Department of Health and Human Services

**Substance Abuse and Mental Health Services Administration**

**Addiction Technology Transfer Centers (Short title: ATTC)**

**(Initial Announcement)**

**Announcement #: TI-07-001**

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

**Key Dates:**

+----------------------+-----------------------------------------------+
| **Application        | **Applications are due by June 1, 2007.**     |
| Deadline**           |                                               |
+----------------------+-----------------------------------------------+
| **Intergovernmental  | **Letters from State Single Point of Contact  |
| Review**             | (SPOC) are due no later than 60 days after    |
|                      | application deadline.**                       |
| **(E.O. 12372)**     |                                               |
+----------------------+-----------------------------------------------+
| **Public Health      | **Applicants must send the PHSIS to           |
| System Impact        | appropriate State and local health agencies   |
| Statement            | by application deadline. Comments from Single |
| (PHSIS)/Single State | State Agency are due no later than 60 days    |
| Agency               | after application deadline.**                 |
| Coordination**       |                                               |
+----------------------+-----------------------------------------------+

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

H. Westley Clark, M.D., J.D., M.P.H. Terry L. Cline, Ph.D.

Director Administrator

Center for Substance Abuse Treatment Substance Abuse and Mental Health

Substance Abuse and Mental Health Services Administration

Services Administration

Table of Contents

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

[1. INTRODUCTION 5](#introduction)

[2. EXPECTATIONS 5](#expectations)

[II. AWARD INFORMATION 13](#ii.-award-information)

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

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

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

[3. OTHER 15](#other)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

[Appendix C -- Confidentiality and Participant Protection
39](#appendix-c-confidentiality-and-participant-protection)

[Appendix D -- Sample Budget and Justification
43](#appendix-d-sample-budget-and-justification)

[Appendix E - Grant Award Structure for ATTC Regions
47](#appendix-e---grant-award-structure-for-attc-regions)

[Appendix F - Partners for Recovery-Addiction Technology Transfer
Centers Leadership Institute (PFR-ATTC LI)
48](#appendix-f---partners-for-recovery-addiction-technology-transfer-centers-leadership-institute-pfr-attc-li)

[Appendix G - Recovery-Oriented Systems of Care
51](#appendix-g---recovery-oriented-systems-of-care)

[Appendix H -- Brief Description of the NIDA-SAMHSA Blending Initiative
56](#appendix-h-brief-description-of-the-nida-samhsa-blending-initiative)

[Appendix I - Definitions of Key Terms
57](#appendix-i---definitions-of-key-terms)

**Executive Summary:**

The Substance Abuse and Mental Health Services Administration, Center
for Substance Abuse Treatment is accepting applications for fiscal year
(FY) 2007 for Addiction Technology Transfer Centers (ATTC) grants. The
purpose of this program is to develop and strengthen the workforce that
provides addictions treatment services to 23 million Americans age 12
and older who need treatment for alcohol or illicit drug problems
(NSDUH, 2005). In partnership with Single State Authorities, treatment
provider associations, addictions counselors, multidisciplinary
professionals, faith and recovery community leaders, family members of
those in recovery, and other stakeholders, the ATTCs assess the training
and development needs of the substance use disorders workforce, and
develop and conduct training and technology transfer activities to meet
identified needs. Particular emphasis is on raising awareness of and
improving skills in using evidence-based and promising
treatment/recovery practices in recovery-oriented systems of care.

# 

**Funding Opportunity Title:** Addiction Technology Transfer Centers

**Funding Opportunity Number:** TI-07-001

**Due Date for Applications:** June 1, 2007

**Anticipated Total Available Funding:** \$7.8 million

**Estimated Number of Awards:** 15 ATTC awards

**Estimated Award Amount:** \$500,000 - \$550,000 (See Appendix E)

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

**Eligible Applicants:** Domestic public and private nonprofit entities

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

#  

# I. FUNDING OPPORTUNITY DESCRIPTION

## INTRODUCTION

The Substance Abuse and Mental Health Services Administration, Center
for Substance Abuse Treatment is accepting applications for fiscal year
(FY) 2007 for Addiction Technology Transfer Centers (ATTC) grants. The
purpose of this program is to develop and strengthen the workforce that
provides addictions treatment services to 23 million Americans age 12
and older who need treatment for alcohol or illicit drug problems
(NSDUH, 2005). In partnership with Single State Authorities, treatment
provider associations, addictions counselors, multidisciplinary
professionals, faith and recovery community leaders, family members of
those in recovery, and other stakeholders, the ATTCs assess the training
and development needs of the substance use disorders workforce, and
develop and conduct training and technology transfer activities to meet
identified needs. Particular emphasis is on raising awareness of and
improving skills in using evidence-based and promising
treatment/recovery practices in recovery-oriented systems of care.

[]{.mark}

ATTC grants are authorized under Section 509 of the Public Health
Service Act, as amended. This announcement addresses Healthy People 2010
focus area 26 (Substance Abuse).

## 2. EXPECTATIONS

SAMHSA will make awards to 14 Regional Centers and 1 National
Coordinating Center. The applicant must be based in one of the States
within the ATTC Region for which they are applying. (See Appendix E for
the ATTC regions.)

SAMHSA's ATTC grants will support the following types of activities:

**2.1 Regional Sites**

**Required Activities**

The regional ATTC sites must provide the following services:

-   Build and maintain collaborative relationships with key stakeholders
    in their region (including State and local governments; provider
    associations; professional, recovery community, and faith-based
    organizations; academic institutions; counselor credentialing
    bodies, Regional Indian Health Boards, and others) to advance the
    professional development of students and practitioners in the
    substance use disorders treatment field.

-   To the extent possible, avoid duplication of effort and maximize the
    impact of activities and services within the region by coordinating
    activities with Single State Agencies, treatment providers
    associations, Network for the Improvement of Addiction Treatment
    (NIATx) grantees, Centers for the Advancement of Prevention
    Technology, Health and Human Services (HHS) training centers focused
    on issues of substance use disorders or closely related topics
    (e.g., HHS Office of Population Affairs' Regional Training Centers,
    Health Resources and Services Administration's AIDS Education
    Training Centers, Center for Disease Control's Prevention Training
    Centers), and other related organizations.

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-   Use innovative technology transfer strategies to promote the
    adoption of culturally appropriate, evidence-based and promising
    practices, and to disseminate relevant research findings from the
    National Institute on Drug Abuse (NIDA), the National Institute on
    Alcohol Abuse and Alcoholism (NIAAA), the National Institute of
    Mental Health (NIMH), SAMHSA, and other government agencies.
    Strategies must include, among other approaches, curricula and other
    learning events, delivered face-to-face and/or via the Internet, for
    practitioners working in the substance use disorders treatment and
    recovery field and/or for students training for roles in the field.

-   Provide Leadership Institutes based on an approved, promising model
    of leadership development, the CSAT Partners for Recovery/Addiction
    Technology Transfer Centers Leadership Institute (PFR-ATTC LI), that
    fosters the growth of emerging leaders in the substance use
    disorders treatment field using methods such as personal
    assessments, mentors, intensive training, experiential learning, and
    continuing education. Note: Applicants must use the approved
    PRF-ATTC LI model or propose a similarly comprehensive model that
    incorporates the same or similar components. Appendix F provides a
    description of the approved model and its components, along with
    important budgeting information.

```{=html}
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```
-   Provide training and technical assistance for clinical supervisors
    based on the core competencies developed for clinical supervisors
    (see CSAT Technical Assistance Publication, *Competencies for
    Substance Abuse Treatment Clinical Supervisors* (2007), and offer
    training for clinical supervisors on evidence-based practices so
    supervisors can foster the adoption of these practices by front-line
    practitioners.

-   At least once every 3 years, conduct workforce surveys in the States
    in their region using a uniform, standardized methodology and
    instrument and, based on survey findings, prepare workforce reports.
    (The standardized methodology and instrument will be developed by an
    expert panel convened by the ATTC National Coordinating Center with
    representation from the Regional Centers.)

-   Help prepare the workforce to deliver services in a
    recovery-oriented system of care. Appendix G provides a working
    definition of recovery, principles of recovery, and elements of a
    recovery-oriented system of care.

-   Serve as a resource for community-based and faith-based
    organizations, recovery community groups, consumers and family
    members, and other stakeholders on recovery from substance use
    disorders, including medication-assisted treatment, and
    recovery-oriented systems of care.

-   Provide information and maintain an updated section on the
    consolidated ATTC Network Internet site (to be developed and
    maintained by the ATTC National Coordinating Center) with
    Region-specific information and resources.

-   Enhance the clinical and cultural competencies of substance use
    disorders treatment practitioners.

-   Participate in cross-regional and/or Network-wide activities to
    promote the adoption of evidence-based and promising practices,
    recovery-oriented systems of care, educational standards, and other
    topics of importance to the substance use disorders
    treatment/recovery field.

> **Allowable Activities**

-   Develop and provide training and other resource materials for
    clinical supervisors, human resource managers, administrators and
    State/Territory agency staff on relapse prevention/intervention for
    addictions counselors (many of whom are in recovery and potentially
    subject to relapse). This training will help address the need of the
    workforce to reduce compassion fatigue or vicarious traumatization
    and to promote wellness and self-care for front-line counseling
    staff.

-   Develop, implement, and/or participate in activities aimed at
    upgrading standards of professional practice for addictions workers,
    including working with academic institutions that train and educate
    addiction counseling students.

-   Develop strategies and materials to enhance recruitment and
    retention of substance use disorders treatment practitioners.

**2.2 ATTC National Office**

> Applications for the ATTC National Office may be submitted by an ATTC
> Regional Center or a separate organization eligible to apply for these
> cooperative agreements (public and domestic private nonprofit entities
> such as units of State or local government, recovery and other
> community-based organizations, and State or private, non-profit
> universities, colleges, and hospitals). An organization may submit an
> application for an ATTC Regional Center and/or the ATTC National
> Office; however, a separate application is required for each function.
> **Although the ATTC National Office may be established by an
> organization that also has an ATTC site, it must be set up as a
> separate entity with dedicated staff, a separate and independent
> project director, a separate budget and audit, and specific
> responsibilities.**
>
> **Required Activities**

-   Serve as focal point for the ATTC Network in identifying and
    promoting evidence-based and promising practices in organizational
    change and technology transfer to promote the dissemination and
    adoption of evidence-based and promising treatment and recovery
    practices and recovery-oriented systems of care.

-   Collaborate with CSAT and the Regional Centers in identifying and
    facilitating cross-regional and/or Network-wide activities to
    promote the adoption of evidence-based and promising practices,
    recovery-oriented systems of care, and other topics of importance to
    the substance use disorders treatment/recovery field.

-   Work with educators and academic institutions to encourage the
    development of educational standards for preparing students to enter
    the addictions treatment field, and to promote the development of
    curricula based on evidence-based and promising practices.

-   Provide conceptual and logistical support for the ATTC Steering
    Committee, annual Network Meeting, and other meetings as required,
    including developing agendas, meeting materials, and meeting
    summaries; securing hotel sleeping rooms and meeting space;
    arranging for speakers/presenters; and coordinating and facilitating
    meeting follow-up activities.

-   Help ensure a coordinated, Network-wide approach to meeting the
    training and technology transfer needs of the field, and develop
    methods to minimize duplication of efforts by the Regional Centers.

-   Maintain an inventory of and serve as a clearinghouse for ATTC
    products (curricula, trainings, distance learning programs, etc.),
    and disseminate ATTC products throughout the ATTC Network and to
    other stakeholders in the field.

-   Facilitate communication and collaboration between and among ATTC
    Regional Centers by maintaining a Network-wide intranet and other
    communication resources, such as electronic discussion lists,
    electronic magazines, and information/data collection instruments.

-   Consolidate the ATTC Regional Centers' Websites into one ATTC
    Network Website that provides the Network with a high-quality,
    user-friendly presence on the World Wide Web, including portals to
    region-specific information. Ensure that the ATTC Network Website
    provides quick and easy access to subjects and resources across the
    entire Network. (Refer to [www.nattc.org](http://www.nattc.org/) for
    current topics and organization of the ATTC National Office's
    Website.)

-   Convene experts (including ATTC Regional Center experts) to design a
    national workforce survey methodology, develop the survey instrument
    to be used, provide for the analysis of the data and, based on the
    findings, prepare workforce reports. Prepare any needed OMB
    clearance package for the national workforce survey.

-   Coordinate the Leadership Institutes across the Network and provide
    Network-wide information and materials on leadership development.

-   Convene national task forces and/or focus groups as requested by
    CSAT or SAMHSA.

-   Prepare clearance packages for review by SAMHSA for ATTC products
    CSAT deems appropriate for national distribution.

-   Coordinate ATTC linkages with national professional organizations to
    provide presentations, workshops, etc., and/or have exhibits at
    national meetings, as well as presentations on behalf of the ATTC
    Network at meetings with a national audience or with an audience
    from multiple Regional Centers.

-   Collect, collate, and synthesize information from the ATTC Regional
    Centers for reports, briefs, and presentation on ATTC Network
    activities.

> **Allowable Activities**

-   Develop, implement, and/or participate in activities aimed at
    upgrading standards of professional practice for addictions workers.

-   Develop strategies and materials to enhance recruitment and
    retention of substance abuse treatment practitioners.

**2.3 Other Expectations**

**Target Audience**

[Front-line Addictions Counselors in Specialty Settings versus
Multidisciplinary Professionals in Other Service Delivery
Systems]{.underline}: Awardees should target the majority of their
efforts and resources toward enhancing the knowledge and skills of the
addictions workforce and promoting the adoption of
evidence-based/promising practices in specialty substance use disorders
treatment settings. This will involve providing training and technical
assistance for front-line addictions counselors, and/or clinical
supervisors of front-line addictions counselors, and/or other key
treatment organization personnel, as well as students (Associate,
Baccalaureate, and Masters level) preparing for roles in the substance
use disorders treatment field in their regions. SAMHSA also recognizes
that professionals working in other settings (e.g., criminal justice,
child welfare, primary health care), as well as nonprofessionals (e.g.,
faith community members, peer recovery community leaders), also play an
important role in the recovery process. Awardees may devote a maximum of
35% of their resources toward training non-specialty professionals and
nonprofessional providers of recovery support services.

**Regional versus National Focus**

The majority of funds awarded under the program should be directed
toward the development and implementation of training and technology
transfer activities in the regions served by the ATTC Regional Center.
However, awardees will also participate in Network-wide activities aimed
at a nation-wide audience or focusing on outcomes of national scope.
Applicants may devote up to 15% of their SAMHSA award toward
Network-wide activities, including travel to meetings. Additionally,
applicants may budget up to 10% of their SAMHSA award toward broad
organizational and institutional systems change efforts to be identified
by the Regional Centers and National Coordinating Center in
collaboration with SAMHSA/CSAT. (The National Coordinating Center will
focus their activities primarily on nation-wide initiatives involving
the entire ATTC Network.)

**Special Projects**

SAMHSA anticipates that from time to time additional funds may be
available to be used as supplements for special projects. Special
projects will enhance the basic activities of the ATTC grant program and
may include activities such as the following: support the NIDA-SAMHSA
Blending Science and Service Initiative ("Blending Initiative"); develop
a Center of Excellence on a specific issue, population, or topic; design
a curriculum on a topic of importance to the field; carry out some other
special initiative related to workforce development, the needs of
specific populations, or some other priority need identified by SAMHSA.
SAMHSA is also planning one or more special projects in FY 2008 and
beyond to provide technical assistance to Tribes and tribal
organizations on treatment-related issues through partnerships with
Regional Indian Health Boards.

The Project Narrative of your application must include "**Section E:
Special Projects."** In this section you are required to identify areas
of expertise you expect to develop during the entire project period and
describe how you will prepare for and implement special projects. **All
applicants must respond to this section.** As CSAT identifies special
projects, supplemental awards will be made based on the area of
expertise you identify, the score you receive for this section, and
other factors CSAT identifies as relevant to the project. The points
awarded for Section E will not be factored into the priority score for
the basic ATTC award.

Only grantees funded under this announcement are eligible for
supplements for special projects. Applicants should be aware that all
grantees may not receive supplements for special projects.

**Advisory Board**

Each ATTC Regional Center and the National Coordinating Center must
establish an Advisory Board comprised of relevant stakeholders
including, at a minimum, representatives of the Single State Authorities
from the States served and from provider associations, the provider
community, and the recovery community in the region. There must be
equitable geographic and cultural diversity coverage on the Advisory
Boards. The Advisory Boards must be convened at least once per year for
the purpose of advising the ATTCs on the workforce interests, needs, and
capacities in the region. They will also provide guidance on strategic
directions for the upcoming year and review progress and accomplishments
of the past year.

**Organizational Models for Serving Multiple States in a Region**

ATTC Regional Centers will be serving several States. It is not
necessary to have staff in each State, but applicants must explain how
they will maintain ongoing and effective communication with key
stakeholders such as the SSA, provider associations, provider community,
and recovery community, in each State, and how they will respond to
needs equitably throughout the region. An applicant must reside in one
of the States in the region in order to apply as a Regional Center.

**Promotion of CSAT Products and Collaboration with SAMHSA Health
Information Network (SHIN)**

To maximize distribution of CSAT products, the Regional Centers and
National Coordinating Center will promote and distribute CSAT
publications related to the topic of trainings and courses delivered by
the Regional Centers. In addition, each ATTC regional site will be
required to provide periodic updates to SAMHSA's Health Information
Network (SHIN), alerting SHIN of products and services, including
training events, that the ATTC is making available within their region.
The National Coordinating Center will update SHIN on Network-wide
products and services.

**2.4 Data Collection and Performance Measurement**

[]{.mark}

All SAMHSA grantees are required to collect and report certain data so
that SAMHSA can meet its obligations under the Government Performance
and Results Act (GPRA).  This information will be gathered using the
data collection tool referenced below. 

 

You must document your ability to collect and report the required data
in "Section D: Performance Assessment and Data" of your application. 
Grantees must collect and report data using the **ATTC Customer
Satisfaction GPRA form**, which can be found at
[www.samhsa-gpra.samhsa.gov](http://www.samhsa-gpra.samhsa.gov/), along
with instructions for completing it.  Hard copies are available by
calling the SAMHSA Information Line at 1-877-SAMHSA7 \[TDD:
1-800-487-4889\].

 

The following GPRA measures have been established for this program:

-   number of events per year

-   number of participants per year

-   participants' level of satisfaction with events

-   usefulness of information presented at events

GPRA data must be collected at the end of each event and 30 days
following the event.  Data are to be collected using the ATTC CSAT
Customer Satisfaction forms and submitted using the Web-based CSAT GPRA
data collection system (SAIS) within 7 days after data is collected.
GPRA data will be reported to the public, the Office of Management and
Budget (OMB) and Congress as part of SAMHSA's budget request.

[]{.mark}

**2.5 Performance Assessment**

Grantees must assess their projects, addressing the performance measures
described in Section I-2.4. The assessment should be designed to help
you determine whether you are achieving the goals, objectives and
outcomes you intend to achieve and whether adjustments need to be made
to your project. You will be required to report on your progress
achieved, barriers encountered, and efforts to overcome these barriers
in a performance assessment report to be submitted at least annually.

In addition to assessing progress against the performance measures
required for this program, your performance assessment must also
consider process questions, such as the following:

-   How closely did implementation match the plan?

-   What types of deviation from the plan occurred?

-   What led to the deviations?

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

An independent evaluation of the ATTC program is being designed through
a CSAT contract and will be implemented in FY 2008. Grantees are
expected to participate in the evaluation. It is expected that
approximately .25 FTE will be required to carry out some data collection
as part of the independent evaluation. Applicants should budget for this
as well as consider the percentage of FTE they estimate will be required
for GPRA and process questions. CSAT expects the independent evaluation
to be completed at the end of the third year of this grant cycle.
Findings will be shared with grantees for the purpose of facilitating
quality improvement in the program.

**No more than 20% of the total grant award may be used for data
collection, performance measurement, and performance assessment, e.g.,
activities required in Sections I-2.4 and 2.5.**

**2.4 Grantee Meetings**

ATTC awardees may be required to attend up to 6 meetings per year. There
will be 3 **Steering Committee Meetings** each year, which will be
policy and planning meetings limited to ATTC Directors and Co-Directors.
The Steering Committee Meetings will be convened to establish
Network-wide strategic priorities, set direction and policy for the ATTC
Network and Regional Centers, share common challenges and lessons
learned, and exchange information on new and emerging evidence-based
clinical and technology transfer practices.

Each year, there will also be one **ATTC Network Meeting**, held in
conjunction with one of the Steering Committee Meetings. The Network
Meeting will include not only the ATTC Directors, but also other staff
of the Regional Centers and National Coordinating Center (e.g., Training
Director, Curriculum Designers, Exhibit Managers) for the purpose of
promoting cross-site collaboration and learning among the staffs of the
various ATTC Centers.

In addition, ATTC Directors will participate in **Topical Work Groups**
that may meet up to twice per year to develop products affecting
multiple regions, the entire Network, and/or that are expected to have a
nation-wide impact. Examples of previous Network initiatives developed
by topical work groups include the development of *The Change Book*
(handbook on organization change) and the identification of core
competencies for addictions counselors and clinical supervisors.
Subjects for topical work groups will be selected by the Steering
Committee.

CSAT-required meetings will usually be held in the Washington, DC, area.
Applicants should budget for CSAT-required travel as follows:

-   **Steering Committee Meetings (3 per year)** --- 1-2 individuals for
    a 2-day meeting.

-   **ATTC Network Meeting (1 per year)** --- 4-7 individuals (including
    Directors and

Co-Directors) for a 2-day meeting.

-   **Topical Work Group Meetings (2 per year*) ***--- 1 individual for
    each 2-day meeting.

Note: Applicants for the National Coordinating Center may propose to
bring additional staff to the meetings for the purposes of handling
logistics, recording proceedings, etc., and should budget accordingly.

# II. AWARD INFORMATION

**Funding Mechanism:** Cooperative Agreement

**Anticipated Total Available Funding:** \$7.8 million

**Estimated Number of Awards:** 15 ATTC awards

**Estimated Award Amount:** \$500,000 - \$550,000 (See Appendix E)

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

**Proposed budgets cannot exceed the amount specified in the table in
Appendix E in total costs (direct and indirect) in any year of the
proposed project for ATTC grants.** 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.

SAMHSA anticipates that from time to time additional funds for the ATTC
grant program may be available for supplements for special projects. As
CSAT identifies special projects, supplemental awards will be made based
on the area of expertise you identify in Section E of your Project
Narrative, the score you receive for this section, and other factors
CSAT identifies as relevant to the project. The points awarded for
Section E will not be factored into the priority score for the basic
ATTC award.

Only grantees funded under this announcement are eligible for
supplements for special projects. Applicants should be aware that all
grantees may not receive supplements for special projects.

**Cooperative Agreement**

These awards are being made as cooperative agreements because they
require substantial post-award Federal programmatic participation in the
conduct of the project.

CSAT staff will work closely with grantees to facilitate coordination of
a national network of geographically dispersed ATTCs linked
collaboratively with diverse entities, including State and local
governments; provider associations; representatives of professional,
faith-based, and recovery community organizations; academic
institutions; managed care organizations; counselor credentialing
bodies; personnel of related service delivery systems such as criminal
justice, primary health care, child welfare; and others. CSAT staff will
also provide guidance to help ensure that the necessary specialized
expertise is available to assist projects and facilitate coordination of
these projects with other CSAT and SAMHSA initiatives. CSAT staff will
also direct the overall coordination of the Network to avoid duplication
of effort, help ensure replication of promising approaches across
Regional Centers, and provide guidance to Network-wide activities. Under
this cooperative agreement, the roles and responsibilities of grantees
and SAMHSA staff are:

**[Role of ATTC Regional Centers and National Coordinating Center
(Grantees)]{.underline}**

Grantees, including the ATTC Regional Centers and National Coordinating
Center, are expected to participate and cooperate fully with CSAT staff
and each other in the implementation of the program. Activities must
include: (1) compliance with all terms and conditions of the cooperative
agreement; (2) cooperation with CSAT staff in accepting guidance and
responding to requests for information and data; (3) participation on
the ATTC Steering Committee, as well as topical work groups established
to facilitate accomplishment of Network-wide activities; and authorship
or co-authorship of publications to make results of the program
available to the field.

**[Role of Federal Staff]{.underline}**

CSAT staff will actively participate in these cooperative agreements,
serving as collaborators with project directors from the ATTC Regional
Centers and National Coordinating Center. Staff involvement will
include, but is not limited to, the following: providing guidance on
evidence-based and promising treatment/recovery practices; providing
technical assistance on technology transfer and to enhance potential
replication of activities and services across Regional Centers; planning
meetings designed to support activities of the Regional Centers and
Network as a whole; participating on the ATTC Steering Committee and
participating on ATTC topical work groups established to facilitate
accomplishment of Network-wide activities; conducting periodic site
visits; providing guidance regarding any CSAT modification in program
direction and priorities; providing guidance on Network-wide
initiatives; and authoring or co-authoring publications to make the
results of this program available to the field.

**[ATTC Steering Committee]{.underline}**

Comprised of the Directors of the 15 ATTC awardees and the CSAT Project
Officer, the ATTC Steering Committee will provide policy and strategic
direction for the ATTC Network consistent with all applicable Department
of Health and Human Services and SAMHSA policy guidance statements. The
Project Director of the National Coordinating Center will be the Chair
of the Steering Committee. The Steering Committee will identify subjects
for the topical (Network-wide) work groups. The first meeting of the
Steering Committee will be convened at the request of the CSAT Project
Officer.

The Steering Committee will follow the guidelines specified in 45 CRF
74.36 on data sharing, access to data and materials, and publication.
Publications will be written and authorship decided using procedures
adopted by the Steering Committee. The quality of publications will be
the responsibility of the authors, although a draft must be provided to
CSAT prior to publication. No additional SAMHSA/CSAT clearance will be
required, except that publications for which SAMHSA staff is included as
an author or coauthor must receive internal agency clearance prior to
publication.

# III. ELIGIBILITY INFORMATION 

## ELIGIBLE APPLICANTS

Eligible applicants are domestic public and private nonprofit entities.
For example, State and local governments, federally recognized American
Indian/Alaska Native tribes and tribal organizations, urban Indian
organizations, public or private universities and colleges, and
community- and faith-based organizations may apply. The statutory
authority for this program prohibits grants to for-profit agencies.

## 2. COST SHARING

Cost sharing is not required in this program.

## 3. OTHER

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

# IV. APPLICATION AND SUBMISSION INFORMATION 

## 1. ADDRESS TO REQUEST APPLICATION PACKAGE 

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

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

Additional materials available on this Web site include:

-   a technical assistance manual for potential applicants;

-   standard terms and conditions for SAMHSA grants;

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

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

##  

## 2. CONTENT AND FORM OF APPLICATION SUBMISSION

**2.1 Application Kit**

SAMHSA application kits include the following documents:

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

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

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

**2.2 Required Application Components**

Applications must include the required ten application components (Face
Page, Abstract, Table of Contents, Budget Form, Project Narrative and
Supporting Documentation, Appendices, Assurances, Certifications,
Disclosure of Lobbying Activities, and Checklist).

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

-   **Abstract** -- Your total abstract should not be longer than 35
    lines. It should include the project name, target population,
    proposed catchment area, proposed strategies/methods, project goals
    and measurable objectives to achieve infrastructure development and
    capacity expansion. In the first five lines or less of your
    abstract, write a summary of your project that can be used, if your
    project is funded, in publications, reporting to Congress, or press
    releases.

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

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

-   **Project Narrative and Supporting Documentation** -- The Project
    Narrative describes your project. It consists of Sections A
    through E. Sections A-D together may not be longer than 30 pages.
    (Remember that if your Project Narrative starts on page 5 and ends
    on page 35, it is 31 pages long, not 30 pages.) Section E is limited
    to 2 pages. More detailed instructions for completing each section
    of the Project Narrative are provided in "Section V---Application
    Review Information" of this document.

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

-   **Appendices 1 through 5** -- Use only the appendices listed below.
    If your application includes any appendices not required in this
    document, they will be disregarded. Do not use more than a total of
    30 pages for Appendices 1, 3 and 4 combined. There are no page
    limitations for Appendices 2 and 5. Do not use appendices to extend
    or replace any of the sections of the Project Narrative. Reviewers
    will not consider them if you do.

    -   *Appendix 1*: Letters of Support

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

    -   *Appendix 3*: Sample Consent Forms

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

    -   *Appendix 5*: A copy of the State or County Strategic Plan, a
        State or county needs assessment, or a letter from the State or
        county indicating that the proposed project addresses a State-
        or county-identified priority.

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

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

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

**2.3 Application Formatting Requirements**

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

## 3. SUBMISSION DATES AND TIMES 

Applications are due by close of business on **June 1, 2007**. **Hand
carried applications will not be accepted. Applications may be shipped
using only DHL, Federal Express (FedEx), United Parcel Service (UPS), or
the United States Postal Service (USPS).**

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

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

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

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

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

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

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

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

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

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

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

This grant program is covered under Executive Order (EO) 12372, as
implemented through Department of Health and Human Services (DHHS)
regulation at 45 CFR Part 100. Under this Order, States may design their
own processes for reviewing and commenting on proposed Federal
assistance under covered programs. Certain jurisdictions have elected to
participate in the EO process and have established State Single Points
of Contact (SPOCs). A current listing of SPOCs is included in the
application kit and can be downloaded from the Office of Management and
Budget (OMB) Web site at
[www.whitehouse.gov/omb/grants/spoc.html](http://www.whitehouse.gov/omb/grants/spoc.html).

-   Check the list to determine whether your State participates in this
    program. You **do not** need to do this if you are an American
    Indian/Alaska Native tribe or tribal organization.

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

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

    -   The SPOC should send any State review process recommendations to
        the following address within 60 days of the application
        deadline. **For United States Postal Service:** Crystal
        Saunders, Director of Grant Review, Office of Program Services,
        Substance Abuse and Mental Health Services Administration, Room
        3-1044, 1 Choke Cherry Road, Rockville MD **20857**. ATTN: SPOC
        -- Funding Announcement No. **TI-07-001**. Change the zip code
        to **20850** if you are using another delivery service.

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

The PHSIS consists of the following information:

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

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

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

If applicable, you [must]{.underline} include a copy of a letter
transmitting the PHSIS to the SSA in Appendix 4, "Letter to the SSA."
The letter must notify the State that, if it wishes to comment on the
proposal, its comments should be sent not later than 60 days after the
application deadline to the following address. **For United States
Postal Service:** Crystal Saunders, Director of Grant Review, Office of
Program Services, Substance Abuse and Mental Health Services
Administration, Room 3-1044, 1 Choke Cherry Road, Rockville MD
**20857**. ATTN: SSA -- Funding Announcement No. TI-07-001. Change the
zip code to **20850** if you are using another delivery service.

In addition:

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

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

## 5. FUNDING LIMITATIONS/RESTRICTIONS 

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

-   Institutions of Higher Education: OMB Circular A-21

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

-   Nonprofit Organizations: OMB Circular A-122

-   Hospitals: 45 CFR Part 74, Appendix E

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

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

-   No more than 20% of the grant award may be used for data collection
    and performance assessment expenses.

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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.
    (Applicants may request up to \$75,000 for renovations and
    alterations of existing facilities, if necessary and appropriate to
    the project.)

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-   SAMHSA reimburses indirect costs at a fixed rate of 8 percent of
    modified total direct costs, exclusive of tuition and fees,
    expenditures for equipment, and subawards and contracts in excess of
    \$25,000.

-   Applicants should propose to spend no more than \$40,000 per year of
    SAMHSA ATTC grant funds for the Leadership Institute. IMPORTANT
    NOTE: If the applicant proposes to use the approved PFR-ATTC model,
    additional resources will be provided by CSAT through a separate
    mechanism to cover the following costs: the participant assessments
    and interpretation; the curriculum for 3.5 days of the Immersion
    Training, as well as the trainer to deliver the curriculum; and the
    optional Blackboard e-learning site. These additional resources will
    be provided [only]{.underline} to grantees who use the approved
    model. Applicants who propose to use an alternative model must
    include components comparable to those in the approved model,
    without exceeding the \$40,000 per year limit. (See Appendix F for
    further description of the PRF-ATTC Leadership Institute model and
    its components.)

## 6. OTHER SUBMISSION REQUIREMENTS

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

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

SAMHSA is collaborating with [www.Grants.gov](http://www.Grants.gov/) to
accept electronic submission of applications. Electronic submission is
voluntary. No review points will be added or deducted, regardless of
whether you use the electronic or paper format.

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

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

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

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

Send applications to the address below:

**For United States Postal Service:**

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

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

Do not send applications to other agency contacts, as this could delay
receipt. Be sure to include "ATTC - TI-07-001**"** in item number 12 on
the face page of any paper applications. If you require a phone number
for delivery, you may use (240) 276-1199.

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

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

# V. APPLICATION REVIEW INFORMATION

## 1. EVALUATION CRITERIA 

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

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

-   The Project Narrative (Sections A-E) together may be no longer than
    32 pages. Sections A-D may not exceed 30 pages and Section E may not
    exceed 2 pages.

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

-   Reviewers will be looking for evidence of cultural competence in
    each section of the Project Narrative, and will consider how well
    you address the cultural competence aspects of the evaluation
    criteria when scoring your application. SAMHSA's guidelines for
    cultural competence can be found on the SAMHSA Web site at
    [www.samhsa.gov](http://www.samhsa.gov/). Click on "Grants/Applying
    for a New SAMHSA Grant/Guidelines for Assessing Cultural
    Competence."

    -   The Supporting Documentation you provide in Sections F-I 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 is the maximum number of
        points a review committee may assign to that section of your
        Project Narrative. Bullet statements in each section do not have
        points assigned to them. They are provided to invite the
        attention of applicants and reviewers to important areas within
        the criterion.

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

***ATTC Regional Centers***

-   Document familiarity with the CSAT mission and with state-of-the-art
    strategies and practices in substance use disorders treatment and
    recovery; workforce development; and technology transfer principles,
    strategies and activities.

-   Identify the region you propose to serve (see Appendix E for a
    listing of the ATTC regions) and describe the addictions treatment
    workforce and key issues of regional significance facing the
    workforce.

-   Define the target population for your activities and services.

-   Discuss the potential significance of the proposed project as a
    comprehensive, multidisciplinary, collaborative effort, both
    regionally and nationally. Be sure to discuss the role of the
    Regional Center as part of the national ATTC Network.

-   Discuss the current state of knowledge regarding culturally
    competent services in the area of addictions treatment and recovery,
    and describe how this knowledge will be disseminated and applied.

***National Coordinating Center***

-   Demonstrate familiarity with the CSAT mission and with
    state-of-the-art strategies and practices in substance use disorders
    treatment; workforce development; and technology transfer
    principles, strategies, and activities.

-   Describe the potential significance of the proposed activities as a
    comprehensive, multidisciplinary, collaborative effort consisting of
    Regional Centers that function as a coordinated Network.

**Section B: Project Plan (40 points)**

***ATTC Regional Centers***

-   Clearly state the purpose of the proposed project, with goals and
    objectives. Discuss how these goals and objectives relate to the
    needs in the region you propose to serve.

-   Clearly identify the total number of participants you propose to
    serve through Regional Center activities each year, as well as the
    total number of events you plan to offer. In addition, provide a
    break-down of the:

    -   number of training events (i.e., short-term learning events
        designed primarily to raise awareness or impart limited
        information), as well as the number of participants who will be
        involved in training; and

    -   number of academic programming and technical assistance events
        (i.e., ongoing courses or learning interventions designed to
        develop or enhance skills, provide in-depth knowledge, or affect
        organizational processes related to the adoption of
        evidence-based or promising practices in agencies or systems),
        as well as the number of participants in academic programming
        and technical assistance events. \[Note: For purposes of this
        program, academic programming and technical assistance are
        combined into a single service category.\]

-   Describe your collaborative relationships with the relevant
    organizations (State and local governments; provider associations;
    academic institutions; professional, recovery community, and
    faith-based organizations; related systems of care, such as criminal
    justice, child welfare, primary health care; counselor credentialing
    bodies; Regional Indian Health Boards) or how you plan to develop
    these relationships in order to formulate knowledge needs
    assessments and design technology transfer initiatives to respond to
    the needs of the region to be served in an equitable manner.
    (Letters of Coordination/Support should be included in Appendix
    1**.**)

-   Explain how you will coordinate with other training and technology
    transfer programs and services in the region (e.g., NIATx, CAPTs,
    other HHS training centers) to avoid duplication of services and
    maximize the impact of Federal funds.

-   Discuss how you will perform ongoing regional needs assessments and
    how you will focus on those needs most critical to the effectiveness
    of addiction clinical treatment and recovery support services within
    the ATTC region.

-   Discuss how you will conduct the required workforce surveys, using
    the standardized methodology and instrument to be developed by the
    National Coordinating Center, as well as how you will analyze the
    data and prepare reports that are useful to the States and region.

-   Describe how you will promote the adoption of
    evidence-based/promising practices and state-of-the-art addictions
    research, including findings from NIDA, NIAAA, and SAMHSA, including
    SAMHSA's knowledge application (KAP) products and National Registry
    of Effective Prevention Programs (NREPP).

-   Describe and give examples of how you will develop and revise
    innovative, research-based curricula and other products and
    materials that you expect to enhance the clinical and cultural
    competencies of substance use disorders treatment practitioners in
    your region.

-   Explain how you will develop emerging leaders in the substance use
    disorders treatment/recovery field using the Partners for
    Recovery/Addiction Technology Transfer Center (PFR/ATTC) Leadership
    Institute model or a similar approach. If you propose to use an
    approach other than the PFR/ATTC Leadership Institute, be sure to
    explain the proposed approach and specify the components and their
    comparability to the PFR/ATTC model. (See Appendix F for a
    description of the model and its components.)

-   Explain how you will develop and conduct training and technical
    assistance for clinical supervisors based on the CSAT Technical
    Assistance Publication (TAP 21-A), *Competencies for Substance Abuse
    Treatment Clinical Supervisors* (2007) DHHS Publication No. (SMA)
    07-4243, as well as on evidence-based and promising practices, for
    the purpose of enabling clinical supervisors to foster the adoption
    of evidence-based and promising practices by front-line addictions
    counselors. (TAP 21-A may be accessed electronically through
    [www.ncadi.samhsa.gov](http://www.ncadi.samhsa.gov/). Copies may be
    obtained by calling the SAMHSA Information Line at 1-877-SAMHSA7
    \[TDD: 1-800-487-4889\]).

-   Describe how you will serve as a resource on recovery from substance
    use disorders, including medication-assisted treatment and
    recovery-oriented systems of care, to community-based and
    faith-based organizations, recovery community organizations,
    consumers and family members, and other stakeholders.

> []{.mark}

-   Discuss how the project plan will use culturally appropriate
    approaches and methods, taking into account age, race/ethnicity,
    cultural, language, disability, and gender and sexual orientation
    issues, and be responsive to regional technology transfer needs and
    opportunities.

> []{.mark}

-   Describe how the ATTC will actively promote and market its services
    in the region, including providing updated information to the
    regional section of the ATTC Network Website to be developed by the
    ATTC National Coordinating Center.

-   Discuss how you will support the work of the ATTC Network and work
    with the ATTC National Coordinating Center to promote the adoption
    of evidence-based and promising practices, recovery-oriented systems
    of care, and other topics of importance to the substance use
    disorders treatment/recovery field.

-   Discuss how you will work with relevant stakeholders in the region
    to help prepare the workforce to function in a recovery-oriented
    system of care.

***National Office***

-   Clearly explain the goals and objectives of the ATTC National
    Coordinating Center and how achievement of those objectives will
    support meaningful and relevant activities.

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-   Clearly identify the total number of participants you propose to
    serve through the National Coordinating Center's activities each
    year, as well as the total number of events you plan to offer. In
    addition, provide a break-down of the:

    -   number of training events (i.e., short-term learning events
        designed primarily to raise awareness or impart limited
        information), as well as the number of participants who will be
        involved in training; and

    -   number of academic programming and technical assistance events
        (i.e., ongoing courses or learning interventions designed to
        develop or enhance skills, provide in-depth knowledge, or affect
        organizational processes related to the adoption of
        evidence-based or promising practices in agencies or systems),
        as well as the number of participants in academic programming
        and technical assistance events. \[Note: For purposes of this
        program, academic programming and technical assistance are
        combined into a single service category.\]

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-   Describe your collaborative relationships with relevant national
    organizations or how you plan to develop these relationships in
    order to work cooperatively with such organizations in your efforts
    coordinating a multi-site Network focused on promoting adoption of
    evidence-based and promising clinical treatment/recovery practices
    and recovery-oriented systems of care. Letters of
    Coordination/Support should be included in Appendix 1.

-   Explain how you will serve as the focal point for cutting-edge
    technology transfer activities for the ATTC Network, providing
    leadership and support to the Regional Centers.

-   Describe how you will collaborate with CSAT and the Regional Centers
    in identifying and facilitating cross-regional and/or Network-wide
    activities to promote the adoption of evidence-based and promising
    practices, recovery-oriented systems of care, and other topics of
    importance to the substance use disorders treatment and recovery
    field.

-   Explain how you will work with educators and academic institutions
    to develop standards for academic programs preparing students to
    work in the addictions field, and how you will encourage the
    development of curricula based on evidence-based and promising
    practices.

-   Explain how you will maintain a Network-wide perspective in order to
    present a cohesive and consistent message for the ATTC at the
    national level. Discuss how you will promote and market CSAT's
    products and publications and serve as a clearinghouse for ATTC
    products and services, to promote a coordinated technology transfer
    approach to issues of importance in the substance use disorders
    treatment and recovery field.

-   Explain how you will facilitate communication between and among the
    ATTC Regional Centers using communications such as the ATTC Website,
    intranet, and other electronic and print media, as well as any other
    plans to avoid duplication of efforts among Regional Centers.

-   Discuss how you will coordinate the Leadership Institutes across the
    Network and provide Network-wide information and materials on
    leadership development.

-   Describe how you will provide conceptual and logistical support for
    the ATTC Steering Committee, topical work groups, the annual ATTC
    Network meeting, and national task forces and focus groups requested
    by CSAT.

-   Explain how you will consolidate the current ATTC Regional Centers'
    Websites into a National ATTC Network site with links to
    region-specific activities and providing easy access to Network-wide
    activities focused on specific topics and populations.

-   Explain how you will go about convening an expert work group to
    develop the methodology and standardized instruments for the
    Regional and national workforce surveys, as well as how you will
    analyze the data and prepare national workforce reports.

-   Discuss how you will coordinate ATTC linkages with national
    organizations to present at meetings, offer workshops, and/or have
    an exhibit at membership meetings. Letters of Coordination/Support
    should be included in Appendix 1.

-   Describe how you will coordinate the preparation and timely
    submission of reports on Network-wide activities required by CSAT.

-   Discuss how the project plan will use culturally appropriate
    approaches and methods taking into account age, race/ethnicity,
    culture, language, disability and gender, and be responsive to the
    ATTC Network, as well as national technology transfer needs and
    opportunities.

**Section C: Staff and Organizational Experience (30 points)**

-   Provide a detailed time line, chart or graph for Year 1 of the
    project showing key activities and responsible staff. Provide an
    outline of key milestones for Years 2-5. (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 participating organizations with similar projects and
    populations, including experience providing culturally appropriate,
    state-of-the-art, research-based training and technology transfer
    activities.

-   Provide a list of staff who will participate in the project, showing
    the role of each and their level of effort and qualifications.
    Include the Project Director and other key personnel.

-   Discuss how key staff members have demonstrated experience in
    serving the target population and are familiar with the workforce
    development needs of the target population.

-   Describe the resources available for the proposed project (e.g.,
    facilities, equipment).

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

-   Document your ability to collect and report on the required
    performance measures as specified in Section 2.4 of this document,
    including data required by SAMHSA to meet GPRA requirements. Specify
    and justify any additional measures you plan to use for your grant
    project.

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

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.

**Section E: Special Projects (25 points)**

**This section is to be answered by all applicants. The score will be
used only for supplemental awards for Special Projects.**

-   Identify the areas in which you expect to develop expertise during
    the course of the project.

-   Explain the organizational and logistical steps you will take to
    prepare for and implement special projects, such as implementing the
    NIDA-SAMHSA Blending Initiative (see Appendix H for a description of
    the Blending Initiative), becoming a Center of Excellence on a
    specific population or topic, developing a curriculum on a
    particular topic, or convening a meeting or preparing a report on a
    special topic.

**SUPPORTING DOCUMENTATION**

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

**Section G:** Budget Justification, Existing Resources, Other Support.
You must provide a narrative justification of the items included in your
proposed budget, as well as a description of existing resources and
other support you expect to receive for the proposed project. Be sure to
show that no more than 20% of the total grant award will be used for
data collection and performance assessment. An illustration of a budget
and narrative justification is included in Appendix D of this document.
Applicants should propose to spend no more than \$40,000 per year of
SAMHSA ATTC grant funds for the Leadership Institute.

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

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

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

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

    **Section I:** Confidentiality and Participant Protection
    Requirements: Applicants must describe procedures relating to
    Confidentiality, Participant Protection and the Protection of Human
    Subjects Regulations in Section I of the application, using the
    guidelines provided below. Number range CHAPTER More detailed
    guidance for completing this section can be found in Appendix C of
    this RFA.

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

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

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

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

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

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

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

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

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

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

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

    SAMHSA expects that most grantees funded under this announcement
    will not have to comply with the Protection of Human Subjects
    Regulations (45 CFR 46), which requires Institutional Review Board
    (IRB) approval. However, in some instances, the applicant's proposed
    performance assessment design may meet the regulation's criteria of
    research involving human subjects. Applicants whose projects must
    comply with the Human Subjects Regulations must, in addition to the
    bullets above, fully describe the process for obtaining IRB
    approval. While IRB approval is not required at the time of grant
    award, these grantees will be required, as a condition of award, to
    provide documentation that an Assurance of Compliance is on file
    with the Office for Human Research Protections (OHRP). IRB approval
    must be received in these cases prior to enrolling clients in the
    project. General information about Human Subjects Regulations can be
    obtained through OHRP at http://www.hhs.gov/ohrp, or
    ohrp@osophs.dhhs.gov, or (240) 453-6900. SAMHSA--specific questions
    should be directed to the program contact listed in Section VII of
    this announcement.

## 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 also must be reviewed by the appropriate
National Advisory Council.

Decisions to fund a grant are based on:

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

-   availability of funds; and

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

# VI. AWARD ADMINISTRATION INFORMATION

## 1. AWARD NOTICES

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

If you are approved for funding, you will receive an **additional**
notice, the Notice of Grant Award, signed by SAMHSA's Grants Management
Officer. The Notice of Grant Award is the sole obligating document that
allows the grantee to receive Federal funding for work on the grant
project.

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

## 2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS 

[]{.mark}

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

If your application is funded, you must also comply with the
administrative requirements outlined in 45 CFR Part 74 or 45 CFR Part
92, as appropriate. For more information see the SAMHSA Web site
([www.samhsa.gov/grants/generalinfo/grant_reqs.aspx](../www.samhsa.gov/grants/generalinfo/grant_reqs.aspx)
).

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

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

    -   requirements relating to additional data collection and
        reporting;

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

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

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

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

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

## 3. REPORTING REQUIREMENTS

In addition to the data reporting requirements listed in Section I-2.4,
you must comply with the following reporting requirements:

1.  **Progress and Financial Reports**

-   You will be required to submit annual and final progress reports, as
    well as annual and final financial status reports.

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-   If your application is funded, SAMHSA will provide you with
    guidelines and requirements for these reports at the time of award
    and at the initial grantee orientation meeting after award. SAMHSA
    staff will use the information contained in the reports to determine
    your progress toward meeting its goals.

**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
ATTC program are described in Section I-2.4 of this document under "Data
Collection and Performance Measurement."

**3.3 Publications**

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

In addition, SAMHSA requests that grantees:

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

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

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

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

# VII. AGENCY CONTACTS

For questions about program issues contact:

Catherine Nugent

Center for Substance Abuse Treatment, Division of Services Improvement

Substance Abuse and Mental Health Services Administration

1 Choke Cherry Road

Room 5-1079

Rockville, Maryland 20857

\(240\) 276-1577

<cathy.nugent@samhsa.hhs.gov>

For questions on grants management issues, contact:

Kimberly Pendleton

Office of Program Services, Division of Grants Management

Substance Abuse and Mental Health Services Administration

1 Choke Cherry Road

Room 7-1097

Rockville, Maryland 20857

\(240\) 276-1421

<kimberly.pendleton@samhsa.hhs.gov>

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

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

-   Use the PHS 5161-1 application.

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

-   Information provided must be sufficient for review.

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

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

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

footnotes will not be considered in determining compliance.)

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

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

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

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

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

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

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

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

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-   Face Page (Standard Form 424 v2, which is in PHS 5161-1)

-   Abstract

-   Table of Contents

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

-   Project Narrative and Supporting Documentation

-   Appendices

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

-   Certifications (a form within PHS 5161-1)

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

-   Checklist (a form in PHS 5161-1)

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-   Applications should comply with the following requirements:

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

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

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

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

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

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

-   Send the original application and two copies to the mailing address
    in Section IV-6 of this document. Please do not use staples, paper
    clips, and fasteners. Nothing should be attached, stapled, folded,
    or pasted. Do not use heavy or lightweight paper or any material
    that cannot be copied using automatic copying machines. Odd-sized
    and oversized attachments such as posters will not be copied or sent
    to reviewers. Do not include videotapes, audiotapes, or CD-ROMs.

### Appendix B -- Guidance for Electronic Submission of Applications

If you would like to submit your application electronically, you may
search [www.Grants.gov](http://www.Grants.gov/) for the downloadable
application package by the funding announcement number (called the
opportunity number) or by the Catalogue of Federal Domestic Assistance
(CFDA) number. You can find the CFDA number on the first page of the
funding announcement.

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

-   By e-mail: <support@Grants.gov>

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

**If this is the first time you have submitted an application through
Grants.gov, you must complete four separate registration processes
before you can submit your application. Allow at least two weeks (10
business days) for these registration processes, prior to submitting
your application.** The processes are: 1) DUNS Number registration; 2)
Central Contractor Registry (CCR) registration; 3) Credential Provider
registration; and 4) Grants.gov registration.

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

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

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

-   *Amount of space allowed for Project Narrative*: The Project
    Narrative for an electronic submission may not exceed 15,450 words
    for Sections A-D and 1,030 words for Section E. If the Project
    Narrative for an electronic submission exceeds the word limit and
    exceeds the allowed space as defined in Appendix A, then **any part
    of the Project Narrative in excess of these limits will not be
    submitted to review**. To determine the number of words in your
    Project Narrative document in Microsoft Word, select
    file/properties/statistics. To count the number of words in part of
    your document, select the text in Microsoft Word and select
    tools/word count.

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

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

After you electronically submit your application, you will receive an
automatic acknowledgement from Grants.gov that contains a Grants.gov
tracking number. It is important that you retain this number. **Include
the Grants.gov tracking number in the top right corner of the face page
for any paper submission. Receipt of the tracking number is the only
indication that Grants.gov has successfully received and validated your
application. If you do not receive a Grants.gov tracking number, you may
want to contact the Grants.gov help desk for assistance.**

The Grants.gov Web site does not accept electronic signatures at this
time. Therefore, you must submit a signed paper original of the face
page (SF 424 v2), the assurances (SF 424B), and hard copy of any other
required documentation that cannot be submitted electronically. **You
must include the Grants.gov tracking number for your application on
these documents with original signatures, on the top right corner of the
face page, and send the documents to the following address. The
documents must be received at the following address within 5 business
days after your electronic submission.** Delays in receipt of these
documents may impact the score your application receives or the ability
of your application to be funded.

**For United States Postal Service:**

Crystal Saunders, Director of Grant Review

Office of Program Services

Substance Abuse and Mental Health Services Administration

Room 3-1044

1 Choke Cherry Road

Rockville, MD **20857**

ATTN: Electronic Applications

**For other delivery services, change the zip code to 20850.**

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

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### Appendix C -- Confidentiality and Participant Protection 

### 

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

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

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

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

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

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

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

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

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

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

3.  [Absence of Coercion]{.underline}

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

-   If you plan to compensate participants, state how participants will
    be awarded incentives (e.g., money, gifts, etc.). Provide
    justification that the use of incentives is appropriate, judicious,
    and conservative and that incentives do not provide an "undue
    inducement" which removes the voluntary nature of participation.
    Incentives should be the minimum amount necessary to meet the
    programmatic and evaluation goals of the grant. Applicants should
    determine the minimum amount that is proven to be effective by
    consulting with existing local programs and reviewing the relevant
    literature. In no case may the value of an incentive exceed \$20.

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

4.  [Data Collection]{.underline}

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

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

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

5.  [Privacy and Confidentiality]{.underline}

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

-   Describe:

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-   How you will use data collection instruments.

-   Where data will be stored.

-   Who will or will not have access to information.

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

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

6.  [Adequate Consent Procedures]{.underline}

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

-   State:

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-   Whether or not their participation is voluntary.

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

-   Possible risks from participation in the project.

-   Plans to protect clients from these risks.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

### 

###  

### Appendix D -- Sample Budget and Justification

**ILLUSTRATION OF A SAMPLE DETAILED BUDGET AND**

**NARRATIVE JUSTIFICATION TO ACCOMPANY**

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

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

**[Personnel]{.underline}**

**Job Annual Level of Salary being**

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

Project

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

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

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

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

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

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

**[Travel]{.underline}**

2 trips for SAMHSA Meetings for 2 Attendees

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

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

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

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

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

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

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

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

**[Supplies]{.underline}**

Office Supplies \$500

Computer Software - 1 WordPerfect 500

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

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

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

**Evaluation**

Job Name Annual Salary being Level of

Title Salary Requested Effort

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

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

Fringe Benefits (25%) \$10,500

**Travel**

2 trips x 1 Evaluator

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

per diem @ \$120 x 6 720

Supplies (General Office) 500

Evaluation Direct \$54,920

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

Evaluation Subtotal \$65,355

**Training**

Job Name Level of Salary being

Title Effort Requested

Coordinator M. Smith 0.5 \$ 12,000

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

Fringe Benefits (25%) \$ 5,250

**Travel**

2 Trips for Training

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

Per Diem \$120 x 2 x 2 days 480

Local (500 miles x .24/mile) 120

**Supplies**

Office Supplies \$ 500

Software (WordPerfect) 500

**Other**

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

Telephone 500

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

Audit \$ 3,000

Training Direct \$ 40,025

Training Indirect \$ -0-

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

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

**[Other]{.underline}**

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

(If expert is known, should list by name)

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

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

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

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

15% of Salary and Wages (copy of negotiated

indirect cost rate agreement attached)

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

**[TOTALS]{.underline}**

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

**[JUSTIFICATION]{.underline}**

PERSONNEL - Describe the role and responsibilities of each position.

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

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

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

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

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

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

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

[CALCULATION OF FUTURE BUDGET PERIODS]{.underline}

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

Review and verify the accuracy of future year budget estimates.
Increases or decreases in the future years must be explained and
justified and no cost of living increases will be honored. (NOTE: new
salary cap of \$186,600 is effective for all FY 2007 awards.) \*

First Second Third Fourth Fifth

12-month 12-month 12-month 12-month 12-month

Period Period Period Period Period

Personnel

Project Director 30,000 30,000 30,000 30,000 30,000

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

Counselor 25,000 25,000 25,000 25,000 25,000

TOTAL PERSONNEL 64,000 73,000 73,000 73,000 73,000

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

\*\*Increased from 50% to 100% effort in 02 through 05 budget periods.

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

Travel 5,400 5,400 5,400 5,400 5,400

Equipment -0- -0- -0- -0- -0-

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

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

Contractual

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

Training 40,025 40,025 40,025 40,025 40,025

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

Other 1,500 1,500 1,500 1,500 1,500

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

Indirect Costs 9,600 9,600 9,600 9,600 9,600

(15% S&W)

TOTAL COSTS 202,240 216,884 219,603 219,603 219,603

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

### Appendix E - Grant Award Structure for ATTC Regions

  --------------------------- -------------------------- ----------------
  **Region**                  **States**                 **Award Amount**

  1 New England               ME, NH , VT, MA, CT, RI    \$500,000

  2 Northeast                 NY, PA                     \$525,000

  3 Central East              DC, DE , MD, NJ            \$500,000

  4 Mid-Atlantic              VA, KY, TN, WV             \$500,000

  5 Southeast                 GA, SC, NC                 \$500,000

  6 Southern Coast            AL, FL, MS                 \$525,000

  7 Gulf Coast                TX, LA, NM                 \$500,000

  8 Caribbean/Hispanic        PR, VI                     \$500,000

  9 Mid-America               NE, MO, KS, OK, AR         \$500,000

  10 Prairielands             IA, ND, SD, MN, WI         \$500,000

  11 Great Lakes              IL, OH, IN, MI             \$550,000

  12 Mountain West            NV, MT, WY, UT, CO, ID     \$550,000

  13 Northwest Frontier       AK, WA, OR, HI, Pac. Isl.  \$550,000

  14 Pacific Southwest        CA, AZ                     \$550,000

  15 National Center                                     \$550,000
  --------------------------- -------------------------- ----------------

### Appendix F - Partners for Recovery-Addiction Technology Transfer Centers Leadership Institute (PFR-ATTC LI)

[Description]{.underline}

The Partners for Recovery-Addiction Technology Transfer Centers
Leadership Institute (PFR-ATTC LI) is a collaborative effort among the
ATTC Network, United States Department of Agricultural Graduate School,
and SAMHSA/CSAT Partners for Recovery. The program was originally
conceived and implemented by the Southern Coast ATTC in 2003 and has
since been adopted by the ATTC Network, with approximately 415
participants as of January 2007.

Although the PFR-ATTC LI model has not been formally evaluated,
participants' ratings on satisfaction questionnaires and anecdotal
evidence suggest this is a well-received, promising model of leadership
training in the addiction services field. Of note is the fact that the
program provides training and development opportunities that not only
increase leadership knowledge and skills, but also support critical
workforce retention variables such as finding a satisfying role in the
workplace, establishing effective relationships with co-workers, and
aligning one's professional goals with organizational mission and
values.

The PFR-ATTC Leadership Institute is an intensive, six-month leadership
program that provides a combination of in-depth assessment, traditional
training seminars, distance education, and field experience in
conjunction with guidance from a specially selected mentor. The National
ATTC office coordinates the program's implementation, and the Institute
is offered by the ATTC regional centers. Chosen from nominations by
agency directors and supervisors, participants are individuals
recognized as emerging leaders who demonstrate a commitment to their
agencies and to the addictions services field in general. The Institute
utilizes a four-phase design:

-   [Phase 1: Assessment]{.underline} - Trainees undergo a series of
    assessments and receive the results in a one-on-one feedback
    session. The instruments used for the PFR-ATTC LI include the
    following:

> ***Leadership Effectiveness Inventory (LEI)***. The LEI is a
> 360-degree instrument based on the 27 leadership competencies
> identified by the Office of Personnel Management's research for
> success in Federal management and executive positions. The instrument
> provides input from the participant, the participant's supervisor,
> peers, and direct reports. Responses are integrated into a report that
> profiles a gap analysis comparing the individual's job strengths and
> tasks proficiencies with what is required in the current or target
> job. The report provides data in graphic and narrative form
> highlighting job strengths and development needs. This LEI is
> proprietary to the United States Department of Agriculture Graduate
> School.
>
> ***Myers-Briggs Type Indicator (MBTI)***. The MBTI assessment is the
> most widely used personality indicator in the world. It is used to
> help individuals, teams, and organizations meet today's challenges.
>
> ***Thomas-Kilman Conflict Mode Instrument (TKI***). The TKI is a
> forced-choice, self-scorable inventory that identifies a person's
> preferred conflict style or mode, and provides detailed information
> about how he or she can use the five conflict-handling modes
> effectively.

-   [Phase 2: Training Experiences]{.underline} -- Trainees participate
    in a five-day Immersion Training session that provides the
    conceptual framework and a body of knowledge for understanding the
    theory and practice of leadership. Trainees are then paired with a
    mentor, a recognized leader in the addiction field, who guides their
    protégé in the development of an Individual Leadership Development
    Plan (ILDP) to address competencies identified from the assessments
    and individual leadership development objectives. Trainees take
    additional continuing education based on their ILDP. Training events
    beyond the initial immersion training continue to emphasize
    leadership competency areas with special educational sessions,
    distance learning, and readings. In addition, a booster session,
    offered between the five-day Immersion Training and graduation
    reinforces learning from the Immersion Training, enhances networking
    among emerging leaders, and provides support for the protégés'
    IDLPs.

-   [Phase 3: Experiential Learning]{.underline} - This phase moves the
    trainees from the classroom into their own organizations to
    implement their leadership skills. Trainees must complete an
    individualized leadership project (ILP) under the guidance of their
    mentor and agency supervisor.

-   [Phase 4: Recognition]{.underline} - The Leadership Institute
    culminates with trainees/protégés' presentation of their individual
    projects and graduation ceremony. A certificate of proficiency is
    awarded.

    [Additional Guidance to Applicants]{.underline}

CSAT will provide, through the Partners for Recovery Initiative, the
following components of the Immersion Training to any ATTC that uses the
approved PFR-ATTC model:

-   the LEI, MBTI, and TKI, including interpretation and one-on-one
    feedback session for participants; and

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-   the curriculum and trainer for the first 3.5 days of the Immersion
    Training.

> CSAT will also provide to any ATTC using the approved model an
> optional Blackboard (Internet-based communication) site for each LI
> that chooses to use this technology for communicating with protégés.
>
> In addition, ATTC grantees using the approved model will be able to
> request additional support from PFR, as follows:

-   Up to \$10,000 to support additional costs of the Immersion
    Training; and

-   Up to \$5,000 to support additional costs of the booster session.

[Do not request these additional PFR funds at this time. Successful
applicants using the approved model will be given the opportunity to
submit a letter of application and a budget and budget justification for
these additional funds after award of the grant.]{.underline}

[If proposing to use the approved PFR-ATTC LI model, applicants should
not allocate funds in their proposed budget for the assessments and
their interpretation, the curriculum and trainer for the first 3.5 days
of the Immersion Training, or for the Blackboard site (if the applicant
proposes to use Blackboard) because CSAT will provide them. If proposing
to use an alternative model, applicants must allocate funds in their
budget for the comparable components they propose in their alternative
model because CSAT will provide these elements only to applicants who
use the approved PFR-ATTC LI model.]{.underline}

Regardless of whether or not the applicant plans to use the approved
PFR-ATTC LI model, the ATTC regional centers will provide the following
components:

-   management of nominations/selection process, including protégé
    selection criteria

-   selection and recruitment of mentors

-   selection and on-site management of training site, including all
    logistics

-   preparation of agenda (in collaboration with USDA, if using PFR-ATTC
    model)

-   development and delivery of program for final 1.5 days of the
    immersion training, which focuses on orienting the mentors and
    helping mentors and protégés begin their work together

-   collection and entry of GPRA data

-   management of post-immersion training period, including: maintaining
    communication with protégés and mentors; administering the
    Blackboard site (optional); tracking and supporting protégés in
    development and completion of their projects; tracking and
    supporting protégés continuing education efforts; offering a booster
    session; organizing and hosting a closing ceremony ("graduation")
    during which protégés present their IDLPs.

[Each applicant -- whether using the approved or an alternative model --
may allocate no more than \$40,000 per year of its ATTC budget toward
the Leadership Institute.]{.underline}

### 

### 

### 

###  

### Appendix G - Recovery-Oriented Systems of Care

> **[Background]{.underline}**
>
> In 2005 the Center for Substance Abuse Treatment (CSAT) convened a
> series of meetings with stakeholders to help identify key ideas that
> could help the field move toward a recovery orientation. CSAT convened
> a Summit Planning Meeting in June 2005, a National Summit in September
> 2005, and a Follow-Up/Synthesis Meeting in December 2005. CSAT's
> primary goals for this meeting were to move toward consensus on
> principles of recovery and elements of recovery-oriented systems of
> care that could help inform policy and practice, ultimately leading to
> increases in access, retention, and quality of care for those with
> substance use disorders.
>
> A brief summary of the Summit discussions appears below. A complete
> copy of the report from the CSAT National Summit on Recovery is
> available at
> [*http://pfr.samhsa.gov/report_notice.html*](http://pfr.samhsa.gov/report_notice.html)
> as a reference document to assist individuals and organizations
> submitting applications under this RFA.
>
> **[Definition of Recovery]{.underline}**
>
> Participants at the September 28-29, 2005, National Summit on Recovery
> recommended that CSAT develop a definition of recovery that could be
> used across systems, programs, and stakeholder groups. CSAT, in turn,
> asked participants at the Summit Follow-up/Synthesis meeting to
> submit, for consideration by the field, a working definition that
> reflected the tenor of the Summit deliberations. The Summit
> Follow-Up/Synthesis group developed the following definition:
>
> Recovery from alcohol and drug problems is a process of change through
> which an individual achieves abstinence and improved health, wellness,
> and quality of life.

**[Principles of Recovery]{.underline}**

Participants in the National Summit on Recovery reached agreement on the
following principles of recovery. These principles can be used to
conceptualize and guide the development of recovery-oriented policies,
programs, and practices at various systems levels.

-   **There are many pathways to recovery.** Individuals are unique with
    specific needs, strengths, goals, health attitudes, behaviors, and
    expectations for recovery. Pathways to recovery are highly personal,
    and generally involve a redefinition of identity in the face of
    crisis or a process of progressive change. Further, pathways are
    often social, grounded in cultural beliefs or traditions, and
    involve informal community resources, which provide support for
    sobriety. The pathway to recovery may include one or more episodes
    of psychosocial and/or pharmacological treatment. For some, recovery
    involves neither treatment nor involvement with mutual aid groups.
    Recovery is a process of change that permits an individual to make
    healthy choices and improve the quality of his or her life.

-   **Recovery is self-directed and empowering.** Although the pathway
    to recovery may involve one or more periods of time when activities
    are directed or guided to a substantial degree by others, recovery
    is fundamentally a self-directed process. The person in recovery is
    the "agent of recovery" and has the authority to exercise choices
    and make decisions based on his or her recovery goals that have an
    impact on the process. The process of recovery leads individuals
    toward the highest level of autonomy of which they are capable.
    Through self-empowerment, individuals become optimistic about life
    goals.

-   **Recovery involves a personal recognition of the need for change
    and transformation.** Individuals must accept that a problem exists
    and be willing to take steps to address it; these steps usually
    involve seeking help. The process of change can involve physical,
    emotional, intellectual, and spiritual aspects of the person's life.

-   **Recovery is holistic.** Recovery is a process through which one
    gradually achieves greater balance of mind, body, and spirit in
    relation to other aspects of one's life, including family, work, and
    community.

-   **Recovery has cultural dimensions.** Each person's recovery process
    is unique and informed by cultural beliefs and traditions. A
    person's cultural experience often shapes the recovery path that is
    right for him or her.

-   **Recovery exists on a continuum of improved health and wellness.**
    Recovery is not a linear process. It is based on continual growth
    and improved functioning. It may involve relapse and other setbacks,
    which are a natural part of the continuum but not inevitable
    outcomes. Wellness is the result of improved care and balance of
    mind, body, and spirit. It is a product of the recovery process.

-   **Recovery emerges from hope and gratitude.** Individuals in or
    seeking recovery often gain hope from those who share their search
    for or experience of recovery. They see that people can and do
    overcome the obstacles that confront them and they cultivate
    gratitude for the opportunities that each day of recovery offers.

-   **Recovery is a process of healing and self-redefinition.** Recovery
    is a holistic healing process in which one develops a positive and
    meaningful sense of identity.

-   **Recovery involves addressing discrimination and transcending shame
    and stigma.** Recovery is a process by which persons confront and
    strive to overcome stigma.

-   **Recovery is supported by peers and allies.** A common denominator
    in the recovery process is the presence and involvement of people
    who contribute hope and support and suggest strategies and resources
    for change. Peers, as well as family members and other allies, form
    vital support networks for people in recovery. Providing service to
    others and experiencing mutual healing help create a community of
    support among those in recovery.

-   **Recovery is (re)joining and (re)building a life in the
    community.** Recovery is a process of building or rebuilding what
    one has lost or never had due to one's condition and its
    consequences. Recovery involves creating a life within the
    limitation imposed by that condition. Recovery is building or
    rebuilding healthy family, social, and personal relationships. Those
    in recovery often achieve improvements in the quality of their life,
    such as obtaining education, employment, and housing. They also
    increasingly become involved in constructive roles in the community
    through helping others, productive acts, and other contributions.

-   **Recovery is a reality.** It can, will, and does happen.

# 

**[Systems of Care Elements]{.underline}**

Participants at CSAT's National Summit on Recovery agreed that
recovery-oriented systems of care will support persons seeking to
overcome substance use disorders across the lifespan. Moreover, they
will be comprehensive, flexible, outcomes-driven and uniquely
individualized, offering a fully coordinated menu of services and
supports to maximize choice at every point in the recovery process.
Summit participants identified the following elements of a
recovery-oriented system of care for individuals with substance use
disorders.

-   **Person-centered:** Recovery-oriented systems of care will be
    person-centered. Individuals will have a menu of choices that fit
    their needs throughout the recovery process. Choices can include
    spiritual supports that fit with the individuals' recovery needs.

-   **Family and other ally involvement:** Recovery-oriented systems of
    care will acknowledge the important role that families and other
    allies can play. The family and other allies will be incorporated,
    when appropriate, in the recovery planning and support processes.
    They can constitute a source of support to assist one in entering
    and maintaining recovery. Additionally, systems need to address the
    treatment, recovery, and other support needs of families and other
    allies.

-   **Individualized and comprehensive services across the lifespan:**
    Recovery-oriented systems of care will be individualized,
    comprehensive, and flexible. Systems will adapt to the needs of
    individuals, rather than requiring the individuals to adapt to them.
    They will be designed to support recovery across the lifespan. The
    approach to substance use disorders will change from an acute
    episode-based model to one that manages chronic disorders over a
    lifetime.

-   **Systems anchored in the community:** Recovery-oriented systems of
    care will be nested in the community for the purpose of enhancing
    the availability and support capacities of families, intimate social
    networks, community-based institutions, and other persons in
    recovery.

-   **Continuity of care:** Recovery-oriented systems of care will offer
    a continuum of care, including pretreatment, treatment, continuing
    care, and recovery support throughout recovery. Individuals will
    have a full range of services from which to choose at any point in
    the recovery process.

-   **Partnership-consultant relationships:** Recovery-oriented systems
    of care will be patterned after a partnership-consultant model that
    focuses more on collaboration and less on hierarchy. Systems will be
    designed so that individuals feel empowered to direct their own
    recovery.

-   **Strength-based:** Recovery-oriented systems of care will emphasize
    individual strengths, assets, and resiliencies.

-   **Culturally responsive:** Recovery-oriented systems of care will be
    culturally sensitive, competent, and responsive. There will be
    recognition that beliefs and customs are diverse and can impact the
    outcomes of recovery efforts. In addition, the cultures of those who
    support the recovering individual affect the recovery process.

-   **Responsiveness to personal belief systems:** Recovery-oriented
    systems of care will respect the spiritual, religious, and/or
    secular beliefs of those they serve and provide linkages to an array
    of recovery options that are consistent with these beliefs.

-   **Commitment to peer recovery support services:** Recovery-oriented
    systems of care will include peer recovery support services.
    Individuals with personal experience of recovery will provide these
    valuable services.

-   **Inclusion of the voices and experiences of recovering individuals
    and their families:** The voices and experiences of people in
    recovery and their family members will contribute to the design and
    implementation of recovery-oriented systems of care. People in
    recovery and their family members will be included among
    decision-makers and have oversight responsibilities for service
    provision. Recovering individuals and family members will be
    prominently and authentically represented on advisory councils,
    boards, task forces, and committees at the Federal, State and local
    levels.

-   **Integrated services:** Recovery-oriented systems of care will
    coordinate and/or integrate efforts across service systems to
    achieve an integrated process that responds effectively to the
    individual's unique constellation of strengths, desires, and needs.

-   **System-wide education and training:** Recovery-oriented systems of
    care will ensure that concepts of recovery and wellness are
    foundational elements of curricula, certification, licensure,
    accreditation, and testing mechanisms. The workforce also requires
    continual training, at every level, to reinforce the tenets of
    recovery-oriented systems of care.

-   **Ongoing monitoring and outreach:** Recovery-oriented systems of
    care will provide ongoing monitoring and feedback with assertive
    outreach efforts to promote continual participation, re-motivation
    and reengagement.

-   **Outcomes driven:** Recovery-oriented systems of care will be
    guided by recovery-based process and outcome measures. These
    measures will be developed in collaboration with individuals in
    recovery. Outcome measures will reflect the long-term global effects
    of the recovery process on the individual, family, and community,
    not just remission of biomedical symptoms. Outcomes will be
    measurable and include benchmarks of quality-of-life changes.

-   **Research Based:** Recovery-oriented systems of care will be
    informed by research. Additional research on individuals in
    recovery, recovery venues, and the processes of recovery, including
    cultural and spiritual aspects, is essential. Research will be
    informed by the experiences of people in recovery.

-   **Adequately and flexibly financed:** Recovery-oriented systems of
    care will be adequately financed to permit access to a full
    continuum of services, ranging from detoxification and treatment to
    continuing care and recovery support. In addition, funding will be
    sufficiently flexible to permit unbundling of services, enabling the
    establishment of a customized array of services that can evolve

### Appendix H -- Brief Description of the NIDA-SAMHSA Blending Initiative

The Institute of Medicine has reported a 17-year gap (Lamb, et al, 1998)
between the publication of research results and the impact of such
findings on treatment delivery. To reduce this gap, the National
Institute on Drug Abuse (NIDA) and the Substance Abuse and Mental Health
Services Administration (SAMHSA) have created the Blending Initiative.
Through an Intra-agency Agreement, SAMHSA's Center for Substance Abuse
Treatment (CSAT) works with NIDA to facilitate the timely transfer and
implementation of research-based findings from NIDA-conducted research,
including findings from NIDA's National Drug Abuse Clinical Trials
Network (CTN). In this way, the Blending Initiative makes scientific
findings accessible to front-line addictions workers as quickly as
possible so those findings can be implemented in treatment settings.

In Federal fiscal years 2005 and 2006, NIDA transferred \$1.5 million
each year to SAMHSA/CSAT to support CSAT's Addiction Technology Transfer
Center (ATTC) cooperative agreement program. ATTCs take the findings
from the protocols in NIDA's Clinical Trials Network as well as other
NIDA-funded studies and disseminate this research-based knowledge so
that addictions treatment practitioners and others, such as public
health/mental health personnel, institutional and community corrections
professionals, can adopt the research in their settings. Should
continued funding from NIDA be available, the ATTCs cooperative
agreement awards would be supplemented to develop new Blending products.

Blending products produced by the ATTCs in the past include the
following:

-   Buprenorphine Treatment: Training for Multidisciplinary Addiction
    Professionals

-   Short-Term Opioid Withdrawal Using Buprenorphine

-   Treatment Planning M.A.T.R.S.: Utilizing the Addiction Severity
    Index to Make Data Collection Useful

-   Motivational Interviewing Assessment: Supervisory Tools for
    Enhancing Proficiency

For further information, consult [www.nattc.org](http://www.nattc.org/)
(Click on NIDA-SAMHSA/ATTC Blending Products), or visit
<http://www.drugabuse.gov/Blending/>.

**Reference cited:**

Lamb, S., Greenlick, M.R., & McCarty, D., Eds. (1998). *Bridging the gap
between practice and research: Forging partnerships with community-based
drug and alcohol treatment.* Institute of Medicine, National Academy
Press: Washington, DC.

### Appendix I - Definitions of Key Terms 

**Technology Transfer:** Technology transfer is the systematic process
through which skills, techniques, models, and approaches emanating from
research are delivered to and applied by practitioners. Technology
transfer also involves organizational change processes directed toward
the diffusion of innovation using interpersonal strategies and the
assessment and enhancement of motivation for change.

**Training:** For purposes of this RFA, training is defined as a
short-term learning event designed primarily to raise awareness or
impart limited information. Conferences should be included in this
category.

**Academic Programming**: For purposes of this RFA, academic programming
is defined as an ongoing course designed to develop or enhance skills
and provide in-depth knowledge. Academic programming may be face-to-face
or using technology.

**Technical Assistance**: For purposes of this RFA, technical assistance
is defined as an ongoing learning intervention involving intensive
skills development and/or interventions to help organizations or systems
adopt evidence-based or promising practices in an agency or system.

By definition, academic programming and technical assistance are more
intensive than training.

**[Academic programming and technical assistance are combined as a
single category of service for purposes of CSAT's GPRA
measures.]{.underline}**

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