I-2.5 and the data elements
for each measure provided below are the National Outcome Measures for
substance abuse prevention.

###### Developmental Measures

As indicated, some of the specific National Outcome Measures for
substance abuse prevention are "developmental," requiring further work
by SAMHSA and the States to delineate the best measures to assess
progress toward reporting National Outcomes. Specifically, these
developmental measures include measures for the National Outcomes of
returning to/staying in school (school attendance, ATOD-related
suspensions/expulsions, drug-related workplace injuries), decreased
criminal justice involvement (drug-related crime), increased stability
in family and living conditions (parent participation in prevention
activities), and cost effectiveness (increase services provided within
cost bands.)

For these developmental measures, SAMHSA is asking grantees to develop
their own data sources and data elements and be prepared to discuss
their initial experience with the sources and elements at a grantee
meeting three months after the grant period begins. Given that it is
SAMHSA's intent to have the same National Outcome measures for both this
program and the substance abuse prevention activities funded by the SAPT
Block Grant, SAMHSA will also ask State officials working on the
prevention portion of the SAPT Block Grant to participate in that
meeting. At the meeting, participants will identify and agree to data
elements and data collection approaches for the developmental measures.
By having the same National Outcome Measures, data sources, and data
elements for both the SPF SIG and the prevention portion of the SAPT
Block Grant, SAMHSA hopes to minimize the reporting burden on the States
and enable SAMHSA and the States to effectively monitor participant and
program outcomes and help direct systems improvements.

Grantees and State Block Grant officials will also work with SAMHSA to
identify a measure, data source and data elements for the National
Outcome of Increased Social Supports/Social Connectedness.

SAMHSA anticipates that its work with State officials to finalize these
developmental measures will be part of its collaboration with the States
to continually assess and improve the National Outcome Measures.

**In its application, the State should demonstrate how it intends to
ensure that outcome and financial data is reported in a timely**
**manner**. States should describe how they intend to ensure that
outcome data are reported on the following National Outcomes:

1.  **ABSTINENCE FROM DRUG USE/ALCOHOL** **ABUSE**

    1.  **30-Day Substance Use (Non-use/reduction in use)**

> **(DATA** **SOURCE:** CSAP Core Measures\*)
>
> **DATA ELEMENTS:**

######## Tobacco

1)  How frequently have you smoked cigarettes during the past 30 days?

> 1 Not at all
>
> 2 Less than one cigarette per day
>
> 3 One to five cigarettes per day
>
> 4 About one-half pack per day
>
> 5 About one pack per day
>
> 6 About one and one-half packs per day

7.  Two packs or more per day

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2)  How often have you taken smokeless tobacco during the past 30 days?

> 1 Not at all
>
> 2 Once or twice
>
> 3 Once or twice per week
>
> 4 Three to five times per week
>
> 5 About once a day
>
> 6 More than once a day

3)  To be more precise, during the past 30 days about how many
    cigarettes have you smoked per day?

    1.  None

    2.  Less than 1 per day

> 3 1 to 2
>
> 4 3 to 7
>
> 5 8 to 12
>
> 6 13 to 17
>
> 7 18 to 22
>
> 8 23 to 27
>
> *Alcoholic beverages include beer, wine, wine coolers, and liquor*.

4)  On how many occasions during the last 30 days have you had alcoholic
    beverages to drink (more than just a few sips)?

> 1 0 occasions
>
> 2 1-2 occasions
>
> 3 3-5 occasions
>
> 4 6-9 occasions
>
> 5 10-19 occasions
>
> 6 20-39 occasions
>
> 7 40 or more occasions

5)  On how many occasions during the past 30 days (if any) have you been
    drunk or very high from drinking alcoholic beverages?

> 1 0 occasions
>
> 2 1-2 occasions
>
> 3 3-5 occasions
>
> 4 6-9 occasions
>
> 5 10-19 occasions
>
> 6 20-39 occasions
>
> 7 40 or more occasions

######## Marijuana, hashish, inhalants, LSD

6)  On how many occasions during the past 30 days (if any) have you used
    marijuana (grass, pot) or hashish (hash, hash oil)?

> 1 0 occasions
>
> 2 1-2 occasions
>
> 3 3-5 occasions
>
> 4 6-9 occasions
>
> 5 10-19 occasions
>
> 6 20-39 occasions
>
> 7 40 or more occasions

7)  During the LAST MONTH, about how many marijuana cigarettes (joints,
    reefers), or the equivalent, did you smoke a day, on the average?
    (If you shared them with other people, count only the amount YOU
    smoked).

> 1 None
>
> 2 Less than 1 a day
>
> 3 1 a day
>
> 4 2-3 a day
>
> 5 4-6 a day
>
> 6 7-10 a day
>
> 7 11 or more a day

8)  On how many occasions during the last 30 days (if any) have you
    sniffed glue, or breathed the contents of aerosol spray cans, or
    inhaled any other gases or sprays in order to get high?

> 1 0
>
> 2 1-2 occasions
>
> 3 3-5 occasions
>
> 4 6-9 occasions
>
> 5 10-19 occasions
>
> 6 20-39 occasions
>
> 7 40 or more occasions

9)  On how many occasions (if any) in the last 30 days have you taken
    LSD ("acid")?

> 1 0
>
> 2 1-2 occasions
>
> 3 3-5 occasions
>
> 4 6-9 occasions
>
> 5 10-19 occasions
>
> 6 20-39 occasions
>
> 7 40 or more occasions
>
> *Amphetamines are sometimes called: uppers, ups, speed, bennies,
> dexies, pep pills, diet pills, meth or crystal meth. They include the
> following drugs: Benzedrine, Dexedrine, Methedrine, Ritalin, Preludin,
> Dexamyl, and Methamphetamine.*

10) On how many occasions (if any) during the last 30 days have you
    taken amphetamines on your own---that is, without a doctor telling
    you to take them?

> 1 0
>
> 2 1-2 occasions
>
> 3 3-5 occasions
>
> 4 6-9 occasions
>
> 5 10-19 occasions
>
> 6 20-39 occasions
>
> 7 40 or more occasions

######## Cocaine, Crack Cocaine

11) On how many occasions (if any) during the last 30 days have you
    taken "crack" (cocaine in chunk or rock form)?

> 1 0
>
> 2 1-2 occasions
>
> 3 3-5 occasions
>
> 4 6-9 occasions
>
> 5 10-19 occasions
>
> 6 20-39 occasions
>
> 7 40 or more occasions

12) On how many occasions (if any) during the last 30 days have you
    taken cocaine in any other form (like cocaine powder)?

> 1 0
>
> 2 1-2 occasions
>
> 3 3-5 occasions
>
> 4 6-9 occasions
>
> 5 10-19 occasions
>
> 6 20-39 occasions
>
> 7 40 or more occasions
>
> **1.2 Availability of alcohol, tobacco and other drugs**

**DATA** **SOURCE:** CSAP Core Measures \* p. 206 (subset of full scale)

> **DATA ELEMENTS:**

1\) If you wanted to get some beer, wine, or hard liquor (for example,
vodka, whiskey or gin), how easy would it be for you to get some?

> Very hard
>
> Sort of hard
>
> Sort of easy
>
> Very easy
>
> 2\) If you wanted to get some cigarettes, how easy would it be for you
> to get some?
>
> Very hard
>
> Sort of hard
>
> Sort of easy
>
> Very easy
>
> 3\) If you wanted to get some marijuana, how easy would it be for you
> to get some?
>
> Very hard
>
> Sort of hard
>
> Sort of easy
>
> Very easy
>
> 4\) If you wanted to get a drug like cocaine, LSD, or amphetamines,
> how easy would it be for you to get some?
>
> Very hard
>
> Sort of hard
>
> Sort of easy
>
> Very easy
>
> **1.3** **Perception of drug use as harmful**

**DATA** **SOURCE:** CSAP Core Measures\* p. 76 (subset of full scale)

> **DATA ELEMENTS:**
>
> 1\) How much do you think people risk harming themselves (physically
> or in other ways) if they smoke one or more packs of cigarettes per
> day?
>
> No risk
>
> Slight risk
>
> Moderate risk
>
> Great risk
>
> Can't say/Drug unfamiliar
>
> 2\) How much do you think people risk harming themselves (physically
> or in other ways) if they try marijuana once or twice?
>
> No risk
>
> Slight risk
>
> Moderate risk
>
> Great risk
>
> Can't say/Drug unfamiliar
>
> 3\) How much do you think people risk harming themselves (physically
> or in other ways) if they smoke marijuana regularly?
>
> No risk
>
> Slight risk
>
> Moderate risk
>
> Great risk
>
> Can't say/Drug unfamiliar
>
> 4\) How much do you think people risk harming themselves (physically
> or in other ways) if they take one or two drinks nearly every day?
>
> No risk
>
> Slight risk
>
> Moderate risk
>
> Great risk
>
> Can't say/Drug unfamiliar
>
> 5\) How much do you think people risk harming themselves (physically
> or in other ways) if they have five or more drinks once or twice each
> weekend?
>
> No risk
>
> Slight risk
>
> Moderate risk
>
> Great risk
>
> Can't say/Drug unfamiliar
>
> **1.4** **Attitude toward use (Perception of drug use as wrong)**

**DATA SOURCE:** CSAP Core Measures\* p. 71

> **DATA ELEMENTS:**
>
> 1\) How wrong do you think it is for someone your age to drink beer,
> wine or hard liquor (for example, vodka, whiskey or gin) regularly?
>
> Very wrong
>
> Wrong
>
> A little bit wrong
>
> Not at all wrong
>
> 2\) How wrong do you think it is for someone your age to smoke
> cigarettes?
>
> Very wrong
>
> Wrong
>
> A little bit wrong
>
> Not at all wrong
>
> 3\) How wrong do you think it is for someone your age to smoke
> marijuana?
>
> Very wrong
>
> Wrong
>
> A little bit wrong
>
> Not at all wrong
>
> 4\) How wrong do you think it is for someone your age to use LSD,
> cocaine, amphetamines or another illegal drug?
>
> Very wrong
>
> Wrong
>
> A little bit wrong
>
> Not at all wrong

1.  **INCREASED/RETAINED** **EMPLOYMENT OR RETURN TO/STAY IN SCHOOL**

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1.  **School Attendance** **-- DEVELOPMENTAL**

**DATA SOURCE:** Social Indicator data

2.  **ATOD-Related Suspensions/Expulsions** **- DEVELOPMENTAL**

**DATA SOURCE:** Social Indicator data

3.  **Drug-Related Workplace Injuries** **- DEVELOPMENTAL**

**DATA SOURCE:** Social indicator and/or workplace-specific data

1.  **DECREASED CRIMINAL JUSTICE INVOLVEMENT**

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1.  **Drug-Related Crime** **- DEVELOPMENTAL**

**DATA SOURCE:** Social indicator data

1.  **INCREASED STABILITY IN FAMILY AND LIVING CONDITIONS**

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1.  **Parent participation in** **prevention** **activities -
    DEVELOPMENTAL**

**DATA SOURCE:** Program-specific data

1.  **INCREASED ACCESS TO SERVICES (SERVICE CAPACITY)**

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1.  **Number of persons served by age, gender, race and ethnicity**

> **DATA SOURCE:** CSAP Minimum Data Set,
> [http://prevtech.samhsa.gov](http://prevtech.samhsa.gov/) or
> compatible management information system)
>
> **DATA ELEMENTS:**

# 1) Attendees/Participants by Age

> Age 0-4
>
> Age 5-11
>
> Age 12-14
>
> Age 15-17
>
> Age 18-20
>
> Age 21-24
>
> Age 25-44
>
> Age 45-64
>
> Age 65+

# 

# 2) Attendees/Participants by Gender

> New Participants, Male
>
> New Participants, Female

# 3) Attendees/Participants by Racial/Ethnic Category

> Are you Hispanic or Latino?
>
> Yes
>
> No
>
> What is your race?(Select one or more)
>
> Black or African American
>
> Asian
>
> American Indian
>
> Alaska Native
>
> White
>
> Native Hawaiian or Other Pacific Islander

1.  **INCREASED SOCIAL SUPPORTS/SOCIAL CONNECTEDNESS --MEASURE TO BE
    IDENTIFIED**

2.  **COST EFFECTIVENESS**

> **7.1 Increase services provided within cost bands - DEVELOPMENTAL**
>
> **DATA SOURCE:** TO BE DETERMINED

3.  **USE OF EVIDENCE-BASED PRACTICES**

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1.  **Total Number of** **Evidence-based Programs and Strategies Funded
    by SPF SIG**

**DATA SOURCE:** SIG Subrecipient Checklist

> **DATA ELEMENTS:**

1.  Is this intervention science-based? (Check yes or no.)

> 1\. Yes.
>
> 2\. No.
>
> Science-Based Interventions (Part II, Questions 10-13[)]{.underline}
> have been reviewed by experts in the field according to predetermined
> standards of empirical research. Science-based programs are theory
> based, have sound research methodology, and can support that effects
> are clearly linked to the program itself and not to extraneous events.
> Results from science-based programs may be positive, neutral, or
> negative.

\* The CSAP Core Measures Notebook is available at
<http://www.samhsa.gov/grants/2004/downloads/CSAP_Core_Measures.doc>
(Word version) or
<http://www.samhsa.gov/grants/2004/downloads/CSAP_Core_Measures.pdf>
(PDF version).

OMB clearance is required for all data collection activities. All data
is to be shared with SAMHSA/CSAP per the Terms and Conditions of the
award.