DEPARTMENT 

of HEALTH

and HUMAN 

SERVICES

Fiscal Year

2013

Substance Abuse and Mental Health 

Services Administration

Justification of

Estimates for

Appropriations Committees
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S

Substan

A

ce Abu

M

se and Me

H

ntal Heal

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th Services 

A

Administration

1 Choke Cherry Road • Rockville, MD 20857

www.samhsa.gov • 1-877-SAMHSA-7 (1-877-726-4727)

Letter from the Administrator

This letter presents the SAMHSA FY 2013 Budget Request. A total of $3,151,508,000 is requested from 

Budget Authority funds, which reflects an overall reduction of $195,512,000 below the FY 

2012 Enacted Level. The FY 2013 Request reflects the four Appropriations: Mental Health 

($902,856,000), Substance Abuse Prevention ($463,378,000), Substance Abuse Treatment 

($1,711,045,000), and Health Surveillance and Program Support ($74,229,000). This request 

maintains the budget structure in the FY 2012 Consolidated Appropriations Act and program 

priorities reflected in the FY 2012 President's Budget. Prevention remains SAMHSA's top priority and 

funding is provided for three major prevention programs requested in the FY 2012 President's Budget. 

The proportion of funding for mental health and substance abuse for FY 2013 is generally comparable 

to the FY 2012 Enacted funding level (29.42 percent Mental Health; 70.58 percent Substance 

Abuse).

After careful review of SAMHSA's entire portfolio in FY 2012, strategic reductions are proposed in FY 

2013 while maintaining support for the highest priority strategic initiative goals for Prevention and for 

Trauma and Justice. The SAMHSA FY 2013 Budget Request also maintains level funding for the 

States to support the infrastructure necessary to maintain and improve access to quality behavioral 

health services. As other programs are reduced, restructured, or eliminated, it will be necessary to 

rethink performance targets to reflect realistic expectations and viable management paradigms. 

In addition, this budget includes a request of $105,000,000 from the Affordable Care Act (ACA) 

Prevention Fund reflecting an increase of $17,000,000 over FY 2012. This funding includes 

$28,000,000 for Primary and Behavioral Health Care Integration (PBHCI), $7,000,000 for the Sober 

Truths on Preventing (STOP) Under Age Drinking Act, $30,000,000 for Screening, Brief 

Intervention, Referral and Treatment, and $40,000,000 for the establishment of the Behavioral 

Health-Tribal Prevention Grant program. 

The SAMHSA request maintains level funding in Budget Authority for both Block Grants, i.e., the 

Mental Health Block Grant (MHBG) and Substance Abuse Block Grant (SABG). These programs' 

contribution to the PHS evaluation tap will increase from 1.25 percent in FY 2012 to 3.2 percent in FY 

2013. 

This budget requests funding for the creation of three State and Tribal Prevention Grants. Consistent 

with the FY 2012 President's Budget and the FY 2012 Consolidated Appropriations Act budget 

structure, SAMHSA is requesting that these State and Tribal Prevention Grants be funded as separate 

lines within the new Mental Health, Substance Abuse Prevention, and Health Surveillance and 

Program Support appropriations. These important prevention programs will ensure that States and Tribes 

can implement and sustain evidence-based prevention practices in high need communities. The three 

programs will bring the successes realized in SAMHSA's discretionary

Behavioral Health is Essential To Health • Prevention Works • Treatment is Effective • People Recover
grant programs to a broader scale. Funding is requested to continue existing Project LAUNCH and 

Strategic Prevention Framework (SPF) program grants (consistent with the FY 2012 President's 

Budget). SAMHSA looks forward to working with Congress and stakeholders to discuss how best to 

strengthen our Nation's prevention capacity. 

Consistent with the Trauma and Justice Strategic Initiative, funding is also requested for a new program, 

Grants for Adult Trauma Screening and Brief Intervention (GATSBI). The GATSBI program will 

advance the knowledge base to address trauma and interpersonal violence for women in common 

healthcare settings such as emergency departments, primary care, and OB/GYN offices. The concept 

and design for these grants is being developed by SAMHSA in consultation with its federal partners. 

Funding is continued for the National Child Traumatic Stress Network in FY 2013 at the 2012 Enacted 

Level.

In addition, funding is requested for a nationally available disaster distress crisis counseling 

telephone line. The need for this initiative has been documented through the Assistant Secretary for 

Preparedness and Response after various emergency conditions throughout the U.S. The request for FY 

2013 will expand an existing SAMHSA pilot program to make this response line available for any 

disaster, anywhere in the U.S., through a connection to local crisis lines throughout the country. 

Budget Authority funding in FY 2013 is reduced for selected discretionary programs such as PBHCI and 

Children's Mental Health Services. These reductions are largely from grants coming to a natural end. 

Funding for substance abuse technical assistance is maintained but at a lower level [Center for the 

Application of Prevention Technologies (CAPT) and the Addiction Technology Transfer Centers 

(ATTCs)], allowing SAMHSA to continue promulgating the adoption of evidence-based approaches in 

the Nation's behavioral health system. Total funding for the Minority AIDS Initiative is 

maintained with some rebalancing of funds across CSAT and CMHS to support ongoing 

collaboration with CDC. Statutory authority is requested to charge and collect fees for selected data and 

publication user requests beyond the normal requests from the general public. Through close 

management of operating costs and contracts, program support is also reduced. 

This budget reflects the Administration's priorities in tight and difficult economic times, and it reflects a 

commitment to supporting states and communities in improving health and health care in all America’s 

communities.

 

Behavioral Health is Essential To Health • Prevention Works • Treatment is Effective • People Recover
DEPARTMENT OF HEALTH AND HUMAN SERVICES SUBSTANCE ABUSE 

AND MENTAL HEALTH SERVICES ADMINISTRATION 

Table of Contents

Fiscal Year 2013 Budget

Letter From the Administrator 

Table of Contents

Organizational Chart

A. Executive Summary

1. Introduction and Mission ......................................................................................................... page 1 

2. Discretionary All Purpose Table ........................................................................................... page 5 

3. FY 2013 Budget Request Overview ..................................................................................... page 6 

4. FY 2013 Performance Overview ........................................................................................... page 9 

5. Summary of Changes ............................................................................................................ page 13

B. Budget Exhibits

1. Appropriations Language ..................................................................................................... page 15

2. Language Analysis................................................................................................................. page 18

3. Amounts Available for Obligation ...................................................................................... page 19

4. Summary of Changes ............................................................................................................ page 20

5. Budget Authority by Activity .............................................................................................. page 21

6. Authorizing Legislation ........................................................................................................ page 22

7. Appropriations History Table .............................................................................................. page 25

8. Appropriations Not Authorized by Law ............................................................................. page 26

C. Mental Health

1. Mental Health Programs of Regional and National Significance ................................... page 35

2. Mental Health -State Prevention Grants ............................................................................. page 61

3. Children’s Mental Health Services ..................................................................................... page 67

4. PATH Homeless Grants ....................................................................................................... page 71

5. PAIMI ...................................................................................................................................... page 77

6. Mental Health Block Grant .................................................................................................. page 83

D. Substance Abuse Prevention

1. Substance Abuse Prevention Programs of Regional and National Significance .......... page 95

2. Substance Abuse - State Prevention Grants ..................................................................... page 107
E. Substance Abuse Treatment

1. Substance Abuse Treatment Programs of Regional and National Significance .......... page 121

2. Substance Abuse Block Grant ........................................................................................... page 149

F. Health Surveillance and Program Support

1. Health Surveillance and Program Support ....................................................................... page 163

2. Public Awareness and Support .......................................................................................... page 167

3. Performance & Quality Information Systems ................................................................. page 171

4. Agency-Wide Initiatives ..................................................................................................... page 175

G. Drug Control Budget ....................................................................................................... page 181

H. Drug Control Budget ....................................................................................................... page 197

I. Supplementary Tables

1. Appropriations Language ................................................................................................... page 215

2. Language Analysis............................................................................................................... page 219

3. Amounts Available for Obligation .................................................................................... page 220

4. Summary of Changes .......................................................................................................... page 221

5. Budget Authority by Activity ............................................................................................ page 222

6. Authorizing Legislation ...................................................................................................... page 223

7. Appropriations History Table ............................................................................................ page 225

8. Appropriations Not Authorized by Law ........................................................................... page 237

J. Significant Items ................................................................................................................. page 239

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1

SAMHSA Overview

Individuals and families cannot be healthy without positive mental health and freedom from 

addictions and abuse of substances. Prevention, treatment, and recovery support services for 

behavioral health are important parts of health service systems and community-wide strategies that 

work to improve health status and lower costs for individuals, families, businesses, and governments. 

Substance abuse, addictions, poor emotional health, and mental illnesses take a toll on individuals, 

families, and communities. They cost money, and they cost lives, as do physical illnesses that are not 

prevented, are left untreated, or are poorly managed. Their presence exacerbates the cost of treating 

co-morbid physical diseases and results in some of the highest disability burdens in the world, 

compared with other causes of disability. SAMHSA has a unique responsibility to focus the Nation’s 

health and social agendas on these preventable and treatable problems stemming from disease, 

trauma, inadequate access to appropriate care, and insufficient community and family supports.

Vision 

SAMHSA provides leadership and devotes its resources – programs, policies, information and 

data, contracts and grants – toward helping the Nation act on the knowledge that: 

Behavioral Health is essential for health. 

Prevention works. 

Treatment is effective. 

People recover from mental and substance use disorders. 

Mission 

SAMHSA’s mission is to reduce the impact of substance abuse and mental illness on America’s 

communities. By providing leadership, voice, funding, and standards, SAMHSA has the expertise 

and facilitates the collaboration needed to achieve its vision. SAMHSA accomplishes this mission 

through partnerships, policies, and programs that build resilience and facilitate recovery for people 

with or at risk for mental or substance use disorders. SAMHSA-funded services help individuals 

pursue recovery, avoid the abuse of drugs or alcohol, and prevent or reduce the impact of mental 

illnesses.
2

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3

Eight Strategic Initiatives 

Behavioral health is an essential part of health service systems and community-wide strategies 

that work to improve health status and lower costs for families, businesses, and governments. 

Through continued improvement in the delivery and financing of prevention, treatment, and 

recovery support services, SAMHSA with its partners can advance and protect the Nation’s 

health. In order to achieve this goal, SAMHSA has identified eight Strategic Initiatives to focus 

SAMHSA’s work on improving lives and capitalizing on emerging opportunities. The eight 

Strategic Initiatives are described below. 

1 Prevention of Substance Abuse and Mental Illness 

Creating communities where individuals, families, schools, faith-based organizations, and 

workplaces take action to promote emotional health and reduce the likelihood of mental 

illness, substance abuse including tobacco, and suicide. This Initiative will include a 

focus on the Nation’s high-risk youth, youth in Tribal communities, and military families. 

2 Trauma and Justice 

Reducing the pervasive, harmful, and costly health impact of violence and trauma by 

integrating trauma-informed approaches throughout health, behavioral health, and related 

systems and addressing the behavioral health needs of people involved in or at risk of 

involvement in the criminal and juvenile justice systems. 

3 Military Families 

Supporting America’s service men and women—active duty, National Guard, Reserve, 

and veteran—together with their families and communities by leading efforts to ensure 

that needed behavioral health services are accessible and that outcomes are positive. 

4 Recovery Support 

Partnering with people in recovery from mental and substance use disorders and family 

members to guide the behavioral health system and promote individual-, program-, and 

system-level approaches that foster health and resilience; increase permanent housing, 

employment, education, and other necessary supports; and reduce discriminatory barriers. 

5 Health Reform 

Increasing access to appropriate high quality prevention, treatment, and recovery 

services; reducing disparities that currently exist between the availability of services for 

mental and substance use disorders compared with the availability of services for other 

medical conditions; and supporting integrated, coordinated care, especially for people 

with behavioral health and other co-occurring health conditions such as HIV/AIDS. 
4

6 Health Information Technology 

Ensuring that the behavioral health system, including States, community providers, and 

peer and prevention specialists, fully participates with the general health care delivery 

system in the adoption of health information technology (HIT) and interoperable 

electronic health records (EHRs). 

7 Data, Outcomes, and Quality 

Realizing an integrated data strategy and a national framework for quality improvement 

in behavioral health care that will inform policy, measure program impact, and lead to 

improved quality of services and outcomes for individuals, families, and communities. 

8 Public Awareness and Support 

Increasing the understanding of mental and substance use disorders and the many 

pathways to recovery to achieve the full potential of prevention, help people recognize 

mental and substance use disorders and seek assistance with the same urgency as any 

other health condition, and make recovery the expectation. 

Across the eight strategic initiatives, SAMHSA identified a number of goals, objectives, and 

action steps to guide its work through 2014. Now that SAMHSA has moved past the planning 

stage to implementation, staff is refining management and communications plans for each 

initiative. In a continued effort to focus SAMHSA’s resources on items of highest priority, 

senior leadership has worked with each initiative lead through this process to identify projects 

requiring action in the near term. This will enable SAMHSA to move forward on key issues, 

such as the prevention of substance abuse and mental illness, and prioritize declining resources 

in FY 2012 and FY 2013. 
Discretionary All-Purpose Table 

FY 2013 Budget Submission 

(Dollars in Thousands)

Program Activities

FY 2011 

Actual

FY 2012 

Enacted

FY 2013 

President’s 

Budget

FY 2013 

+/-

FY 2012

Mental Health:

Mental Health Programs of Regional and National Significance $358,571 $286,116 $247,550 -$38,566

 ACA Prevention Fund (non-add) 45,000 45,000 28,000 -17,000

Mental Health - State Prevention Grant 24,706 34,640 55,000 +20,360

 Project LAUNCH (non-add) 24,706 34,640 24,750 -9,890

Children's Mental Health Services 117,803 117,315 88,557 -28,758

PATH Homeless Formula Grant 64,917 64,917 64,794 ---

PAIMI 36,307 36,238 36,238 ---

Mental Health Block Grant 419,933 459,756 459,756 ---

 PHS Evaluation Funds (non-add) 20,997 21,039 21,039 ---

Total, Mental Health 1,022,237 998,859 951,895 -46,964

Substance Abuse Prevention:

Substance Abuse Prevention Programs of Regional and National Significance 75,956 76,202 65,877 -10,325

 ACA Prevention Fund (non-add) --- --- 7,000 +7,000

Substance Abuse - State Prevention Grant 451,107 453,980 404,501 -49,479

 Strategic Prevention Framework (non-add) 110,417 109,754 60,275 -49,479

Total, Substance Abuse Prevention 527,063 530,182 470,378 -59,804

Substance Abuse Treatment:

Substance Abuse Treatment Programs of Regional and National Significance 431,389 425,243 364,139 -61,104

 ACA Prevention Fund (non-add) 25,000 25,000 30,000 +5,000

 PHS Evaluation Funds (non-add) 2,000 2,000 --- -2,000

Substance Abuse Block Grant 1,441,962 1,456,106 1,448,630 -7,476

 PHS Evaluation Funds (non-add) 79,200 79,200 71,724 -7,476

Total, Substance Abuse Treatment 1,873,351 1,881,349 1,812,769 -68,580

Health Surveillance and Program Support

Health Surveillance and Program Support 119,789 124,319 121,157 -3,162

 ACA Prevention Fund (non-add) 18,000 18,000 --- -18,000

 Data Request and Publications User Fees (non-add) --- --- 1,500 +1,500

 PHS Evaluation Funds (non-add) 22,750 27,428 45,428 +18,000

Public Awareness and Support 14,029 13,545 13,571 +26

Performance and Quality Information Systems --- --- 13,571 +13,571

 PHS Evaluation Funds (non-add) 37,362 12,940 12,996 +56

Agency-Wide Initiatives 6,596 --- 12,996 +12,996

 ACA Prevention Fund (non-add) --- --- 40,000 +40,000

Total, Health Surveillance and Program Support 176,430 154,297 187,724 +33,427

TOTAL, SAMHSA Discretionary PL 3,599,081 3,564,687 3,422,766 -141,921

Less PHS Evaluation Funds 131,543 129,667 164,758 +35,091

Less ACA Prevention Funds 88,000 88,000 105,000 +17,000

Less Data Request and Publications User Fees --- --- 1,500 +1,500

TOTAL, SAMHSA Budget Authority $3,379,538 $3,347,020 $3,151,508 -195,512

FTEs 547 574 574 ---

5 
6

Overview of the Budget Request 

The SAMHSA FY 2013 President’s Budget Request for Total Program Level is $3.4 billion, a 

$141.9 million decrease from the FY 2012 Enacted Level. This FY 2013 Total Program Level of 

$3.4 billion is comprised of $3.2 billion in Budget Authority (a decrease of $195.5 million from 

the FY 2012 Enacted Level), $164.8 million in PHS Evaluation funds (an increase of $35.1 

million from FY 2012), $105.0 million in ACA Prevention Funds (an increase of $17.0 million 

from FY 2012), and $1.5 million for User Fees for data and publications requests beyond the 

normal requests from the general public (which is new for FY 2013). 

Prevention is SAMHSA's top priority and funding is provided for each of three major prevention 

programs to focus resources, enhance collaboration, identify strategic problems, and develop 

plans for addressing the health and well-being of whole communities. The promotion of positive 

mental health and prevention of mental and substance use disorders are key parts of SAMHSA’s 

mission to reduce the impact of substance abuse and mental illnesses on America’s communities. 

SAMHSA plans to promote behavioral health by placing a national priority on healthy mental, 

emotional, and behavioral development, especially in children, youth, and young adults. 

SAMHSA will assist States, Territories, Tribal governments, and communities in adopting 

evidence-based practices, deliver prevention focused health education, and establish effective 

policies, programs, and infrastructure to build resilience and prevent mental and substance use 

disorders. 

Additionally, with the passage of the Affordable Care Act, there is increasing commitment to 

prevention across government and in States, Territories, Tribes, and communities. This 

commitment to foster physical and behavioral health and well-being presents a perfect 

opportunity to engage stakeholders and partners—including AI/AN Tribes—to embrace 

prevention as the top strategic initiative in the behavioral health field. 

This request reflects the budget structure in the FY 2012 Consolidated Appropriations Act with 

new program priorities. The proportion of funding for mental health and substance abuse for FY 

2013 is generally comparable to the FY 2012 Enacted funding level (29.42 percent Mental 

Health; 70.58 percent Substance Abuse). 

After careful review of SAMHSA's entire portfolio in FY 2012, strategic reductions are proposed 

in FY 2013 while maintaining support for the highest priority strategic initiative goals for 

Prevention and for Trauma and Justice. The SAMHSA FY 2013 Budget Request also largely 

maintains funding for States to support the infrastructure necessary to maintain and improve 

access to quality behavioral health services. As other programs are reduced, restructured, or 

eliminated, it will be necessary to rethink performance targets to reflect realistic expectations and 

viable management paradigms. 

The FY 2013 President’s Budget Request for SAMHSA is divided among four appropriations 

consistent with the FY 2012 Consolidated Appropriations Act. The four appropriations are 

Mental Health, Substance Abuse Prevention, Substance Abuse Treatment, and Health 

Surveillance and Program Support. The following is a summary of changes for each of the four 

appropriations in the FY 2013 President’s Budget Request for SAMHSA. 
7

Mental Health Appropriation

The FY 2013 President’s Budget Request for the Total Program Level of the SAMHSA Mental 

Health appropriation is $951.9 million, a decrease of $47.0 million from the FY 2012 Enacted 

Level. The request includes $247.6 million for Programs of Regional and National Significance, 

a decrease of $38.6 million from the FY 2012 Enacted Level, and maintains key programs such 

as National Traumatic Stress Network, Primary and Behavioral Health Integration, Suicide 

Prevention Activities, Minority AIDS and Homelessness Prevention Programs. The Mental 

Health appropriation request includes $55.0 million for the Mental Health – State Prevention 

Grant, an increase of $20.4 million from a comparable level in FY 2012, which will provide 

consistent and sustainable support for States and Territories to implement State-wide 

comprehensive prevention strategies to address the prevention of mental illnesses and reduce the 

impact of mental illness on America’s communities. The Request also includes $88.6 million for 

Children’s Mental Health Services to provide comprehensive services to children and their 

families, as well as technical assistance to the field. The PATH Homelessness Formula Grant 

and the Protection and Advocacy for Individuals with Mental Illness (PAIMI) are maintained at 

the same level as FY 2012. Finally, the request includes $459.8 million for the Mental Health 

Block Grant, the same as FY 2012 which provides support to States for provision of key mental 

health services to the Nation’s most vulnerable populations and support critical service 

infrastructure. 

Substance Abuse Prevention Appropriation 

The FY 2013 President’s Budget Request for the Total Program Level of the SAMHSA 

Substance Abuse Prevention appropriation is $470.4 million, a decrease of $59.8 million from 

the FY 2012 Enacted Level. The request includes $65.9 million for Programs of Regional and 

National Significance, a decrease of $10.3 million from the FY 2012 Enacted Level, and 

maintains key programs such as Mandatory Drug Testing, Minority AIDS and Centers for the 

Application of Prevention Technologies. These programs provide flexible support to State and 

local substance abuse prevention service providers and can rapidly address emerging needs. It 

also includes $404.5 million for the Substance Abuse – State Prevention Grant, a decrease of 

$49.5 million from a comparable level in FY 2012, which will bring substance abuse prevention 

to a National scale by providing consistent and sustainable support for States and Territories to 

implement State-wide comprehensive substance abuse prevention strategies and reduce the 

impact of substance abuse on America’s communities. 

Substance Abuse Treatment Appropriation 

The FY 2013 President’s Budget Request for the Total Program Level of the SAMHSA 

Substance Abuse Treatment appropriation is $1.8 billion, a decrease of $68.6 million from the 

FY 2012 Enacted Level. The request includes $364.1 million for Programs of Regional and 

National Significance, a decrease of $59.1 million from the FY 2012 Enacted Level and 

maintains key programs such as Screening, Brief Intervention and Referral to Treatment, 

Pregnant and Postpartum Women, Access to Recovery, Treatment Systems for Homeless, 

Minority AIDS, Criminal Justice and Addiction Technology Transfer Centers. These programs 

provide flexible support to State and local substance abuse treatment service providers and can 

rapidly address emerging needs. The request also includes $1.4 billion for the Substance Abuse 

Block Grant. This includes $1.4 billion in Budget Authority and $71.7 million in PHS 
8 

Evaluation Funds which provides support to States for provision of key substance treatment 

services to the Nation’s most vulnerable populations and support critical service infrastructure. 

Health Surveillance and Program Support Appropriation 

The FY 2013 President’s Budget Request for the Total Program Level of the SAMHSA Health 

Surveillance and Program Support appropriation is $187.7 million, an increase of $33.4 million 

from the FY 2012 Enacted Level. The FY 2013 request includes $121.2 million for Health 

Surveillance and Program Support activities within this appropriation, a decrease of $3.2 million 

from FY 2012. $1.5 million is requested to be collected from user fees for extraordinary data 

and publications user requests not currently able to be fulfilled. Regular requests from the 

general public will continue to be met without cost. The request for Public Awareness and 

Support is $13.6 million, an increase of $26 thousand from the FY 2012 Enacted Level, but is 

requested through PHS Evaluation Funds. The request for Performance and Quality Information 

Systems is $13.0 million, an increase of $56 thousand from the FY 2012 Enacted Level, but is 

requested through PHS Evaluation Funds. Finally, $40.0 million is requested for the Behavioral 

Health – Tribal Prevention Grant, to be funded from the ACA Prevention Fund which will 

provide consistent and sustainable support for Tribes to implement comprehensive substance 

abuse and mental illness prevention strategies, including preventing underage drinking and 

suicides, to reduce the impact of substance abuse and mental illness on Tribal populations. 

It should be noted that all grant and contract numbers in the budget for FY 2012 and FY 2013 

should be considered approximate and the best estimate at this point in the planning process. 

The grant and contract numbers could be affected by the amount of available funding, number of 

applicants, timing of funding, potential partners, and best approaches to implementing best 

practices and Congressional intent. 
9 

Overview of Performance 

FY 2013 Performance Overview 

The Substance Abuse and Mental Health Services Administration (SAMHSA) is charged with 

reducing the suffering associated with substance abuse and mental illness within America’s 

communities. Addressing the needs of vulnerable citizens during this time of significant change 

within the US health care system creates both opportunities and challenges. As SAMHSA 

pursues its mission as an active partner in the delivery of mental health and substance abuse 

services, improvements are measured in how care is delivered, how care is paid for, how 

performance is monitored and tracked, and how feedback about effectiveness is used to support 

sound decision-making. 

The knowledge base associated with both substance abuse and mental health continues to expand 

in ways that help patients, providers, policymakers, family members, spiritual advisors and 

others understand which prevention, treatment, and recovery services/interventions work (or do 

not work), with which populations, and under what conditions. With growing options for 

dissemination, collaboration, promotion of sustainability, and other avenues of communication, 

SAMHSA is finding new ways to facilitate ongoing improvements in structures, processes, and 

outcomes. 

During FY 2011, SAMHSA identified eight Strategic Initiatives (SIs) that focus on areas of 

particular opportunity (http://www.samhsa.gov/about/strategy.aspx). Each SI has an overarching 

purpose, specific goals, action steps, and measures for monitoring progress. In addition, three 

issues cut across all SI’s: behavioral health disparities, health reform, and workforce 

development. SI’s are central at SAMHSA: 

• Sets budget and policy priorities; 

• Manages grants, contracts, technical assistance, Agency staff, and interagency efforts; 

• Engages partners at every level and across stakeholders; and 

• Measures and communicates progress.

SAMHSA sets priorities within the context of limited resources and fiscal restraint. In 

conjunction with SAMHSA’s eight SIs, decisions stemming from the decrease in SAMHSA’s 

FY 2013 Budget Request are influenced by many factors. While reductions will result in few 

terminations of grants or contracts, performance may be negatively influenced. 
10 

Internal Performance Management Processes 

As required by the Government Performance and Results Modernization Act of 2010 (GPRA 

Modernization Act), performance measures are monitored and reported. SAMHSA has achieved 

or surpassed a majority of FY 2011 goals and significant progress was made when goals were 

not achieved. In recent years, SAMHSA maintained between 58-70 percent target achievements 

across GPRA Modernization Act measures. For FY 2011, SAMHSA currently documents that 

60 percent of the targets are either met or exceeded. Although this number will change as more 

FY 2011 data are reported, SAMHSA is optimistic that the collective achievements for FY 2011 

represent promising benefit to many Americans. Considering that many of SAMHSA’s 

performance measures are outcomes (e.g., substance use, housing, and employment) which have 

been greatly impacted by the economic downturn, SAMHSA’s programs are seen as highly 

successful. 

SAMHSA’s GPRA Modernization Act reporting portfolio is designed to generate feedback 

useful to decision-makers across stakeholder groups. Measures are continuously evaluated and 

refined in ways that optimize responsiveness. An example of specific importance is growing 

agreement across public and private groups about how to accurately measure and report recovery 

from mental illness or substance use disorders. 

Each of SAMHSA’s program Centers currently operate their own performance management 

system and use output to monitor their programs and report results. As this occurs, SAMHSA’s 

Center for Behavioral Health Statistics and Quality (CBHSQ) is leading the development of a 

common data platform to track all performance and oversee evaluation and overall performance 

within available resources. Three separate existing systems, (TRAC, PMART, and SAIS) will be 

replaced over the next couple of years by the new SAMHSA-wide system. The future common 

data platform will be critical in generating information for quarterly performance data reports 

and for supporting the development of internal review processes in compliance with the GPRA 

Modernization Act of 2010. 

All four of SAMHSA’s Centers are currently working together to develop a behavioral health 

framework designed to monitor the performance of SAMHSA programs. This framework will 

facilitate performance management and inform SAMSHA about how to most effectively 

influence outcomes. The resulting data and information will expand collective understanding of 

how SAMHSA can influence change by collaborating with other operating divisions, States, 

networks, and non-governmental groups. Finally, SAMHSA’s National Behavioral Health 

Quality Framework (NBHQF) will be of value as SAMHSA tracks population-based indicators 

which can be used to monitor trends and prioritize activities. 
11 

Support for the HHS Strategic Plan and Federal Priorities 

SAMHSA contributes to HHS priorities and works across traditional agency and program 

boundaries in pursuit of optimal processes and outcomes. SAMHSA contributes to 

implementation of the Affordable Care Act (ACA) as well as active participation in the 

Department of Health and Human Services (HHS) Strategic Plan. Within this context, 

SAMHSA is committed to optimal program performance that emphasizes strong data analysis as 

a key part of performance management. SAMHSA uses performance goals as tools designed to 

advance performance management through effective, efficient, and productive government 

efforts. SAMHSA data efforts, including GPRA Modernization Act, support many of the 

priorities of the Secretary and the President. SAMHSA has ongoing activities that relate to each 

of the Secretarial priorities: 

• Transforming Health Care – SAMHSA is monitoring the percentage of persons with a mental 

health or substance use disorder service need and who have health insurance through the 

National Survey on Drug Use and Health (NSDUH). 

• Advance Scientific Knowledge and Innovation – SAMHSA has consolidated staff efforts in the 

new Office of Policy, Planning and Innovation to lead cutting edge efforts across SAMHSA and 

across government. 

• Advance the Health, Safety, and Well-Being of the American People – SAMHSA is monitoring 

trends in mental health and substance abuse disorders. 

• Increase Efficiency, Transparency, and Accountability of HHS programs – SAMHSA is 

working directly with the HHS Chief Technology Officer to make more SAMHSA data publicly 

available. 

• Strengthen the Nation’s Health and Human Services Infrastructure and Workforce – SAMHSA 

is working with HRSA to examine ongoing technical assistance and training activities and 

incentives to see if there are more effective and efficient ways of expanding, supporting, and 

reaching the behavioral health workforce. 
12

FY 2013 Budget by HHS Strategic Goal

Substance Abuse and Mental Health Services Administration

(Dollars in Millions) 

HHS Strategic Goals

FY 2011 FY 2012 FY 2013

1.Strengthen Health Care $757,585 $760,599 $643,793

1.A Make coverage more secure for those who have insurance and extend 

affordable coverage to the uninsured

--- --- ---

1.B Improve health care quality and patient safety 47,309 47,568 46,273

1.C Emphasize primary & preventative care linked with community prevention 

services

116,452 120,932 58,000 

1.D Reduce growth of health care costs while promoting high-value, effective 

care

104,191 100,714 96,221 

1.E Ensure access to quality, culturally competent care for vulnerable 489,633 491,385 443,299

1.F Promote the adoption and meaningful use of health information --- --- ---

2. Advance Scientific Knowledge and Innovation 28,113 21,617 18,102

2.A Accelerate the process of scientific discovery to improve patient care --- --- ---

2.B Foster innovation at HHS to create shared solutions --- --- ---

2.C Invest in the regulatory sciences to improve food & medical product --- --- ---

2.D Increase our understanding of what works in public health and human 

service practice

28,113 21,617 18,102 

3. Advance the Health, Safety and Well-Being of the American 2,757,892 2,751,635 2,731,510

3.A Promote the safety, well-being, resilience, and health development of 

children and youth

223,034 170,996 159,651

3.B Promote economic & social well-being for individuals, families and 18,018 13,343 11,795

3.C Improve the accessibility and quality of supportive services for people with 

disabilities and older adults

--- --- ---

3.D Promote prevention and wellness 2,515,936 2,566,244 2,557,114

3.E Reduce the occurrence of infectious diseases --- --- ---

3.F Protect Americans’ health and safety during emergencies, and foster 

resilience in response to emergencies

904 1,052 2,950

4. Increase Efficiency, Transparency and Accountability of HHS 37,362 12,940 12,996

4.A Ensure program integrity and responsible stewardship of resources --- --- ---

4.B Fight fraud and work to eliminate improper payments --- --- ---

4.C Use HHS data to improve American health and well-being of the

American people

37,362 12,940 12,996

4.D Improve HHS environmental energy, and economic performance to 

promote sustainability

--- --- ---

5. Strengthen the Nation's Health and Human Service

Infrastructure and Workforce

18,129 17,896 16,365

5.A Invest in HHS workforce to meet America's health and human service 

needs today & tomorrow

--- --- ---

5. B Ensure that the Nation's health care workforce meets increased 18,129 17,896 16,365

5. C Enhance the ability of the public health workforce to improve health at 

home and abroad

--- --- ---

5.D Strengthen the Nation's human service workforce --- --- ---

5.E Improve national State & local surveillance and epidemiology capacity --- --- ---

TOTAL $3,599,081 $3,564 ,687 $3,422,766
Summary of Changes

SAMHSA

(Dollars in Thousands)

FY 2011 

Actual

FY 2012 

Enacted

FY 2013 

President’s 

Budget

FY 2013 

+/- 

FY2012

Mental Health $1,022,237 $998,859 $951,895 -$46,964

Substance Abuse Prevention 527,063 530,182 470,378 -59,804

Substance Abuse Treatment 1,873,351 1,881,349 1,812,769 -68,580

Health Surveillance and Program Support 176,430 154,297 187,724 +33,427

Total, SAMHSA $3,599,081 $3,564,687 $3,422,766 -$141,921

FTEs1 547 574 574 ---

1 In 2012, SAMHSA will continue to in source positions for activities that are central to SAMHSA’s mission, represent critical 

skills for the agency, and result in overall savings consistent with Office of Federal Procurement Policy guidelines. A total of 98 

positions will be added and fully staffed by the end of FY 2012. These positions are allocated across SAMHSA’s four 

appropriations to reflect the provision of direct program support or to reflect the proration of overhead and indirect costs. An 

additional 13 positions have been added to provide support to the ten HHS regions. These positions are allocated across three 

appropriations to reflect the provision of technical assistance to the states as well as linking SAMHSA with its sister operating 

divisions in the regions. The additional positions are fiscally neutral.

Summary of the FY 2013 Budget:

The SAMHSA FY 2013 President’s Budget Request for its Total Program Level is $3.4 billion, a 

$141.9 million decrease from the FY 2012 Enacted Level. This FY 2013 Total Program Level of 

$3.4 billion includes $3.2 billion in Budget Authority (a decrease of $195.5 million from the FY 

2012 Enacted Level), $164.8 million in PHS Evaluation funds (an increase of $35.1 million from 

FY 2012), $105.0 million in ACA Prevention Funds (an increase of $17.0 million from FY 

2012), and $1.5 million for user fees (new for FY 2013) for extraordinary data and publications 

requests not currently able to be fulfilled. The FY 2013 President’s Budget Request for 

SAMHSA is divided among the four appropriations consistent with the FY 2012 Consolidated 

Appropriations Act: Mental Health, Substance Abuse Prevention, Substance Abuse Treatment, 

and Health Surveillance and Program Support.

The Mental Health appropriation is $951.9 million, a decrease of $47.0 million from the FY

2012 Enacted Level. The Request includes $902.9 million in Budget Authority (a decrease of 

$30.0 million from FY 2012), $21.0 million in PHS Evaluation funds (the same as FY 2012), and 

$28.0 million in ACA Prevention Funds (a decrease of $17.0 million from FY 2012). The 

reductions are primarily due to targeted reductions in select Programs of Regional and National 

Significance and the Children’s Mental Health Services program as the concepts and strategies 

are brought to scale in the Mental Health – State Prevention Grant which builds on the successes 

of the Project LAUNCH model to expand the program nationally. 

13
14 

The Substance Abuse Prevention appropriation is $470.4 million, a decrease of $59.8 million 

from the FY 2012 Enacted Level. The Request includes $463.4 million in Budget Authority (a 

decrease of $66.8 million from FY 2012), and $7.0 million in ACA Prevention Funds (an 

increase of $7.0 million from FY 2012). The reductions are primarily due to targeted reductions 

in select Programs of Regional and National Significance and the Strategic Prevention 

Framework program as the concepts and strategies are brought to scale in the Substance Abuse –

State Prevention Grant which will provide a stable source of funding to implement prevention 

activities for substance use disorders among the most vulnerable and impoverished in States, 

Territories, and Tribes and communities. 

The Substance Abuse Treatment appropriation is $1.8 billion, a decrease of $68.6 million from 

the FY 2012 Enacted Level. The Request includes $1.7 billion in Budget Authority (a decrease 

of $64.1 million from FY 2012), $71.7 million in PHS Evaluation funds (a decrease of $9.5 

million from FY 2012), and $30.0 million in ACA Prevention Funds (an increase of $5.0 million 

from FY 2012). The reductions are is primarily due to targeted reductions in select Programs of 

Regional and National Significance as the concepts and strategies are brought to scale within the 

Substance Abuse Block Grant. 

The Health Surveillance and Program Support appropriation is $187.7 million, an increase of 

$33.4 million from the FY 2012 Enacted Level. The Request includes $74.2 million in Budget 

Authority (a decrease of $4.7 million from FY 2012), $72.0 million in PHS Evaluation funds (an 

increase of $44.6 million from FY 2012), and $40.0 million in ACA Prevention Funds (an 

increase of $22.0 million from FY 2012). By making targeted realignments in staffing and 

overhead costs, as well as consolidations of data collection and public outreach activities, the 

funding for Health Surveillance and Program Support is reduced. Also included in the FY 2013 

Request is $1.5 million from user fees to be collected for extraordinary data and publications 

user requests not currently able to be fulfilled. Regular requests from the general public will 

continue to be met without cost. Additionally, within this appropriation, $40.0 million is 

requested from the ACA Prevention Fund to provide a formula-based grant program to deliver 

behavioral health services specifically to Tribal populations. 
15

Appropriation Language 

SUBSTANCE ABUSE AND MENTAL HEALTH SERVICES 

ADMINISTRATION 

MENTAL HEALTH 

For carrying out titles III, V, and XIX of the PHS Act with respect to mental health, and 

the Protection and Advocacy for Individuals with Mental Illness Act, [$934,853,000] 

$902,856,000: Provided, That notwithstanding section 520A(f)(2) of the PHS Act, no funds 

appropriated for carrying out section 520A shall be available for carrying out section 1971 of the 

PHS Act: Provided further, That in addition to amounts provided herein, [$21,039,000]

$21,039,000 shall be available under section 241 of the PHS Act to carry out subpart I of part B 

of title XIX of the PHS Act to fund section 1920(b) technical assistance, national data, data 

collection and evaluation activities, and further that the total available under this Act for section 

1920(b) activities shall not exceed 5 percent of the amounts appropriated for subpart I of part B 

of title XIX: Provided further, That section 520E(b)(2) of the PHS Act shall not apply to funds 

appropriated under this Act for fiscal year [2012: Provided further, That of the amount 

appropriated under this heading, $45,800,000 shall be for the National Child Traumatic Stress 

Initiative as described in section 582 of the PHS Act] 2013. 

SUBSTANCE ABUSE TREATMENT 

For carrying out titles III, V, and XIX of the PHS Act with respect to substance abuse 

treatment [and section 1922(a) of the PHS Act with respect to substance abuse prevention, 

$2,123,993,000], $1,711,045,000: Provided, That in addition to amounts provided herein, [the 

following amounts shall be available under section 241 of the PHS Act: (1) $79,200,000]

$71,724,000 shall be available under section 241 of the PHS Act to carry out subpart II of part B 
16 

of title XIX of the PHS Act to fund section 1935(b) technical assistance, national data, data 

collection and evaluation activities, and further that the total available under this Act for section 

1935(b) activities shall not exceed 5 percent of the amounts appropriated for subpart II of part B 

of title XIX [; and (2) $2,000,000 to evaluate substance abuse treatment programs]: Provided 

further, That [no funds shall be available for the National All Schedules Prescription Reporting 

system] section 1922(a)(1) of the PHS Act shall not apply to amounts provided herein. 

SUBSTANCE ABUSE PREVENTION 

For carrying out titles III and V of the PHS Act with respect to substance abuse 

prevention, [$186,361,000] $463,378,000.

HEALTH SURVEILLANCE AND PROGRAM SUPPORT 

For program support and cross-cutting activities that supplement activities funded under 

the headings ``Mental Health'', ``Substance Abuse Treatment'', and ``Substance Abuse 

Prevention'' in carrying out titles III, V, and XIX of the PHS Act and the Protection and 

Advocacy for Individuals with Mental Illness Act in the Substance Abuse and Mental Health 

Services Administration, [$109,106,000] $74,229,000: Provided, That in addition to amounts 

provided herein, [$27,428,000] $71,995,000 shall be available under section 241 of the PHS Act 

to supplement funds available to carry out national surveys on drug abuse and mental health, to 

collect and analyze program data, and to conduct public awareness and technical assistance 

activities: Provided further, That, in addition, fees may be collected for the costs associated with 

additional publications, data, data tabulations, and data analysis completed under title V of the 

PHS Act and provided to a public or private entity upon request, which shall be credited to this 

appropriation and shall remain available until expended for such purposes: Provided further, 

That funds made available under this heading may be used to supplement program support 
17 

funding provided under the headings “Mental Health”, “Substance Abuse Treatment”, and 

“Substance Abuse Prevention”: Provided further, That the Administrator may transfer funds 

between any of the accounts of SAMHSA with notification to the Committees on Appropriations 

of both Houses of Congress at least 15 days in advance of any transfer, but no such account 

shall be decreased by more than 3 percent by any such transfer. (Department of Health and 

Human Services Appropriations Act, 2012.) 
18 

Language Analysis 

Language Provision Explanation

Provided, That notwithstanding section 520A(f)(2) 

of the PHS Act, no funds appropriated for carrying 

out section 520A are available for carrying out 

section 1971 of the PHS Act: Provided further...

No funds from the CMHS PRNS can be used to 

fund data infrastructure support.

Provided further, That section 520E(b)(2) of the 

PHS Act shall not apply to funds appropriated

under this Act for fiscal year 2013.

Allows States to receive more than one grant under 

the Garrett Lee Smith Youth Suicide Statesponsored statewide program.

Provided further, That section 1922(a)(1) of the 

PHS Act shall not apply to amounts provided 

herein.

Waives the 20% of the Substance Abuse 

Prevention and Treatment Block Grant minimum 

expenditure requirement for prevention services;

prevention activities will be funded under the new 

Substance Abuse State Prevention Grants under the 

new SAMHSA budget structure

...conduct public awareness and technical 

assistance activities:

Provides PHS evaluation funds to finance public 

awareness and support which constitutes technical 

assistance in the new SAMHSA budget structure.

Provided further, That, in addition, fees may be 

collected for the costs associated with additional 

publications, data, data tabulations, and data 

analysis completed under title V of the PHS Act 

and provided to a public or private entity upon 

request, which shall be credited to this 

appropriation and shall remain available until 

expended for such purposes.

Allow user fees to be collected for data and 

publications and for those fees to be available to 

SAMHSA until expended.
Amounts Available for Obligation

FY 2011 Actual

FY 2012 

Appropriation

FY 2013 

President’s Budget

Appropriation:

Labor/HHS/Ed-Annual Appropriation 3,386,311,000 3,354,313,000 3,151,508,000

Subtotal, adjusted appropriation 3,379,538,000 3,347,973,000 3,151,508,000

Subtotal, adjusted budget authority 3,379,538,000 3,347,973,000 3,151,508,000

Real Transfer to: Office of the Secretary --- (953,809) ---

Offsetting Collections from:

 Federal Sources 131,543,000 129,667,000 164,758,000

 ARRA --- --- ---

 Data Request and Publications User Fees --- --- 1,500,000

Unobligated balance start of year 187,000 2,991,000 2,963,064

Unobligated balance end of year 2,991,000 2,963,064 2,789,186

Unobligated balance expiring --- --- ---

Total obligations $3,514,259,000 $3,482,640,255 $3,323,518,250

19 
20

Summary of Changes

(Dollars in Thousands)

2012

Total budget authority $ 3,347,020,000 

(Obligation) $ 3,347,020,000

2013

Total estimated budget authority $ 3,151,508,000 

(Obligation) $ 3,151,508,000

Net Change -$ 195,512,000

FY2012 

Enacted Level

FTE

FY 2012

Enacted Level 

Budget Authority

Change 

from base 

FTE

Change from 

base 

Budget Authority

Increases:

 A. Built-in: --- $ 72,280,000 --- +$ 25,000

 1. Annualization of 2012 Commissioned Corps pay costs --- 7,228,000 --- +323,000

 2. Increase for January 2013 pay raise --- 6,500,000 --- +65,000

 3. Increase in rental payments to GSA --- 278,000 --- +278,000

 4. One additional compensable day --- --- --- +691,000

 Subtotal, Built-in Increases

 B. Program

 1. Mental Health State Prevention Grant --- 34,640,000 --- +20,360,000

 Subtotal, Program Increases --- --- --- +20,360,000

 Total Increases --- --- --- +21,051,000

Decreases:

A. Built-in:

 Subtotal, Built-in Decreases --- --- --- ---

 B. Program:

 1. Mental Health PRNS --- 241,116,000 --- -22,272,000

 2. Children's Mental Health Services --- 117,315,000 --- -28,758,000

 3. Substance Abuse Prevention PRNS --- 58,877,000 --- -17,274,000

 4. Substance Abuse-State Prevention Grant --- 454,033,000 --- -49,532,000

 5. Substance Abuse Treatment PRNS --- 398,243,000 --- -65,285,000

 6. Health Surveillance and Program Support --- 78,891,000 --- -3,464,000

 7. PAS --- 13,545,000 --- -13,545,000

 8. PQIS --- 12,940,000 --- -12,940,000

 9. Military Families --- -3,493,000 --- -3,493,000

 Subtotal, Program Decreases --- --- --- -216,563,000

 Total Decreases --- --- --- -216,563,000

 Net Change, Discretionary Budget Authority 574 3,347,020,000 --- -$195,512,000
21

Budget Authority by Activity

(Dollars in Thousands)

Program Activities

FY 2011 

Actual

FY 2012 

Enacted

FY 2013 

President’s 

Budget

Mental Health:

Mental Health Programs of Regional & National Significance $358,571 $286,116 $247,550

 ACA Prevention Fund (non-add) 45,000 45,000 28,000

Mental Health - State Prevention Grant 24,706 34,640 55,000

Children's Mental Health Services 117,803 117,315 88,557

PATH Homeless Formula Grant 64,917 64,794 64,794

PAIMI 36,307 36,238 36,238

Mental Health Block Grant 419,933 459,756 459,756

 PHS Evaluation Funds (non-add) 20,997 21,039 21,039

Total, Mental Health 1,022,237 998,859 951,895

Substance Abuse Prevention:

Substance Abuse Prevention Programs of Regional & National Significance 75,956 76,149 65,877

 ACA Prevention Fund (non-add) --- --- 7,000

Substance Abuse - State Prevention Grant 451,107 454,033 404,501

 Strategic Prevention Framework (non-add) 110,417 109,807 60,275

Total, Substance Abuse Prevention 527,063 530,182 470,378

Substance Abuse Treatment:

Substance Abuse Treatment Programs of Regional & National Significance 431,389 425,243 364,139

 ACA Prevention Fund (non-add) 25,000 25,000 30,000

 PHS Evaluation Funds (non-add) 2,000 2,000 ---

Substance Abuse Block Grant 1,441,962 1,456,106 1,448,630

 PHS Evaluation Funds (non-add) 79,200 79,200 71,724

Total, Substance Abuse Treatment 1,873,351 1,881,349 1,812,769

Health Surveillance and Program Support

Health Surveillance and Program Support 119,789 124,319 121,157

 ACA Prevention Fund (non-add) 18,000 18,000 ---

 Data Request and Publications User Fees (non-add) --- --- 1,500

 PHS Evaluation Funds (non-add) 22,750 27,428 45,428

Public Awareness and Support 14,029 13,545 13,571

 PHS Evaluation Funds (non-add) --- --- 13,571

Performance and Quality Information Systems 37,362 12,940 12,996

 PHS Evaluation Funds (non-add) 6,596 --- 12,996

Agency-Wide Initiatives 5,250 3,493 40,000

 ACA Prevention Fund (non-add) --- --- 40,000

Total, Health Surveillance and Program Support 176,430 154,297 187,724

TOTAL, SAMHSA Discretionary PL 3,599,081 3,564,687 3,422,766

Less PHS Evaluation Funds 131,543 129,667 164,758

Less ACA Prevention Funds 88,000 88,000 105,000

Less Data Request and Publications User Fees --- --- 1,500

TOTAL, SAMHSA Budget Authority $3,379,538 $3,347,020 $3,151,508

FTEs 547 574 574
22

Authorizing Legislation

Program Description/PHS Act:

FY 2012 

Amount 

Authorized

FY 2012 

Enacted

FY 2013 

Amount 

Authorized

FY 2013 

President’s Budget

NASPER

Sec. 399O Expired $0 Expired $0

Emergency Response

Sec. 501 0 0 0 0

Grants for the Benefit of Homeless

Individuals

Sec. 506 Expired $41,571,000 Expired $41,571,000

Alcohol and Drug Prevention or Treatment 

Services for Indians and Native Alaskans

Sec. 506A* 0 0 0 0

Grants for Ecstasy and Other Club

Drugs Abuse Prevention

Sec. 506B* 0 0 0 0

Residential Treatment Programs for

Pregnant and Postpartum Women

Sec. 508 Expired $15,970,000 Expired $15,970,000

Priority Substance Abuse Treatment Needs 

of Regional and National Significance

Sec. 509* Expired $310,082,000 Expired $246,920,000

Substance Abuse Treatment Services for 

Children and Adolescents

Sec. 514* Expired $30,620,000 Expired $29,678,000

Early Intervention Services for Children 

and Adolescents

Sec. 514A* 0 0 0 0

Methamphetamine and Amphetamine

Treatment Initiative

Sec. 514(d)* 0 0 0 0

Priority Substance Abuse Prevention Needs 

of Regional and National Significance

Sec. 516* Expired $513,393,000 Expired $462,378,000

Prevention, Treatment and Rehabilitation 

Model Projects for High Risk Youth

Sec. 517 0 0 0 0

Services for Children of Substance Abusers

Sec. 519* 0 0 0 0

Grants for Strengthening Families

Sec. 519A* 0 0 0 0

Programs to Reduce Underage Drinking

Sec. 519B* Expired $ 6,987,000 Expired ---

SSAN = Such Sums as Necessary 
23

Authorizing Legislation

Program Description/PHS Act:

FY 2012 

Amount 

Authorized

FY 2012 

Enacted

FY 2013 

Amount 

Authorized

FY 2013 

President’s Budget

Services for Individuals with Fetal Alcohol 

Syndrome (FAS)

Sec. 519C* 0 0 0 0

Centers of Excellence on Services for Individuals 

with FAS and Alcohol-related Birth Defects and 

Treatment for Individuals with Such Conditions and 

Their Families

Sec. 519D* Expired $9,802,000 Expired $1,000,000

Prevention of Methamphetamine and

Inhalant Abuse and Addiction

Sec. 519E* Expired 0 Expired 0

Priority Mental Health Needs of Regional and 

National Significance

Sec. 520A* Expired $160,619,000 Expired $162,220,000

National Centers of Excellence for Depression

Sec. 520B* Expired 0 Expired 0

Youth Interagency Research, Training, and 

Technical Assistance Centers 

Sec. 520C* Expired $4,948,000 Expired $4,948,000

Services for Youth Offenders

Sec. 520D* 0 0 0 0

Suicide Prevention for Children and Youth

Sec. 520E1* Expired $29,682,000 Expired $29,374,000

Suicide Prevention for Children and Youth

Sec. 520E2* Expired $4,966,000 Expired $4,858,000

Grants for Emergency Mental Health Centers

Sec. 520F* 0 0 0 0

Grants for Jail Diversion Programs

Sec. 520G* Expired $6,672,000 Expired $4,281,000

Improving Outcomes for Children and Adolescents 

through Services Integration between Child 

Welfare and MH Services

Sec. 520H* 0 0 0 0

Grants for Integrated Treatment of Serious Mental

Illness and Co-occurring Substance Abuse

Sec. 520I* 0 0 0 0

Mental Health Training Grants

Sec. 520J* 0 0 0 0

Awards for Co-locating Primary and Specialty Care 

in Community-based Mental Health Settings

Sec. 520K* $50,000,000 $30,749,000 $50,000,000 0

PATH Grants to States

Sec. 535(a) Expired $64,794,000 Expired $64,794,000

SSAN = Such Sums as Necessary 
24

Authorizing Legislation

Program Description/PHS Act:

FY 2012 

Amount 

Authorized

FY 2012 

Enacted

FY 2013 

Amount 

Authorized

FY 2013 

President’s Budget

Community Mental Health Services for

Children with Serious Emotional Disturbances

Sec. 565 (f) Expired $117,315,000 Expired $88,557,000

Children and Violence Program

Sec. 581* Expired $23,156,000 Expired $23,156,000

Grants for Persons who Experience Violence

Related Stress

Sec. 582 ** Expired $45,713,000 Expired $45,713,000

Community Mental Health Services

Block Grants

Sec. 1920(a) Expired $438,717,000 Expired $438,717,000

Substance Abuse Prevention and Treatment

Block Grants

Sec. 1935(a) Expired $1,376,906,000 Expired $1,376,906,000

Data Infrastructure Development

Sec. 1971* Expired 0 Expired 0

Other Legislation/Program Description

Protection and Advocacy for Individuals

with Mental Illness Act

P.L. 99-319, Sec. 117 Expired $36,238,000 Expired $36,238,000

Program Management:

Program Management, Sec. 501 Indefinite $107,709,000 Indefinite $73,069,000

SEH Workers' Compensation Fund

P.L. 98-621 Indefinite $1,160,000 Indefinite $1,160,000

Total, Program Management

0 $108,869,000 0 $74,229,000

St. Elizabeths Hospital Building & Facilities

Sec. 501 0 0 0 0

Data Evaluation

Sec. 505 0 0 0 0

Indian Health Care Improvement Reauthorization

and Extension Act of 2009

Substance Abuse and Mental Health

Services Administration Grants

Sec. 724 SSAN 0 SSAN 0

Indian Youth Life Skills Development

Demonstration Program

Sec. 726 $1,000,000 0 $1,000,000 0

TOTAL, SAMHSA Budget Authority $51,000,000 $3,377,769,000 $50,000,000 $3,151,508,000

SSAN = Such Sums as Necessary 

* Denotes programs that were authorized in the Children's Health Act of 2000. We have the authority to carry out these 

programs in our general authorities in Section 507, 516 and 520A.
1/ 

Appropriation History Table

Budget Estimate

to Congress House Allowance Senate Allowance Appropriation

2002 $3,058,456,000 $3,131,558,000 $3,073,456,000 $3,138,279,000 1/ 

2002 Res. H.R. 3061 0 0 0 -$589,000 2/ 

2002 Res. P.L. 107-216 0 0 0 -$1,681,000

3/ 

2003 P.L. 108-5 $3,193,086,000 $3,167,897,000 $3,129,717,000 $3,158,068,000

2003 P.L. 108-7 0 0 0 -$20,521,235 4/ 

2004 P.L. 108-84 $3,393,315,000 $3,329,000,000 $3,157,540,000 $3,253,763,000

2004 P.L. 108-199 0 0 0 -$19,856,290 5/ 

2005 P.L. 108-447 & P.L.

108-309 as mended $3,428,939,000 $3,270,360,000 $3,361,426,000 $3,295,361,000 6/ 

2005 H.R. 4818 0 0 0 -$26,895,592

2006 P.L. 109-149 $3,336,023,000 $3,352,047,000 $3,398,086,000 $3,237,813,000

2006 Res. P.L. 109-359 0 0 0 -$1,681,000 7/ 

2006 Section 202 0 0 0 -$2,201,000

2007 P.L. 109-383 $3,260,001,000 $3,326,341,772 $3,326,341,772 $1,211,654,381 8/ 

2007 Continuing Resolution 0 0 0 $3,326,341,772 9/ 

2008 H.R. 2764/P.L. 110-161 $3,167,589,000 $3,393,841,000 $3,404,798,000 $3,291,543,000

2008 Res. P.L. 110-161 0 0 0 -$57,503,000 10/ 

2009 H.R. 1105/P.L. 111-8 $3,024,967,000 $3,303,265,000 $3,257,647,000 $3,334,906,000

2010 H.R. 3288/P.L. 111-117 $ 3,393,882,000 $ 3,429,782,000 $3,419,438,000 $3,431,116,000 11/ 

2011 H.R. 1473/P.L. 112-10 $ 3,541,362,000 $ 3,565,360,000 $ 3,576,184,000 $3,386,311,000

2012 H.R. 2055/P.L. 112-74 $ 3,386,903,000 $ 3,096,914,000 $ 3,354,637,000 $3,347,020,000 12/

2013 $ 3,151,508,000

Reflects Administrative reduction in Section 516 of the Appropriations Bill (H.R. 3061).

2/ Reflects Administrative reduction in P.L. 107-216.

3/ Reflects a Rescission mandated by P.L.108-7. 4/ Reflects SAMHSA's share of the Division E, section 515 reduction on administrative and related expenses and the Division H, 

section 168(b) rescission of P.L. 108-199. 5/ Reflects SAMHSA's share of the Division F, section 519(a) reduction on administrative and related expenses and the Division J, 

section 122(a) rescission of H.R. 4818. 6/ Reflects SAMHSA's share of the rescission mandated by P.L. 109-359.

7/ Reflects Section 202 transfer to CMS. 8/ Reflects Continuing Resolution through February 15, 2007.

9/ Reflects the whole year appropriation 10/ Reflects a 1.7 percent across-the-board Rescission from the H.R. 2764/P.L. 110-161.

11/ Reflects a $508 thousand transfer to HHS 

12/ Reflects a 0.189 percent across-the-board Rescission from the H.R. 2055/P.L. 112-74. and $953.809 thousand Ryan White transfer 

to HRSA 

25 
Appropriations Not Authorized by Law

Program

Last Year of 

Authorization

Authorization 

Level

Appropriations in 

the Last Year of 

Authorization

Appropriations in 

FY 2013

Emergency Response 

Sec. 501O 2003 $ 25,000,000 2.5% all disc grants $0

Grants for the Benefit of Homeless Individuals 

Sec. 506 2003 $ 50,000,000 $ 16,700,000 $ 41,571,000

Alcohol and Drug Prevention or Treatment Services

for Indians and Native Alaskans 

Sec. 506A* 2003 $ 15,000,000 $0 $0

Grants for Ecstasy and Other Club Drugs Abuse

Prevention Sec. 

506B* 2001 $ 10,000,000 $0 $0

Residential Treatment Programs for Pregnant and 

Postpartum Women 

Sec. 508 2003 SSAN $0 $ 15,970,000

Priority Substance Abuse Treatment Needs of 

Regional and National Significance 

Sec. 509* 2003 $ 300,000,000 $ 322,994,000 $ 246,920,000

Substance Abuse Treatment Services for Children

and Adolescents 

Sec. 514* 2003 $ 40,000,000 $ 20,000,000 $ 29,678,000

Early Intervention Services for Children and 

Adolescents 

Sec. 514A* 2003 $ 20,000,000 $0 $0

Methamphetamine and Amphetamine Treatment 

Initiative 

Sec. 514** 2003 $ 10,000,000 $0 $0

Priority Substance Abuse Prevention Needs of 

Regional and National Significance 

Sec. 516* 2003 $ 300,000,000 $ 138,399,000 $ 462,378,000

Prevention, Treatment and Rehabilitation Model 

Projects for High Risk Youth 

Sec. 517 2003 SSAN $ 7,000,000 $0

Services for Children of Substance Abusers

Sec. 519* 2003 $ 50,000,000 $0 $0

Grants for Strengthening Families

Sec. 519A* 2003 $ 3,000,000 $0 $0

Services for Individuals with Fetal Alcohol 

Syndrome (FAS) 

Sec. 519C* 2003 $ 25,000,000 $0 $0

Centers of Excellence on Services for Individuals 

with FAS and Alcohol-related Birth Defects and 

Treatment for Individuals with Such Conditions and 

Their Families 

Sec. 519D* 2003 $ 5,000,000 $ 2,416,000 $ 1,000,000

Prevention of Methamphetamine and Inhalant 

Abuse and Addiction 

Sec. 519E* 2003 $ 10,000,000 $ 5,000,000 $0

Priority Mental Health Needs of Regional and 

National Significance 

Sec. 520A* 2003 $ 300,000,000 $ 94,289,000 $ 162,220,000

Youth Interagency Research, Training, and 

Technical Assistance Centers 

Sec. 520C* 2007 $ 5,000,000 $ 3,960,000 $ 4,948,000

Services for Youth Offenders

Sec. 520D* 2003 $ 40,000,000 $0 $0

26
Suicide Prevention for Children and Youth

Sec. 520E (GLS - State Grants) 2007 $ 30,000,000 $ 17,829,000 $ 29,374,000

Sec. 520E1 (Suicide Prevention for Youth) 2003 $ 75,000,000 $0 $0

Sec. 520E2 (GLS-Campus Grants) 2007 $ 5,000,000 $ 4,950,000 $ 4,858,000

Grants for Emergency Mental Health Centers

Sec. 520F* 2003 $ 25,000,000 $0 $0

Grants for Jail Diversion Programs

Sec. 520G* 2003 $ 10,000,000 $ 6,043,000 $ 4,281,000

Improving Outcomes for Children and Adolescents

through Services Integration between Child Welfare 

and MH Services 

Sec. 520H* 2003 $ 10,000,000 $0 $0

Grants for Integrated Treatment of Serious Mental

Illness and Co-occurring Substance Abuse 

Sec. 520I* 2003 $ 40,000,000 $0 $0

Mental Health Training Grants

Sec. 520J* 2003 $ 25,000,000 $0 $0

PATH Grants to States

Sec. 535(a) 2003 $ 75,000,000 $ 46,855,000 $ 64,794,000

Community Mental Health Services for Children

with Serious Emotional Disturbances 

Sec. 565 (f) 2003 $ 100,000,000 $ 96,694,000 $ 88,557,000

Children and Violence Program

Sec. 581* 2003 $ 100,000,000 $ 83,035,000 $ 23,156,000

Grants for Persons who Experience Violence Related

Stress 

Sec. 582 * 2003 $ 50,000,000 $ 20,000,000 $ 45,713,000

Community Mental Health Services Block Grants

Sec. 1920(a) 2003 $ 450,000,000 $ 433,000,000 $ 438,717,000

Substance Abuse Prevention and Treatment Block

Grants 

Sec. 1935(a) 2003 $ 2,000,000,000 $ 1,785,000,000 $ 1,376,906,000

Data Infrastructure Development

Sec. 1971* 2003 SSAN $ 6,000,000 $0

Other Legislation/Program Description

Protection and Advocacy for Individuals with Mental

Illness Act P.L. 99-319, 

Sec. 117 2003 $ 19,500,000 $ 32,500,000 $ 36,238,000

TOTAL, SAMHSA Budget Authority --- $ 4,222,500,000 $ 3,142,664,000 $ 3,077,279,000

*Denotes programs that were authorized in the Children's Health Act of 2000. SAMHSA has the authority to carry out these programs 

in our general authorities in Section 507, 516 and 520A. 

**Congress authorized two provisions as section 514.

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28 

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29

SAMHSA 

Mental Health 

Table of Contents 

USAMHSA/Mental Health Page

1. Summary of Changes ............................................................................................................ 31

2. SAMHSA/Programs of Regional and National Significance ............................................... 35

a. Seclusion & Restraint ........................................................................................... 36

b. Youth Violence Prevention ................................................................................... 36

c. National Child Traumatic Stress Network ............................................................ 37

d. Children and Family Programs ............................................................................. 38

e. Consumer & Family Network Grant..................................................................... 39

f. Mental Health System Transformation and Health Reform ................................. 39

g. Primary & Behavioral Health Care Integration (PBHCI) ..................................... 40

h. National Suicide Prevention Lifeline .................................................................... 41

i. GLS Youth Suicide Prevention ............................................................................. 42

j. AI/AN Suicide Prevention .................................................................................... 43

k. Homelessness Prevention and Housing Program ................................................. 43

l. Minority AIDS ...................................................................................................... 44

m. Criminal & Juvenile Justice Programs .................................................................. 44

n. Suicide Prevention Resource Center ..................................................................... 45

o. Practice Improvement/Training ............................................................................ 46

p. Consumer & Consumer Support TA Centers ....................................................... 46

q. Minority Fellowship Program (MFP) ................................................................... 47

r. Disaster Response ................................................................................................. 47

s. PRNS Mechanism Table by APT ......................................................................... 51

3. Mental Health – State Prevention Grant ............................................................................... 61 

4. Children's Mental Health Services ........................................................................................ 67

5. Projects for Assistance in Transition from Homelessness .......................................................... 71 

6. Protection and Advocacy for Individuals with Mental Illness ................................................... 77 

7. Community Mental Health Services Block Grant ...................................................................... 83 
30

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31

SAMHSA 

Mental Health

Summary of Changes 

(Dollars in Thousands)

FY 2011

Actual

FY 2012

Enacted

FY 2013

President's

Budget

FY 2013

+/- FY 

2012

Mental Health Programs of Regional and National Significance $358,571 $286,116 $247,550 -$38,566

 ACA Prevention Fund (non-add) 45,000 45,000 28,000 -17,000

Mental Health-State Prevention Grant 24,706 34,640 55,000 +20,360

 Project LAUNCH (non-add) 24,706 34,640 24,750 -9,890

Children's Mental Health Services 117,803 117,315 88,557 -28,758

PATH Homeless Formula Grant 64,917 64,794 64,794 ---

PAIMI 36,307 36,238 36,238 ---

Mental Health Block Grant 419,933 459,756 459,756 ---

 PHS Evaluation Funds (non-add) 20,997 21,039 21,039 ---

Total, Mental Health $1,022,237 $998,859 $951,895 -$46,964

FTEs 1 15 29 35 +6

1 In 2012, SAMHSA will continue to in source positions for activities that are central to SAMHSA’s mission, represent critical 

skills for the agency, and result in overall savings consistent with Office of Federal Procurement Policy guidelines. A total of 98 

positions will be added and fully staffed by the end of FY 2012. These positions are allocated across SAMHSA’s four 

appropriations to reflect the provision of direct program support or to reflect the proration of overhead and indirect costs. An 

additional 13 positions have been added to provide support to the ten HHS regions. These positions are allocated across three 

appropriations to reflect the provision of technical assistance to the states as well as linking SAMHSA with its sister operating 

divisions in the regions. The additional positions are fiscally neutral.

The FY 2013 President’s Budget Request for the SAMHSA Mental Health appropriation is $951.9 

million, a decrease of $47.0 million from the FY 2012 Enacted Level. This FY 2013 Total Program 

Level budget request of $951.9 million includes $902.9 million in Budget Authority (a decrease of $30.0 

million from FY 2012), $21.0 million in PHS Evaluation funds (the same as FY 2012), and $28.0 million 

in ACA Prevention Fund (a decrease of $17.0 million from FY 2012). The request includes $247.6 

million for Programs of Regional and National Significance, a decrease of $38.6 million from the FY 

2012 Enacted Level. The Mental Health appropriation request includes $55.0 million for the Mental 

Health – State Prevention Grant, an increase of $20.4 million from a comparable level in FY 2012. It 

also includes $88.6 million for Children’s Mental Health Services, a decrease of $28.8 million from FY 

2012. Also requested is $64.8 million for PATH Homelessness Formula Grant, the same as FY 2012. 

The request includes $36.2 million for the Protection and Advocacy for Individuals with Mental Illness 

(PAIMI), the same as FY 2012. Finally, the request includes $459.8 million for the Mental Health 

Block Grant, the same as FY 2012. This includes $438.7 million in Budget Authority and $21.0 million 

in PHS Funds. 

The FY 2013 Budget Request for Mental Health includes the following increases: Grants for Adult 

Trauma Screening and Brief Intervention: (+$2.9 million) 
32

A new program for Grants for Adult Trauma Screening and Brief Intervention (GATSBI) is 

requested for FY 2013 to advance the knowledge base to address trauma in common health care 

settings, such as emergency departments, primary care, and OB/GYN. The concept and design 

for these grants will be developed by SAMHSA in consultation with its Federal partners: CDC; 

NIAAA; NIDA; NIMH; and the VA. 

Mental Health Minority AIDS: (+$13.5 million)

In the Mental Health appropriation, PRNS Minority AIDS is increased by $13.5 million from FY 

2012 enacted to expand behavioral health services to individuals who are at risk for or have 

mental and/or co-occurring substance use disorders and are at risk for or living with HIV/AIDS. 

While SAMHSA is requesting the same total amount for Minority AIDS programs in FY 2013 as 

in FY 2012, the Budget Request realigns resources within SAMHSA to balance the overall 

minority AIDS portfolio in order to enhance the capacity to collaborate on HIV/AIDS prevention 

and treatment efforts across HHS. CMHS, in collaboration with CSAP and CSAT, will support 

an integrated program to develop and expand culturally competent and effective behavioral 

health and primary care network in order to reduce the impact of behavioral health problems, 

HIV risk, and HIV-related health disparities. 

Disaster Response: (+$1.9 million)

This increase is for a nationally available disaster distress crisis counseling telephone line, the 

need for this initiative has been documented through the Assistant Secretary for Preparedness 

and Response after various emergency conditions throughout the world and after U.S. disasters 

that did not rise to the level of presidentially declared emergencies and therefore did not qualify 

for Stafford Act funding. 

Mental Health – State Prevention Grant: (+$20.4 million)

The FY 2013 request for the Mental Health – State Prevention Grant is $55.0 million. This is a 

$20.4 million increase over a comparable level in the FY 2012 Enacted Level. Funding includes 

recycled funding from discretionary mental health programs to provide consistent and 

sustainable support for States and Territories to implement State-wide comprehensive prevention 

strategies to address the prevention of mental illnesses and reduce the impact of mental illness on 

America’s communities. Continuation grants under Project LAUNCH will be fully funded. 

The FY 2013 Budget Request for Mental Health includes the following decreases: 

Primary and Behavioral Health Care Integration: (-$39.7 million)

The FY 2013 request for Primary and Behavioral Health Care Integration (PBHCI) is $28.0 

million, funded totally from the Prevention and Public Health Fund of the ACA. This is a 

decrease of $39.7 million from the FY 2012 Enacted Level that included funding for PBHCI 

Technical Assistance. The FY 2012 funding from the ACA Prevention Fund allowed SAMHSA 

to strategically fully fund multi-year grants and monitor them in FY 2013. 

Suicide Programs: (-$10.4 million) 

The FY 2013 request for Suicide Programs in the Mental Health appropriation is $47.6 million. 

This is a decrease of $10.4 million from the FY 2012 Enacted Level and is attributed mostly to 
33

the end of $10.0 million in funding from the Prevention and Public Health Fund of the ACA. 

These reductions include -$1.7 million for Suicide Lifeline, -$6.1 million for Garrett Lee Smith –

Youth Suicide Prevention – States, -$1.6 million for Garrett Lee Smith – Youth Suicide 

Prevention – Campus, and -$1.0 million for the Garrett Lee Smith – Suicide Prevention Resource 

Center. 

Children’s Mental Health Services: (-$28.8 million)

The FY 2013 request for Children’s Mental Health Services is $88.6 million. This is a decrease 

of $28.8 million from the FY 2012 Enacted Level reflecting savings from grants coming to a 

natural end. As the Systems of Care have become a proven strategy, SAMHSA intends to bring 

the Systems of Care to scale through the Mental Health Block Grant. No grants will be 

terminated and the reduction will not affect current grants. 
34

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35

SAMHSA/Programs of Regional and National Significance 

Mental Health services

(Dollars in Thousands)

Programs of Regional & National Significance

FY 2011 

Actual

FY 2012 

Enacted

FY 2013 

President’s 

Budget

FY 2013 

+/- FY 

2012

CAPACITY

Co-Occurring State Incentive Grant $2,168 --- --- ---

Seclusion & Restraint 2,449 2,444 1,149 -1,295

Youth Violence Prevention 77,675 23,156 23,156 ---

National Traumatic Stress Network 40,715 45,713 45,713 ---

Children and Family Programs 9,194 6,474 6,474 ---

Consumer and Family Network Grants 6,236 6,224 4,966 -1,258

MH System Transformation and Health Reform 26,515 10,603 10,603 ---

Primary and Behavioral Health Care Integration 62,790 65,749 26,004 -39,745

ACA Prevention Funds (non-add) 35,000 35,000 26,004 -8,996

Community Resilience and Recovery Initiative 5,000 --- --- ---

Suicide Lifeline 7,227 7,217 5,512 -1,705

ACA Prevention Funds (non-add) 1,705 1,705 --- -1,705

GLS - Youth Suicide Prevention - States 35,239 35,442 29,374 -6,068

ACA Prevention Funds (non-add) 5,760 5,760 --- -5,760

GLS - Youth Suicide Prevention - Campus 6,399 6,496 4,858 -1,638

ACA Prevention Funds (non-add) 1,530 1,530 --- -1,530

AI/AN Suicide Prevention Initiative 2,944 2,938 2,938 ---

Homelessness Prevention Programs 30,830 30,772 30,772 ---

Older Adult Programs 2,815 --- --- ---

Minority AIDS 9,283 o 9,265 22,770 +13,505

Grants for Adult Trauma Screening & Brief Intervention --- --- 2,896 +2,896

Criminal and Juvenile Justice Programs 6,683 6,672 4,281 -2,391

Subtotal, Capacity 334,162 259,165 221,466 -37,699

SCIENCE AND SERVICE

GLS - Suicide Prevention Resource Center 5,962 5,953 4,948 -1,005

ACA Prevention Funds (non-add) 1,005 1,005 --- -1,005

Practice Improvement and Training 8,057 7,863 7,437 -426

Consumer and Consumer Support Technical Assistance Centers 1,927 1,923 1,923 ---

Primary and Behavioral Health Care Integration TA --- 1,996 1,996

ACA Prevention Funds (non-add) --- --- 1,996 ---

Minority Fellowship Program 4,279 5,089 3,755 +1,996

Disaster Response 904 1,052 2,950 -1,334

Homelessness 2,306 2,302 2,302 +1,898

HIV/AIDS Education 974 773 773 ---

Subtotal, Capacity 24,409 26,951 26,084 -867

TOTAL, MH PRNS/ 1 $358,571 $286,116 $247,550 -$38,566

1/The FY 2011 & FY 2012 totals includes $35.0 million for the PBHCI program, and $10.0 million for the Garrett

Lee Smith (GLS) Suicide Prevention & the Suicide Lifeline programs funded by the ACA Prevention Fund. The

FY 2013 total includes $28.0 million for the PBHCI program funded by the ACA Prevention Fund.
36

Authorizing Legislation......................Sections 501, 506, 520A, 520C, 520E, 520E (2), 520G, 

 520K, 516, 581, and 582 of the Public Health Service Act 

FY 2013 Authorization ......................................................................................................... Expired 

Allocation Method .................................... Competitive Grants/Contracts/Cooperative Agreements 

Program Description and Accomplishments 

Seclusion & Restraint 

This program area supports States/Tribes and communities in their efforts to implement best 

practices to reduce and ultimately eliminate the use of restraints and seclusion in institutional and 

community-based settings that provide services for individuals with mental health and cooccurring substance abuse disorders. While this initiative includes a focus on the mental health 

system, it also includes other service sectors, such as criminal justice, schools, and child welfare, 

that similarly use coercive practices with people with mental health and co-occurring substance 

use disorders. In all of these settings, coercive practices impede recovery and well-being. 

Each year approximately 150 people die as a result of seclusion and restraint practices; countless 

others are injured and many are secondarily traumatized by coercive practices. Children with 

emotional and behavioral problems are more frequently subjected to restraints in schools than 

students with other disabilities, often leading to serious physical injuries and emotional trauma 

for the students and the staff. 

SAMHSA’s vision for this initiative is to promulgate its evidence-supported strategies for 

reducing the use of seclusion and restraint and implementing trauma-informed care, an approach 

that mitigates the use and harmful effects of coercive practices. 

In 2010, SAMHSA awarded a contract to establish the National Technical Assistance Center: 

Promoting Alternatives to Seclusion and Restraint Through Trauma-Informed Practices. The 

purpose of this Center is to disseminate, train, and implement trauma informed care with the goal 

of reducing and, ultimately, preventing the use of seclusion and restraint and other traumatizing 

practices in service systems and treatment agencies that serve children, youth and adults with 

mental and co-occurring substance use disorders. SAMHSA will continue these activities in FY 

2012. SAMHSA will be developing a standard definition and culturally competent measures of 

individual and community trauma and develop criteria and measures for trauma-informed care 

that can be used with a range of health and human service programs. 

Youth Violence Prevention

The Safe Schools/Healthy Students Initiative is a discretionary grant program that seeks to create 

healthy learning environments which help students thrive, succeed in school, and build healthy 

relationships by providing students, schools, and communities with Federal funding to 

implement an enhanced, coordinated, comprehensive plan of activities, programs, and services 

that promote healthy childhood development and prevent violence and alcohol and other drug 
37

abuse. This grant program supports 89 school districts across the country, spanning rural, tribal, 

suburban and urban areas as well as diverse racial, ethnic and economic sectors. Grantees are 

required to develop local strategic plans that addresses five required elements across the three 

sectors: 1) safe school environments and violence prevention activities; 2) alcohol, tobacco, and 

other drug prevention activities; 3) student behavioral, social, and emotional supports; 4) mental 

health services; and, 5) early childhood social and emotional learning programs. Grantees have 

developed organizational, informational, and programmatic systems that bring together many 

diverse sectors of the community, creating the capacity for comprehensive system reform so that 

all agencies concerned with the welfare of children and families could collaborate on an ongoing 

basis. One exciting example of the impact of this program are the results of activities in Element 

3 that show the initiative has been successful in reducing alcohol consumption among students at 

participating SS/HS school districts. Between Year 1 and Year 3 of the grant, the percentage of 

students who reported drinking declined from 25.4 percent to 22.4 percent. More than 80 

percent of school staff reported the SS/HS grant helped reduce alcohol and other drug use among 

students. Reduction in reported alcohol use might yield significant cost savings for Safe 

School/Healthy Students communities. Based on the average estimated 30-day societal cost per 

juvenile drinker of $457, the reduced alcohol use across cohorts results in cost savings of 

$1,471,121 over a 30-day period. In FY 2011, SAMHSA/ED provided support for all 

continuation grants. 

In FY 2012, SAMHSA will support current Safe Schools/Healthy Students grants in 

collaboration with ED. SAMHSA will utilize the funding in FY 2012 to realign technical 

assistance activities to meet the needs of grantees and the field, and evaluate the performance of 

the existing program. With these savings, SAMHSA plans to transfer $2.0 million to ED to help 

finance technical assistance to improve the school climate for learning, including but not limited 

to technical assistance on bullying prevention. 

5BNational Child Traumatic Stress Network

In FY 2001, Congress authorized the National Child Traumatic Stress Initiative (NCTSI) to 

improve treatment, services and interventions for children and adolescents exposed to traumatic 

events. The NCTSI funds a national network of grantees that collaborates broadly to develop 

and promote effective community practices for children and adolescents exposed to a wide array 

of traumatic events. Domestic public and private nonprofit entities are eligible to apply for 

grants. Centers are located in or associated with a diverse group of organizations, such as State 

government agencies, community mental health centers, children’s advocacy centers, 

universities, children’s hospitals, schools, and refugee programs. 

NCTSI experts provide training and technical support on intervention approaches to reduce the 

mental, emotional and behavioral effects of traumatic events on children/adolescents and their 

families. Through SAMHSA’s grant making, the NCTSI has built the National Child Traumatic 

Stress Network(NCTSN), which is comprised of nationally recognized experts in child and 

adolescent trauma who have developed evidence-based interventions to treat children who have 

experienced a range of traumas from neglect, physical abuse, sexual abuse, medical trauma, 

school violence, war, refugee and disasters, etc.; community service providers across multiple 

child-serving systems; and a National Coordinating Center to promote further product 
38

development, learning collaborative and system changes efforts in systems across the country. 

Since its inception, NCTSN has expanded its reach across the country, with current grantees in 

twenty-nine States. It has provided training and/or education on child trauma to over 1 million 

individuals; more than 73,000 people were trained in 2011 in nearly 3,000 annual 

training/education events. In FY 2011, 34 percent of children receiving trauma informed 

services had improved outcomes (percentage showing clinically significant improvement). The

unduplicated count of the number of children and adolescents receiving trauma-informed 

services was 3,052 in FY 2011. 

In FY 2011, SAMHSA issued a one year combined RFA with a limited competition for the FY 

2007 cohort of Category 2 and 3 grantees. The purpose was to continue the current program and 

to enhance trauma treatment and services, and expand grantees activities to the child welfare 

system and juvenile justice/dependency court systems and/or publicly funded child mental health 

system providing services to targeted populations. 

For FY 2012, SAMHSA will continue to support the NCTSI model and mission of the NCTSN 

with an increased focus on effective implementation strategies for maximizing the uptake of 

trauma interventions, enhanced learning networks, and prioritization of child trauma in the child 

welfare and juvenile justice systems. The NCTSI will build on the strong work of the Network 

and will improve and enhance the capacity of the NCTSI to deliver core practices developed by 

the NCTSN to children and youth in need. 

Children and Family Programs

The Children and Family’s Healthy Transitions Program uses a system of care approach to 

promote a seamless transition to independence and the successful adaptation of adult roles and 

responsibilities for youth and young adults with serious mental health conditions and their 

families. Young people with serious mental health conditions (often with co-occurring substance 

abuse) face a difficult transition to adulthood compared to their peers. Moreover, youth who age 

out of child-serving systems may have difficulty obtaining developmentally appropriate, 

culturally-competent and appealing services and support services as they move into adulthood. 

These at-risk youth are better able to navigate the transition to adulthood by creating supportive 

State-level policies and making available evidence-based, age-appropriate services and supports. 

The Circles of Care program provides Tribal and urban Indian communities with tools and 

resources to build systems of care to promote mental health for children, youth and their families 

in American Indian and Alaska Native (AI/AN) communities by developing the infrastructure 

necessary to plan and implement these systems. For the first time, in FY 2011, Circles of Care V 

Grantees can also use grant funds for the provision of direct services. As a result of the Circles 

of Care program, 13 of 23 Phase I-IV grantees secured larger federal grants (e.g., Children’s 

Mental Health Initiative (CMHI) funds), either directly or indirectly to implement the grantee’s 

model. 

In FY 2012, SAMHSA anticipates providing continuation support for the Circles of Care and 

Healthy Transitions services grants. 
39

Consumer & Family Network Grant

The Consumer and Family Network grant promotes consumer, family, and youth participation in 

the development of policies, programs, and quality assurance activities related to the mental 

health systems reform in States across America. 

The Statewide Consumer Network program focuses on the needs of adult mental health 

consumers aged 18 and older by strengthening the capabilities of State-wide consumer-run 

organizations to be catalysts for transforming the mental health and related systems in their State, 

thereby ensuring a focus on consumer recovery and resilience. It establishes sustainable 

mechanisms for integrating the consumer voice in State mental health and allied systems to 1) 

expand service system capacity, 2) support policy and program development, and 3) enhance 

peer support. The program promotes skill development with an emphasis on leadership and 

business management, as well as coalition/ partnership building and economic empowerment as 

part of the recovery process for consumers. In FY 2011, SAMHSA awarded 31 grants to support 

the Statewide Consumer Network program. 

The Statewide Family Network provides education and training to increase family organization 

capacity for policy and service development by: 1) strengthening organizational relationships; 2) 

fostering leadership and business management skills among families of children and adolescents 

with serious emotional disturbance; and 3) identifying and addressing the technical assistance 

needs of children and adolescents with serious emotional disturbances and their families. The 

Statewide Family Network focuses on families: parents, primary caregivers of children, youth 

and young adults. In this case, young adults refer to individuals up to age 18, up to age 21 if they 

have an Individualized Education Plan, or up to age 26 if transitioning to the adult system. In FY 

2011, SAMHSA provided 42 continuation grants to support the Statewide Family Network 

program. 

In FY 2012, SAMHSA will continue to support 19 Statewide Consumer Network and 37 

Statewide Family Network continuation grants as well as Technical Assistance continuation 

contract. In addition, SAMHSA plans to award new Statewide Consumer Network and new 

Statewide Family Network grants. 

Mental Health System Transformation and Health Reform

SAMHSA supports the President’s efforts to reform health care by engaging in activities that 

support the transformation of the mental health system. These include the Mental Health 

Transformation Grants. 

In FY 2010, SAMHSA awarded 20 Mental Health Transformation Grants (MHTGs - formerly 

Mental Health State Incentive Grants) to promote the adoption and implementation of permanent 

transformative changes in how communities manage and deliver mental health services. Grantees 

are currently implementing evidence-based or best practices that will create or expand capacity 

to address prevention of mental illness; trauma-informed care; screening, treatment, and support 

services for military personnel; and housing and employment support. Necessary changes to 

policies and organizational structures to support improved mental health services will also be 
40

supported along with workforce training, implementation of evidence-based practices, and 

improving access to quality mental health services. 

In FY 2011, SAMHSA awarded 11 grants for Grants to Develop and Expand Behavioral Health 

Treatment Court Collaboratives. SAMHSA's vision of a Behavioral Health Treatment Court 

Collaborative in the justice system is one that supports treatment and recovery support for people 

with behavioral health conditions and that improves public health and public safety by 

transforming the behavioral health system at the community level. The purpose of the 

Behavioral Health Treatment Court Collaborative grant program is to allow State and local 

criminal and dependency courts serving adults more flexibility to collaborate with the other 

judicial components and the local community treatment and recovery providers to better address 

the behavioral health needs of adults who are involved with the criminal court system. 

In FY 2012, SAMHSA will provide continuation support for all the MHT grants at a reduced 

amount and related contracts will not be continued. SAMHSA will continue to provide technical 

assistance and support States and communities in implementing flexible solutions to address 

substance abuse, mental illnesses, and co-occurring disorders in the criminal justice system 

through collaboration between the Center for Substance Abuse Treatment and the Center for 

Mental Health Services. This approach helps local courts find the model that best meets their 

needs and capacities. It also encourages partnership with the behavioral health system to allocate 

treatment and recovery support services effectively and efficiently. 

Primary & Behavioral Health Care Integration (PBHCI)

Physical health problems among people with mental illnesses impact quality of life and 

contribute to premature deaths, where these individuals die much earlier than the general 

population. While several factors contribute to this disparity, empirical findings indicate that 

early mortality among people with serious mental illnesses (SMI) is clearly linked to the lack of 

access to primary care services. 

The PBHCI program supports the coordination and integration of primary care services into 

publicly-funded community behavioral health settings. The expected outcome of improved 

health status for people with serious mental illness will be achieved by encouraging grantees to 

engage in necessary partnerships, expand infrastructure, and increase the availability of primary 

health care and wellness services to individuals with mental illness. Partnerships between 

primary care and behavioral health organizations as well as information technology are deemed 

crucial to the success of this program. The population of focus for this grant program is 

individuals with serious mental illness and/or persons with co-occurring disorders served in the 

public mental health system. 

In FY 2010, SAMHSA awarded 43 additional grants, mostly funded with the Affordable Care 

Act’s Prevention Fund and awarded another 8 grants in FY 2011 (also with funds from the ACA 

Prevention Fund). In FY 2011, SAMHSA utilized $35.0 million in Affordable Care Act 

Prevention Fund for PBHCI to promote more integrated services between primary care services 

and mental health services. These funds were used to facilitate screening and referral for 
41

necessary primary care prevention and treatment needs. In total, SAMHSA has awarded 64 

PBHCI grants to date. 

In FY 2012, SAMHSA plans to continue support to 56 existing grants, and may fully fund a 

number of new grants from both Budget Authority and the ACA Prevention Fund under Section 

520K. SAMHSA will continue to support the PBHCI-TTA center at a reduced level. 

National Suicide Prevention Lifeline

The National Suicide Prevention Lifeline, 1-800-273-TALK, coordinates a network of 152 crisis 

centers across the U.S. providing suicide prevention and crisis intervention services to 

individuals seeking help at any time, day or night. The importance of suicide prevention 

measures during difficult economic times cannot be overstated. Researchers have shown a 

relationship between sustained high rates of unemployment and increased risk for and incidence 

of suicide. 

The National Suicide Prevention Lifeline routes calls from anywhere in the U.S. to a network of 

certified local crisis centers that can link callers to local emergency, mental health, and social 

services resources, averaging nearly 64,000 calls per month answered. Since July 2007, 

SAMHSA has partnered with the Department of Veterans Affairs to provide and ensure 24/7 

access to a veterans suicide prevention hotline. This hotline has answered an average of more 

than 6,000 calls from veterans per month and nearly 800 calls per month from veterans’ families. 

The National Suicide Prevention Lifeline is also responding to calls from active duty military 

and their families. In addition, the Lifeline has been increasingly responding to letters and emails 

sent to the White House from people in crisis for a variety of reasons, including the impact of the 

economic downturn. SAMHSA is in the process of developing a suicide hotline outcome 

measure to determine the number of people who contacted the Lifeline who believe the call 

prevented them from taking their lives. This new data collection will help inform SAMHSA and 

HHS on the vital impact the Lifeline is having across the Nation. 

In fiscal year 2011, the Lifeline answered 765,638 calls, an average of 2,097 calls per day from 

people at risk for suicide, more than 68,000 in the last month of fiscal year 2011 alone. Between 

30-40 percent of the calls are linked to economic distress or concerns about unemployment. 

National Suicide Prevention Lifeline crisis centers across the nation are responding to people in 

suicidal crises. At the same time, these centers are threatened with significant cutbacks in 

funding from State and local governments and other sources of support. 

In September 2008, SAMHSA awarded six grants to National Suicide Prevention Lifeline crisis 

centers to provide follow up to suicidal callers. Evaluation and research findings indicate that 

the immediate aftermath of suicidal crises is a time of heightened risk for suicide but has great 

potential for suicide prevention. Preliminary data from this program indicate that when asked by 

an independent evaluator “To what extent did the counselor’s calling you stop you from killing 

yourself,” more than 50 percent of those receiving follow up phone contact responded “a lot.” 

Urgent supplemental funding was provided to the crisis centers in 2009 as well. In FY 2010, 

SAMHSA added six more crisis center grants to continue to help address the need for critical 
42

follow up services and supports for people contacting the Lifeline. FY 2011 continued the 

existing crisis center grants as well as awarded 6 more crisis center grants. 

In FY 2011, SAMHSA also received $10.0 million in ACA Prevention Fund, which supported 

the GLS grants, the National Suicide Prevention Lifeline, and the SPRC. The National Suicide 

Prevention Lifeline received $1.7 million in supplemental funds to provide additional capacity 

for the Lifeline to handle increased volume. 

In FY 2012, SAMHSA will continue the existing 12 crisis center grants and plans to award a 

new Suicide Lifeline grant. Funds from the ACA Prevention Fund will also be awarded for onetime activities. 

GLS Youth Suicide Prevention

The Garrett Lee Smith (GLS) Memorial Act authorizes SAMHSA to manage two significant 

youth suicide prevention programs and a resource center. The GLS State/Tribal Youth Suicide 

Prevention and Early Intervention Grant Program currently supports 27 States, 26 Tribes or 

Tribal organizations, the District of Columbia, and one Territory in developing and 

implementing youth suicide prevention and early intervention strategies involving public-private 

collaborations among youth serving institutions. The GLS Campus Suicide Prevention program 

currently provides funding to 45 institutions of higher education to prevent suicide and suicide 

attempts. The Suicide Prevention Resource Center (SPRC) develops effective strategies and best 

practices to ensure the field has access to the most crucial information. 

In FY 2011, SAMHSA received $10 million in ACA Prevention Fund, which supported the GLS 

grants, the National Suicide Prevention Lifeline, and the SPRC. The GLS State and Campus 

programs funded four State/Tribal GLS grants ($5.8 million) and five Campus GLS grants ($1.5 

million). SAMHSA also funded one supplement to the SPRC of $1.0 million to support the 

work of the National Action Alliance for Suicide Prevention, a public/private partnership 

established to update and implement the Surgeon General’s National Strategy on Suicide 

Prevention. 

When reviewing the performance for this program, you will notice that the number of individuals 

trained in youth suicide prevention (Measure 2.3.59) is an important indicator of program 

penetration as well as increased suicidal awareness. All targets for which data were available 

were exceeded for this program in FY 2011. The FY 2014 target for Measure 2.3.60, total 

number of youth screened, reflects proposed flat program funding in FY 2013. There are plans to 

expand data collection for this program to capture client outcomes in the future. 

In FY 2012, SAMHSA anticipates providing support for 34 GLS State/Tribal continuation grants 

and 17 new grants. In addition, SAMHSA provided support for 16 GLS Campus continuation 

grants and 23 new grants. SAMHSA anticipates receiving $10.0 million from the ACA 

Prevention Fund and will support one-time Suicide Prevention activities consistent with the 

approach in FY 2011 with a priority on support for the GLS Campus program. 
43

AI/AN Suicide Prevention

 SAMHSA supports an innovative training and technical assistance project that helps tribal 

communities mobilize existing social and educational resources by facilitating the development 

and implementation of comprehensive and collaborative community based prevention plans to 

reduce violence, bullying, and suicide among American Indian/Alaska Native youth. To date, 

nearly 200,000 Tribal members in 20 communities and 2,100 Alaska Natives in five villages 

have been provided specialized technical assistance and support in suicide prevention and related 

topic areas for these communities. In addition, over 750 community members were trained in 

prevention and mental health promotion in these communities. 

In FY 2012, SAMHSA will continue to support the existing AI/AN Suicide Prevention efforts 

and continue evaluation efforts. 

Homelessness Prevention and Housing Program

A goal of SAMHSA’s Strategic Initiative on Recovery Support is to ensure that permanent 

housing and supportive services are available for individuals with or in recovery from mental and 

substance use disorders. Two programs are helping to support the goal of this Strategic 

Initiative. Grants for the Benefit of Homeless Individuals (GBHI), which are supported by CSAT 

and Services in Supportive Housing, which are jointly supported by CMHS and CSAT. 

The Grants for the Benefit of Homeless Individuals (GBHI) program enables communities to 

expand and strengthen their treatment services for homeless individuals with substance use 

disorders, or with co-occurring substance use and mental disorders. SAMHSA supports GBHI 

programs that demonstrate treatment effectiveness in serving homeless, runaways, street youth, 

and homeless veterans and moving them to transition into permanent supportive housing. Funds 

are also used to expand and strengthen substance abuse treatment services for homeless, alcoholdependent persons who have histories of public inebriation, frequent emergency room visits, and 

arrests. Services include outreach, screening and assessment, referral, direct treatment, and wraparound services, all directed to permanent and stable housing. The Services in Supportive 

Housing (SSH) program was implemented to help end chronic homelessness by funding 

treatment and support services to individuals and families in coordination with permanent 

supportive housing programs and resources. The SSH program provides comprehensive services 

that focus on outreach, engagement, intensive case management, mental health services, 

substance abuse treatment, benefits support, and linkage to permanent housing. The population 

of focus is individuals with severe mental illness and/or a co-occurring mental and substance use 

disorder and their families who have been continuously homeless for at least one year or have 

had at least four episodes of homelessness in the past three years. 

As of January 2012, the SSH grantees, in CMHS, have provided cumulatively 9,951 persons 

with comprehensive and coordinated mental health and related services. Nearly two-thirds (63.1 

percent) of the people served have demonstrated improvement in behavioral functioning. Five 

new SSH grants were awarded in FY 2010 bringing the grant portfolio to 62 grants. With the 

expansion of the SSH program, SAMHSA expects to triple the number of individuals provided 

supportive services in conjunction with permanent housing. 
44

In FY 2011 SAMHSA awarded 23 grants for Cooperative Agreements to Benefit Homeless 

Individuals (CABHI). The major goal of this joint Center for Mental Health Services and Center 

for Substance Abuse Treatment CABHI program is to ensure that the most vulnerable 

individuals who are chronically homeless receive access to sustainable permanent housing, 

treatment, and recovery supports through mainstream funding sources. This grant program 

builds on the success of the previous SAMHSA Services in Supportive Housing (SSH) program 

and SAMHSA Grants to Benefit Homeless Individuals (GBHI) program. In FY 2012, SAMHSA 

is considering awarding 7 new CABHI grants, as well as maintain the 23 CABHI grant 

continuations. 

Minority AIDS

The purpose of the Minority AIDS program is to enhance and expand the provision of effective, 

culturally competent HIV/AIDS-related mental health services in minority communities for 

persons living with HIV/AIDS and having a mental health need. The Centers for Disease 

Control and Prevention (CDC) reports significantly higher rates of HIV/AIDS among people of 

color. Blacks accounted for 44 percent and Hispanics accounted for 20 percent of all HIV/AIDS 

cases diagnosed in 2009, the most recent data available (CDC, 2011). 2009 data also shows a 

significant increase of 48% in HIV incidence among black/African American Men who have Sex 

with Men (MSM) aged 13-29, even as overall rates remained stable. Reasons for this increase 

are not fully known, although the high HIV prevalence rate in black MSM and factors such as 

stigma of HIV and homosexuality, limited healthcare access, and poverty may create an enabling 

environment for HIV (CDC 2011). Psychiatric and psychosocial complications frequently are 

not diagnosed or addressed either at the time of diagnosis or through the course of the HIV/AIDS 

disease process. When untreated, these complications are associated with increased morbidity 

and mortality, impaired quality of life, and numerous medical and/or behavioral challenges, such 

as non-adherence with the treatment regimen. 

In FY 2011, SAMHSA awarded grants for the Minority AIDS Initiative Targeted Capacity 

Expansion Integrated Behavioral Health/Primary Care Network Cooperative Agreements, jointly 

funded with CSAP and CSAT. This grant program facilitates the development and expansion of 

culturally competent and effective integrated behavioral health and primary care networks, which 

include HIV services and medical treatment, within racial and ethnic minority communities in 

the 11 Metropolitan Statistical Areas and Metropolitan Divisions most impacted by HIV/AIDS. 

Expected outcomes include: reducing the impact of behavioral health problems, HIV risk and 

incidence, and HIV-related health disparities in these areas. SAMHSA will continue to support 

these grants in 2012. 

Criminal & Juvenile Justice Programs

Data from the 2010 National Survey on Drug Use and Health show that there were 11.1 million 

adults aged 18 and older who reported an unmet need for mental health care in the past year. 

This included 5.2 million adults who did not receive any mental health services in the past year. 

The data also show that of the 2.9 million Americans with co-occurring serious mental illness 

(SMI) and substance abuse disorder, over one third (36 percent) of these adults received no 
45

treatment at all. Studies of persons involved in the justice system have found even higher rates 

of co-occurring psychiatric and substance use disorders than the general population.1 The 

number of persons involved in the justice system with mental or substance use disorders whose 

treatment needs are not being met by community treatment and supportive services is significant. 

As a result, they are placed at greater risk for parole or probation failure leading to reincarceration. There is an ongoing need for broader implementation of effective treatment and 

reentry services for this high-risk, mostly nonviolent population. 

Since 2002, SAMHSA has administered the Jail Diversion Program for Adults involved in the 

criminal justice system and has awarded grants to 40 States and communities. Over the past 30 

years, the criminal justice system has become a repository for a large number of individuals with 

SMI who are arrested for a wide range of crimes2

. The purpose of this initiative is to divert 

individuals with mental illness from the criminal justice system to more appropriate, communitybased treatment and recovery support services including primary health care, housing, and job 

counseling/placement. The Jail Diversion Program’s focus includes individuals with traumarelated mental disorders and co-occurring substance use disorders involved in the criminal justice 

system, with a priority for veterans. The program supports to States to pilot local diversion 

programs and replicate them State-wide. To date, grantees have conducted over 82,000 

screenings and diverted over 3,500 persons with mental illness from jail to community treatment 

services. Of the 34 programs that were initially funded for the TCE Jail Diversion Program, 25 

(75 percent) continued after SAMHSA funding ended. 

In FY 2012, SAMHSA will continue to support 13 continuation grants and all evaluation and TA 

contracts. 

Suicide Prevention Resource Center

In addition to programs that build suicide prevention capacity, SAMHSA also supports the 

Suicide Prevention Resource Center. This initiative promotes the implementation of the 

National Strategy for Suicide Prevention and enhances the Nation’s mental health infrastructure 

by providing States, government agencies, private organizations, colleges and universities, and 

suicide survivor and mental health consumer groups with access to the science and experience 

that can support their efforts to develop programs, implement interventions, and promote policies 

to prevent suicide. The Suicide Prevention Resource Center works with and supports prevention 

networks to reduce suicides, community by community. Prevention networks are coalitions of 

organizations and individuals working together to promote suicide prevention including Statewide or tribal coalitions, community task forces, regional alliances, and professional groups. 

Through the Suicide Prevention Resource Center, SAMHSA continues to provide support for the 

National Action Alliance for Suicide Prevention, a public-private partnership to implement the 

National Strategy for Suicide Prevention and reduce suicide in America. The National Action 

Alliance was launched on September 10, 2010 by HHS Secretary Kathleen Sebelius and the 

former Secretary of Defense, Robert Gates. 

1

Serious Mental Illness and Arrest, Swartz and Lurigio, 2007 

2

Serious Mental Illness and Arrest, Swartz and Lurigio, 2007
46

In FY 2011, SAMHSA received $10.0 million in ACA Prevention Fund, which supported the 

GLS grants, the National Suicide Prevention Lifeline, and the SPRC. SAMHSA funded one

supplement to the SPRC of $1.0 million to expand and enhance the level of support provided to 

the National Action Alliance for Suicide Prevention. This supplement expanded future 

organizational development, partnerships, and collaborations to support the implementation of 

the Surgeon General’s National Strategy for Suicide Prevention (NSSP).

In FY 2012 SAMHSA is considering continuing support to the SPRC and the goals and 

objectives of the Action Alliance by providing the infrastructure supports to update and advance 

the NSSP. This will further support national investment in prevention and public health. 

Practice Improvement/Training

SAMHSA addresses the need for disseminating key information such as evidence-based mental 

health practices, to the mental health delivery system and facilitates health care reform by 

engaging in activities that support the mental health system transformation and reform. These 

activities include Historically Black Colleges and Universities (HBCU) – Center of Excellence 

and Peer Review activities. 

The purpose of the HBCU - Center of Excellence is to network the 103 HBCUs throughout the 

U.S. and promote workforce development through expanding knowledge of best practices, 

leadership development and encouraging community partnerships that enhance the participation 

of African-Americans in the substance abuse treatment and mental health professions. The 

comprehensive focus of the HBCU – Center for Excellence will simultaneously expand service 

capacity on campuses and in other treatment venues. The goals of the HBCU-Center for 

Excellence are to: expand and enhance the existing national network of HBCUs to foster the 

development of programs, and to facilitate collaboration and the exchange of information related 

to substance abuse and mental health; provide culturally appropriate substance abuse and mental 

health disorder resources to HBCUs; and to promote workforce development in substance abuse 

and mental health by exposing HBCU students to a wide range of opportunities in the field, 

including, but not limited to internships, mentoring and leadership trainings. 

In FY 2012, SAMHSA will provide support to all continuation grants. 

Consumer & Consumer Support TA Centers

Consumer and Consumer Supported TA Centers foster a recovery-oriented, consumer-driven 

system of care to enhance consumer self-determination and recovery by helping people decrease 

their dependence on expensive social services and avoid inappropriate use of inpatient 

hospitalization through the use of alternative interventions. The program helps improve 

collaboration among consumers, families, advocates, providers and administrators which 

facilitates transforming community mental health services to be more consumer driven and 

family focused. In FY 2012, SAMHSA will provide support to all continuation grants. 
47

Minority Fellowship Program (MFP)

In a partnership among SAMHSA’s CMHS, CSAP and CSAT, this program increases the 

knowledge of issues related to ethnic minority mental health and substance use disorders, among 

behavioral health practitioners. Additionally, it aims to improve the quality of mental health and 

substance abuse prevention and treatment delivered to ethnic minorities by providing stipends to 

graduate students to increase the number of culturally competent behavioral health professionals 

who teach, administer, conduct services research, and provide direct mental health/substance 

abuse services to underserved minority populations. Since its start in 1973, the Minority 

Fellowship Program (MFP) has helped to enhance services to minority communities through 

specialized training of mental health professionals in psychiatry, nursing, social work and 

psychology and since 2006, marriage and family therapists. These individuals often serve in key 

leadership positions in mental health and substance abuse direct services, services supervision, 

services research, training, and administration. In FY 2011, 125 individuals were trained across 

the five disciplines represented. In FY 2012, SAMHSA received additional funding to increase 

the pool of culturally competent mental health professions eligible to receive funds through this 

program to include professional counselors. 

Disaster Response

SAMHSA’s Coordinated Technical Assistance Project on Emergencies and Disasters “Disaster 

Technical Assistance Center (DTAC)” supports individuals and communities faced with the 

behavioral health impact of natural and human made disasters. DTAC provides the field a wide 

range of technical assistance activities, resources and products to advance State and local 

government capacity to deliver effective behavioral health services that are well integrated with 

traditional public health and disaster recovery efforts. In addition, DTAC supports the Federal 

Emergency Management Agency (FEMA) Crisis Counseling Assistance and Training Program 

(CCP). The FEMA CCP is an inter-agency agreement between SAMHSA and FEMA that 

supplies supplemental financial assistance to provide crisis counseling services for disaster 

survivors to promote recovery and mitigate the need for traditional behavioral health services. 

These crisis counseling services assist individuals and communities in recovering from the 

challenging effects of natural and human caused disasters through the provision of communitybased outreach and psycho-educational services. In October 2009, the CCP Online Data 

Collection and Evaluation System was released and is a significant advancement for the CCP’s 

data collection. For FY 2011, CCP provided over 1.4 million primary and secondary services to 

consumers. These services included face-to-face encounters, community networking, telephone 

and email contacts, and material distributions. 

In FY 2011, SAMHSA expanded and enhanced the National Suicide Prevention Lifeline to 

include the Disaster Distress Helpline pilot. This expansion supports services that connect 

residents who are experiencing distress as a result of a disaster with local crisis center 

responders. 
48

Funding History 

FY Amount

2008 a/ $257,599,000

2009 a/ $330,263,000

2010 a/ $324,349,000

2011 a/ $358,677,000

2012 a/ $286,116,000

a/ The funding history is based on a comparable basis to previous funding levels to reflect the 

revised budget restructure and includes ACA Prevention Fund. 

Mental Health PRNS Budget Request 

The FY 2013 Budget Request is comprised of $247.6 million at the program level with $219.6 

million from Budget Authority (BA) and $28.0 million provided by ACA Prevention Fund. This 

includes a decrease of $21.6 million in BA and $17.0 million in ACA Prevention Fund below the 

comparable FY 2012 Enacted Level. This level of funding enables the continuation of most 

programmatic activities. The request will support 380 grant and 30 contract continuations, as 

well as 86 new grants and 6 new contracts. 

Consistent with the Trauma and Justice Strategic Initiative, $2.9 million is requested for a new 

program line, Grants for Adult Trauma Screening and Brief Intervention. Trauma is a 

widespread, harmful, and costly public health problem. It occurs as a result of violence, abuse, 

neglect, loss, disaster, war, and other emotionally harmful experiences. Trauma has no 

boundaries with regard to age, gender, socioeconomic status, race, ethnicity, geography, or 

sexual orientation. It is an almost universal experience of people receiving treatment for mental 

and substance use disorders. The need to address trauma is increasingly viewed as an important 

component of effective behavioral health service delivery. 

The effects of trauma place a heavy burden on individuals, families, and communities and create 

challenges for public institutions and service systems. Although many people who experience a 

traumatic event will go on with their lives without lasting negative effects, others will have more 

difficulty and experience traumatic stress reactions. Emerging research has documented the 

relationship among traumatic events, impaired neurodevelopment and immune system responses, 

and subsequent health risk behaviors resulting in chronic physical and behavioral disorders. In 

fact, the chronic stress that often accompanies repeated or unresolved trauma has even been 

linked to physically observable negative changes in brain development, including a reduction in 

the size of the hippocampus, the portion of the brain associated with long-term memory and 

spatial reasoning. With appropriate supports and intervention, people can overcome traumatic 

experiences. However, most people go without these services and supports. Unaddressed trauma 

significantly increases the risk of mental and substance use disorders, chronic physical diseases, 

and early death. 

Individuals with experiences of trauma are found in multiple service sectors, not just in 

behavioral health. Studies of people in the juvenile and criminal justice systems reveal high rates 
49

of mental and substance use disorders and personal histories of trauma. Children and families in 

the child welfare system similarly experience high rates of trauma and associated behavioral 

health problems. Preventing exposure to traumatic events and responding with early 

interventions and treatment for those experiencing traumatic stress may improve outcomes for 

these individuals and prevent prolonged involvement with the justice and child welfare systems. 

Previous research has shown that there is a strong need for a public health approach to 

addressing trauma and adverse childhood events. According to the Adverse Childhood 

Experiences Study (2008), more than one in four individuals have experienced multiple adverse 

childhood experiences (such as sexual and emotional abuse, divorce or having a parent with a 

substance use disorder), which makes them more likely to have higher rates of substance abuse, 

depression, and suicide than others. Thus, the GATSBI program will draw upon existing and 

effective screening frameworks in order to identify and intervene with adults that have 

experienced past trauma and/or adverse events. 

The Grants for Adult Trauma Screening and Brief Intervention (GATSBI) program will advance 

the knowledge base to address trauma in common health care settings, such as emergency 

departments, primary care, and OB/GYN. The concept and design for these grants will be 

developed by SAMSHA in consultation with its Federal partners: CDC, NIAAA, NIDA, NIMH, 

and VA. Grants will be up to $0.600 million per year for five years. 

The FY 2013 Budget Request also includes increases for the following (+$15.4 million): 

Minority AIDS: $22.8 million, +$13.5 million increase from FY 2012 enacted to expand 

behavioral health services to individuals who are at risk for or have mental and/or cooccurring substance use disorders and are at risk for or living with HIV/AIDS. While 

SAMHSA is requesting the same total amount for Minority AIDS programs in FY 2013 

as in FY 2012, the Budget Request realigns resources within SAMHSA in order to 

enhance the capacity to collaborate on HIV/AIDS prevention and treatment efforts across 

HHS. CMHS, in collaboration with CSAP and CSAT, will support an integrated 

program to develop and expand culturally competent and effective behavioral health and 

primary care network in order to reduce the impact of behavioral health problems, HIV 

risk, and HIV-related health disparities. 

Disaster Response: $3.0 million, +$1.9 million above the FY 2012 enacted level to 

support a nationally available disaster distress crisis counseling telephone line through a 

connection to local crisis lines throughout the country. The need for this initiative has 

been documented through the Assistant Secretary for Preparedness and Response after 

various emergency conditions throughout the world and after U.S. disasters that did not 

rise to the level of presidentially declared emergencies and therefore did not qualify for 

Stafford Act Funding. 

The FY 2013 Budget Request also includes level funding, the same as FY 2012, for the 

following:

Youth Violence Prevention: $23.2 million, 

National Child Traumatic Stress Network: $45.4 million, 

Children and Family Programs: $6.5 million, 
50

MH State Transformation and Health Reform: $10.6 million, 

AI/AN Suicide Prevention Initiative: $2.9 million, the same as FY 2012 and is proposing 

to align the AI/AN Suicide Prevention activities with the Center for Substance Abuse 

Prevention efforts with the Native American Center of Excellence. 

Homelessness Prevention Programs: $30.8 million, 

Consumer and Consumer Support TA Centers: $1.9 million, 

Homelessness: $2.3 million, 

HIV/AIDS Education: $0.8 million, 

The FY 2013 Budget Request also includes decreases for the following (-$56.9): 

Seclusion and Restraint: $1.1 million, -$1.3 million below the FY 2012 enacted level. 

Reduction was a result of a contract coming to a natural end. SAMHSA intends to 

integrate much of the Seclusion and Restraint strategies into current programs. 

Consumer and Family Network Grants: $5.0 million, -$1.3 million below the FY 2012 

enacted level. Reduction was a result of grants coming to a natural end. 38 new grants 

will also be awarded. 

Primary and Behavioral Health Care Integration: $28.0 million, -$39.7 million below the 

FY 2012 enacted level. In FY 2012, PBHCI was supported by both Direct Budget 

Authority and the ACA Prevention Fund. In FY 2013, PBHCI is requested to be funded 

by the ACA Prevention Fund and will continue to support 9 continuation grants 

originally awarded from direct Budget Authority and 34 continuation grants originally 

awarded from the ACA Prevention Fund as well as the PBHCI-TA center at a reduced 

funding level.

Suicide Lifeline: $5.5, -$1.7 million below the FY2012 enacted level. Reduction was a 

result of one-time activities supported the ACA Prevention Fund in FY 2012. 

GLS-Youth Suicide Prevention-States: $29.4 million, -$6.1 million below the FY 2012 

enacted level. Reduction was a result of fully funding grants in FY 2012 by the ACA 

Prevention Fund. The existing 51 grants and 2 contracts from FY 2012 will be 

maintained.

GLS-Youth Suicide Prevention-Campus: $4.9 million, -$1.6 million below the FY 2012 

enacted level. Reduction was a result of fully funding grants in FY 2012 with the ACA 

Prevention Fund. 37 grants and 1 contract will be maintained. 

Criminal and Juvenile Justice Programs: $4.3 million, -$2.4 million below the FY 2012 

enacted level. 7 grants and 1 contract will be maintained. 

GLS-Suicide Prevention Resource Center: $4.9 million, -$-1.0 million below the FY 

2012 enacted level. Reduction was a result of not renewing supplemental funds that were 

received as part of the ACA Prevention Fund in FY 2012. 

Practice Improvement and Training: $7.4 million, -$0.4 million below the FY 2012 

enacted level. Existing grant amount will be continued. 

Minority Fellowship Program: $3.8 million, -$1.3 million below the FY 2012 enacted 

level. All 6 grants will be continued at a reduced amount. 

A detailed table for all grant and contract continuations and new activities can be found on page 

227. 
51

SAMHSA/ Mental Health 

PRNS Mechanism Table by APT 

(Dollars in Thousands)

Programs of Regional & 

National Significance

FY 2011 

Enacted 

Number

FY 2011 

Enacted 

Amount

FY 2012 

Enacted 

Number

FY 2012 

Enacted 

Amount

FY 2013

President’s Budget

Number

FY 2013

President's Budget

Amount

Grant s/Cooperative Agreements:

 Continuations 357 $143,406 364 $124,381 378 $152,621

 New/Competing 137 58,929 166 99,061 98 40,897

 Supplements 73 24,491 2 2,705 --- ---

 Subtotal 567 226,826 532 226,147 476 193,518

Contracts:

 Continuations 37 119,263 36 56,531 32 48,045

 New/Competing 15 11,990 3 3,409 6 5,987

 Supplements --- 492 --- 29 --- ---

 Subtotal 52 131,745 39 59,969 38 54,032

Total, PRNS MH 1/ 619 $358,571 571 $286,116 514 $247,550

1/ This total inc1udes PRNS items funded with both BA and ACA Prevention Funds. ACA finding 

amounts to $45 million in FY 2011 and FY 2012, and $28 million in FY 2013.
52

Outcomes and Outputs

Youth Violence Prevention

Table 1: Key Performance Indicators for Youth Violence Prevention

Measure Year and

Most Recent

Result /

Target for

Recent Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target 3

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

3.2.04 Number of children 

served (Outcome)

FY 2011: 

3,223,075 

Target:

2,328,500 

(Target

Exceeded) 

2,328,500 2,328,500 524,931 -1,803,569 

3.2.10 Percentage of students 

who receive mental health 

services (Outcome)

FY 2011: 69.2% 

Target:

66%

(Target

Exceeded) 

66% 66% 66% Maintain 

3.2.29 Percentage of middle and 

high school students who have 

been in a physical fight on 

school property (Outcome)

FY 2011: 18.8 %

Target:

27.0 %

(Target

Exceeded) 

27% 27% 27% Maintain 

3.2.30 Decrease the percentage 

of middle and high school 

students who report current 

substance abuse (Outcome)

FY 2011: 21.5 %

Target:

20.0 %

(Target Not Met 

but Improved) 

20% 20% 20% Maintain 

3 Target has been reduced to reflect the reduced program funding in FY 2013
53

Measure Year and

Most Recent

Result /

Target for

Recent Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target 3

(FY 2014)

FY 2013

PB

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

3.2.31 Number of children (ages

0-5) screened for mental health 

or related interventions 

(Outcome)

N/A N/A N/A Baseline

December, 

2014

N/A 

3.2.32 Number of organizations 

collaborating and sharing 

resources with other 

organizations as a result of the 

grant (Outcome)

N/A N/A N/A Baseline

December, 

2014

N/A 
54

National Child Traumatic Stress Initiative (NCTSI)

Table 2: Key Performance Indicators for National Child Traumatic Stress Network

Measure Year and

Most Recent

Result /

Target for 

Recent 

Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

3.2.02 Increase the percentage of 

children receiving trauma 

informed services showing 

clinically significant 

improvement (Outcome)

FY 2011:

34%4

Target:

43%

(Target Not 

Met)

43% 43% 43% Maintain 

3.2.23 Unduplicated count of the 

number of children and 

adolescents receiving traumainformed services (Outcome)

FY 2011: 

3,052 

Target:

3,217 

(Target Not 

Met but 

Improved) 

1,9225 3,052 3,052 Maintain 

3.2.24 Number of child-serving 

professionals trained in providing 

trauma-informed services 

(Outcome)

FY 2011:

92,9756

Target:

100,800 

(Target Not 

Met)

95,186 73,992 95,186 +21,194 

4

Analysis of the FY2011 GPRA result revealed that one of three measures that contributes to the overall result was used at a significantly lower 

level in FY 2012. The measure had the highest percentage of youth demonstrating improvement in previous years and was unavailable for a 

significant portion of FY 2011 due to license issues which are now resolved. We anticipate that the result for this GPRA measure will increase as 

grantee use of the measure with lower utilization in FY2011 moves closer to historic levels in FY 2012. 5 Target adjusted reflect 2009 actual.

6

Data for this measure is now being collected by the TRAC system and data is collected in real time with no data lag. Thus, result dates have 

been changed accordingly. 
55

Mental Health System Transformation Grants

Table 3: Key Performance Indicators for Mental Health System Transformation

Grants

Measure Year and

Most Recent

Result /

Target for 

Recent 

Result /

(Summary 

of Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.2.11 Number of persons in the 

mental health and related workforce 

trained in specific mental-health 

related practices/activities as a 

result of the grant (Outcome)

FY 2011: 

3,720 

Target:

746

(Target

Exceeded) 

4,095 1,4887 1,488 Maintain 

7

Target has been reduced to reflect the reduced program funding in FY 2012.
56

Suicide Prevention

Table 4: Key Performance Indicators for Suicide Prevention Activities

Measure Year and

Most Recent

Result /

Target for

Recent Result

/

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

2.3.59 Total number of 

individuals trained in 

youth suicide prevention 

(Outcome)

FY 2011: 

106,835 

Target:

35,371 

(Target

Exceeded) 

35,371 35,371 36,078 +707 

2.3.60 Total number of 

youth screened (Output)

FY 2011: 

15,352 

Target:

3,360 

(Target

Exceeded) 

3,360 3,360 3,427 +67 

2.3.61 Increase the 

number of calls answered 

by the suicide hotline 

(Output)

FY 2011: 

765,638 

Target:

555,132 

(Target

Exceeded) 

555,132 555,132 555,132 Maintain 
57

Mental Health Services – Homelessness Programs

Table 5: Key Performance Indicators for Mental Health Homelessness Prevention Programs 

Measure Year and Most

Recent Result /

Target for

Recent Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

3.4.01 Number of clients 

served (Output)

FY 2011: 5,034 

Target:

2,262 

(Target Exceeded) 

2,223 5,034 5,034 Maintain 

3.4.02 Increase the 

percentage of adults 

receiving services receiving 

homeless support services 

who report improved 

functioning (Outcome)

FY 2011: 63.1 % 

Target:

68.4 % 

(Target Not Met)

68.4% 63.1 % 63.1 % Maintain 

3.4.03 Percentage of adults 

receiving services who were 

currently employed 

(Outcome)

FY 2011: 24.7 % 

Target:

15.6 % 

(Target Exceeded) 

15.6% 15.6 % 15.6 % Maintain 

3.4.05 Percentage of adults 

receiving services who had a 

permanent place to live in the 

community (Outcome)

FY 2011: 79.5 % 

Target:

60.6 % 

(Target Exceeded) 

60.6% 74.2 % 60.6 % -13.6% 

3.4.06 Percentage of adults 

receiving services who had 

improved social support 

(Outcome)

FY 2011: 71 % 

Target:

78 % 

(Target Not Met)

78% 71 % 71 % Maintain 
58

Table 6: Key Performance Indicators for Mental Health – Other Capacity 16

Measure Year and Most

Recent Result /

Target for

Recent Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.2.05 Percentage of clients 

receiving services who report 

improved functioning 

(Outcome)

FY 2011: 52.1% 

Target:

54%

(Target Not Met)

54% 54% 54% Maintain 

1.2.82 Percentage of clients 

receiving services who had a 

permanent place to live in the 

community (Outcome)

FY 2011: 69.4 % 

Target:

67.7 % 

(Target

Exceeded) 

67.7% 67.7 % 67.7 % Maintain 

1.2.83 Percentage of clients 

receiving services who are 

currently employed (Outcome) 

FY 2011: 24.4 % 

Target:

14.0 % 

(Target

Exceeded) 

14% 14% 14% Maintain 

1.2.88 Number of individuals 

screened for mental health or 

related interventions 

(Outcome)

FY 2011: 32,763 

Target:

32,763 

(Baseline)

32,763 32,763 32,763 Maintain 

16 Includes the following programs: Jail Diversion, Older Adults, HIV/AIDS, Primary and Behavioral Health Care Integration, and Healthy 

Transitions 
59

Table 7: Key Performance Indicators for Mental Health – Science and Service Activities

Measure Year and

Most Recent

Result /

Target for 

Recent 

Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.4.06 Number of people 

trained by CMHS Science and 

Service Programs (Output)

FY 2011: 

10,910 

Target:

4,237 

(Target

Exceeded) 

4,237 3,390 5,568 +2,178 

1.4.09 Increase the number of 

individuals trained by 

SAMHSA's Science and 

Services Program (Output)

FY 2010:

51,4159

(Historical

Actual)

37,896 37,049 31,473 -5,576 

Grant Award Table

(Whole Dollars)

FY 2011

Actual

FY 2012

Enacted

FY 2013

Pres ident's

Budget

Number of Awards 567 530 476

Average Award $400,046 $426,692 $406,550

Range of Awards $15,000-$6,000,000 $15,000-$6,000,000 $15,000-$6,000,000

9

All component programs have now reported; therefore, data are revised from previously reported.
60

Page intentionally left blank 
Mental Health - State Prevention Grants

(Dollars in Thousands)

FY 2011

Actual

FY 2012

Enacted

FY 2013

President’s

Budget

FY 2013 +/- 

FY 2012

Mental Health State Prevention Grant $24,706 $34,640 $55,000 +$20,360

Project LAUNCH (non-add) $24,706 $34,640 $24,750 -$9,890

Authorizing Legislation ..................................................................... Section 520A of the PHS Act 

FY 2013 Authorization ...............................................................................................................N/A 

Allocation Method ........................................................................................... Discretionary Grants 

Mental Health Promotion and Mental Illness Prevention at a National Scale

The new MH-SPG program brings the success realized in Project LAUNCH to a broader scale. 

States and Territories will be required to use data to identify communities at highest risk and 

select proven mental health promotion and mental illness prevention programs and practices 

based on community needs. A statewide approach to comprehensive prevention planning will 

help bring these proven practices to an operational and implementation scale. By providing a 

stable and predictable source of funding through the MH-SPG, SAMHSA will support the 

development of a mental health promotion/mental illness prevention infrastructure in every State 

and Territory. 

Program Description and Accomplishments - Project LAUNCH

In FY 2008, Congress provided funding to implement the Linking Actions for Unmet Needs in 

Children’s Health (Project LAUNCH) Wellness Initiative. Project LAUNCH implements 

evidence-based practices that promote and enhance the wellness of young children by increasing 

grantees’ capacity to develop infrastructure and implement prevention/promotion strategies 

necessary to promote wellness for young children. LAUNCH has been focused on children birth 

through age eight. 

Project LAUNCH defines wellness as optimal functioning across all developmental domains, 

including physical, social, emotional, cognitive and behavioral health. Project LAUNCH is 

unique at SAMHSA with regard to its exclusive focus on prevention of mental illness beginning 

in early childhood, a time that is so critically important to the developing brain, and as a 

determinant of later physical and behavioral health. For this program behavioral health includes 

mental and emotional health and positive development free from substance abuse and other 

negative behavior. The goal of Project LAUNCH is to create a shared vision for the wellness of 

young children that drives the development of Federal, State, Territorial, Tribal and locallybased networks for the coordination of key child-serving systems and the integration of 

behavioral and physical health services. The expected result is for children to be thriving in safe, 

supportive environments and entering school ready to learn and able to succeed. 

61 
62

In FY 2011 SAMHSA continued 24 Project LAUNCH grants. To date, 49,000 children and 

parents have been screened and assessed in diverse settings and over 7,000 families have been 

served in LAUNCH-supported home visiting and family strengthening programs. Over 11,000 

community providers have been trained on social-emotional and behavioral health for young 

children. Mental health consultation has been provided to 1,100 child care and education staff, as 

well as 700 primary care providers. Project LAUNCH data also indicates that nearly 900 

organizations are collaborating, coordinating, and sharing resources to implement 

prevention/promotion strategies for young children. 

In FY 2012, SAMHSA will continue to support continuation grants and contracts and plans to 

award grants to a new cohort as well as additional funding to TA and evaluation contracts to 

support the new cohort. 

Funding History 

FY Amount

2008 a/ $7,369,000

2009 a/ $20,000,000

2010 a/ $24,993,000

2011 a/ $24,706,000

2012 a/ $34,640,000

a/ This funding history is representative of Project LAUNCH’s funding which is the precursor to 

the MH State Prevention Grant. 

Mental Health State Prevention Grant Budget Request 

The FY 2013 President’s Budget, proposes to expand the use of evidence-based prevention 

strategies from Project LAUNCH into Mental Health - State Prevention Grants (MH-SPG). The 

overall purpose of this program is to provide consistent and sustainable support for States and

Territories to implement State-wide comprehensive prevention strategies to address the 

prevention of mental illnesses and reduce the impact of mental illness on America’s 

communities. These grants will promote the wellness of children and youth by building on the 

findings and recommendations of the 2009 Institute of Medicine (IOM) report on Preventing 

Mental, Emotional, and Behavioral Disorders Among Youth People. The IOM Report 

recommends building partnerships across Federal, State, and local agencies, and research 

institutions to address risk factors that can lead to mental illness. Since research has shown that 

birth to age eight is a critical developmental phase for the prevention of substance abuse and 

mental illness, the MH-SPG state formula grants will continue to focus on young children and 

may provide States with the option to expand their focus to include older youth (e.g, birth to age 

14) to continue efforts as young children enter middle school and transition to adolescence, if the 

State can demonstrate need and the capacity to provide additional prevention services. Any 

expansion in age range would extend the Project LAUNCH model of evidence-based programs 

and system coordination with an age-appropriate approach for the populations served. 

Consistent with the Project LAUNCH program, the MH-SPG will ensure that there is non-
duplication of effort across other State and Federal programs, and the non-supplantation of State 

and Federal funds. 

The MH-SPG program will provide funding for all interested States and U.S. Territories in order 

to: 

Use evidence-based practices to promote known protective factors for mental health in 

young children and to reduce risk factors for mental illness and substance abuse; 

Prevent or delay the onset of mental illnesses and prevent suicide; and 

Build mental health promotion and mental illness prevention capacity and infrastructure 

at the State, local, and community levels. 

The FY 2013 Budget request is $55.0 million, a $20.4 million increase over the comparable FY 

2012 Enacted Level. This amount includes $24.8 million to continue grants funded under the 

current Project LAUNCH and $30.3 million available to support the MH-SPG. Since the State 

grants will build on the LAUNCH approach, as the current Project LAUNCH grants reach their 

natural end in future years, available funds will be folded into the MH-SPG program so that 

Project LAUNCH-like formula-based awards can be expanded to all States and Territories. The 

final distribution of $30.3 million will be determined by a formula that will be developed in 

consultation with stakeholders and Congress. 

Background 

The 2009 IOM Report provides evidence that a set of risk and protective factors affects the 

development of mental and substance use disorders in youth. For example, children with strong 

coping skills who live in safe, stable families and communities tend to develop certain mental 

illnesses and abuse substances less often than those who have not had these advantages. 

Although many mental illnesses have a biological basis, improvements in these personal, family, 

and community factors can help prevent, delay, and/or reduce the severity of these illnesses. 

Evidence also demonstrates that community risk and protective factors, such as poverty, 

violence, gangs, etc. can have a negative impact on the healthy development of young people in 

neighborhoods. Community norms, values, and beliefs are powerful factors in fostering positive 

community and youth development. Collectively, improvements in these areas can reduce the 

impact of mental illness on America’s communities. 

The MH-SPG state formula grants will require States and Territories to address mental health 

promotion and mental illness prevention at three levels of prevention practice: universal, which 

addresses populations at large; selective, which targets individuals or subgroups of the 

population whose risk of developing mental, emotional, or behavioral disorders is significantly 

higher than average (such as children with a family history of abuse or schools in high poverty 

areas); and indicated, which addresses individuals with early symptoms or behaviors that are 

precursors for a disorder, but are not yet diagnosable. SAMHSA will require States and 

Territories to consider and use environmental and policy approaches as well as individual 

approaches in developing the application for these funds. This coordinated approach supports 

SAMHSA’s Prevention of Substance Abuse and Mental Illness Strategic Initiative, which aims 

to support communities where individuals, families, schools, workplaces, communities, and 

63 
States and Territories take action to promote emotional health and to prevent mental illness, 

substance abuse (including tobacco), and suicide. 

Moving Mental Health Promotion and Mental Illness Prevention to a National Scale 

The new MH-SPG program brings the success realized in Project LAUNCH to a broader scale. 

States and Territories will be required to use data to identify communities at highest risk and 

select proven mental health promotion and mental illness prevention programs and practices 

based on community needs. A statewide approach to comprehensive prevention planning will 

help bring these proven practices to an operational and implementation scale. 

By providing a stable and predictable source of funding through the MH-SPG, SAMHSA will 

support the development of a mental health promotion/mental illness prevention infrastructure in 

every State and Territory. This formula-based grant program will provide funding to each 

State’s and Territory’s Mental Health Authorities (MHA) that are responsible for managing the 

MHBG. SAMHSA will require States and Territories to work across early childhood and other 

child serving systems (e.g., State and local education authorities, maternal and child health, 

public health, primary care, juvenile justice, child welfare, Medicaid, substance abuse, and faith 

communities) to engage and leverage existing Federal, State, and local resources already 

dedicated to or aligned with the prevention of mental, emotional, and behavioral disorders. 

Following a comprehensive needs assessment process, grantees will develop statewide plans for 

enhancing the prevention infrastructure, training, and service systems at the State and local 

levels. Ultimately, States and Territories will assist and support high-risk/high-need 

communities to promote mental, emotional, and behavioral (MEB) health and reduce the risk for 

MEB disorders in young children. 

SAMHSA will develop general criteria for selection of high-risk, high-need communities in 

order to focus limited dollars Nationwide. However, the actual selection of these communities 

will be responsibility of the designated MHA that receives and administers the grant funds. 

Structure and Required Activities 

The MH-SPG program will be a formula-based discretionary grant program available to all 

States and Territories. States and Territories will continue to be eligible for these funds beyond 

the initial grant award so long as they meet the requirements of each renewal application, provide 

the necessary annual reports, and show continued movement toward implementing their 

approved plans. 

Each State/Territory will be required to develop a strategic plan based on national, 

State/Territory, and local epidemiological data sources and should describe a system with 

appropriate monitoring, funding and workforce resources. The plan must address, at a minimum, 

coordinated health and mental health promotion, mental illness prevention, and suicide 

prevention services for young children (and older youth if need and capacity are demonstrated). 

States and Territories will be required to partner with State Maternal and Child Health programs 

and will be expected to work across child and family serving systems (including working with 

64 
schools). This may address priorities such as school readiness, violence/trauma prevention, 

suicide prevention, depression, conduct/oppositional defiant disorder, Attention Deficit 

Hyperactivity Disorder, eating disorders, anxiety disorders, and prevention or reduction of high 

risk behaviors (e.g., substance abuse, unprotected sex, etc.) States and Territories will be 

expected to indicate the evidence-base, utilizing the 2009 IOM Report or other relevant scientific 

evidence, of the programs, services and activities they plan to fund. Data tracking the outcome 

of these expenditures, specifically decreasing disorders and risk factors, and increasing 

protective factors and/or emotional health in the communities funded. 

States and Territories will be required to allocate most of the funds (at least 80 percent) to local 

communities to organize and carry out the promotion and prevention activities identified in the 

State plan while addressing the particular needs of communities. States and Territories will be 

allowed to retain up to 15 percent of the funds for State-level activities to achieve positive 

outcomes, such as the operation of a State or Territory prevention advisory group, 

epidemiological work group, training and technical assistance to communities, data collection 

and evaluation, development and dissemination of State or Territory-wide messages and 

resources, and oversight and monitoring of funded communities. States and Territories will be 

able to use funds for coordinated workforce development, training in evidence-based practices, 

and the development of coordinated infrastructure and service delivery systems in high need 

communities. Up to an additional five percent of the grant funds may be used for administrative 

costs. 

A detailed table for Project LAUNCH grant and contract continuations can be found on page 

232. 

65 
Outcomes and Outputs 

Measure Year and Most 

Recent Result/ 

Target for Most 

Recent 

Result/(Summary 

of Results) 

FY 2011 Actual/ 

Associated 

Target/ (FY 

2012) 

FY 2012 

Enacted/ 

Associated 

Target/ (FY 

2013) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) +/- FY 

2012 Enacted/ 

Associated 

Target/ (FY 

2013) 

2.3.94 Numbers 

(Output) 

of persons served N/A N/A N/A Baseline 

December 2013 

Maintain 

2.3.95 Number of persons trained in 

mental illness prevention or mental health 

promotion (Outcome) 

N/A N/A N/A Baseline 

December 2013 

Maintain 

2.3.99 Percentage of youth age 12-25 

who experience a Major Depression 

Episode in the past 12 months (Outcome) 

N/A N/A N/A Baseline 

December 2013 

Maintain 

66 
Children’s Mental Health Services Program 

(Dollars in Thousands) 

FY 2011 Actual FY 2012 

Enacted 

FY 2013 

President’s 

Budget 

FY 2013 +/­

FY 2012 

Budget Authority $117,803 $117,315 $88,557 -$28,758 

Authorizing Legislation ..................................Section 561 to 565 of the Public Health Service Act 

FY 2013 Authorization ......................................................................................................... Expired 

Allocation Method .................................................... Competitive Grants/Cooperative Agreements
 

Program Description and Accomplishments 

The Children’s Mental Health Services Program was first authorized in 1992. The program 

supports the development of comprehensive, community-based systems of care for children and 

adolescents with serious emotional disorders and their families. Systems of care is an approach 

to the delivery of services that recognizes the importance of family, school and community, and 

seeks to promote the full potential of every child and youth by addressing their physical, 

emotional, intellectual, cultural, and social needs. Accordingly, a system of care is a coordinated 

network of community-based services and supports that are organized to meet the challenges of 

children and youth with serious mental health needs and their families. 

Since 1993, the program has funded 173 grantees across the country; serving more than 100,000 

children, and adolescents and their families. Through FY 2010 grants were funded for a total of 

six years, with an increasing non-Federal match requirement over the term of the award. The 

match requirement is intended to promote sustainability of the local systems of care beyond the 

grant period. Sixty-four percent of system of care communities sustained five years post-Federal 

funding. 

National program evaluation data collected for more than a decade indicate that systems of care 

are successful, resulting in many favorable outcomes for children, youth and their families, 

including: 

• Sustained mental health improvements, including improvements for participating 

children and youth in clinical outcomes after six months of program participation; 

•	 Improvements in school attendance and achievement; 

•	 Reductions in suicide-related behaviors; 

•	 Decreases in utilization of inpatient care and reduced costs due to fewer days in inpatient 

care; 

•	 Significant reductions in contacts with law enforcement agencies. 

A hallmark of this program is that youth and families partner with providers and policy makers 

in service delivery and system reform planning and decision-making. In addition to the 

67 
substantial roles children, youth, and families play in the care they receive, services are delivered 

in the least restrictive environment with evidence-based treatments and interventions. Care 

management ensures that planned services and supports are delivered appropriately and 

effectively. 

In FY 2011, the Substance Abuse and Mental Health Services Administration (SAMHSA) 

funded System of Care Expansion Planning Grants. The purpose of these one-year planning 

grants are to develop a comprehensive strategic plan for improving and expanding services 

provided by systems of care and to expand the number of jurisdictions and locations within a 

state, political subdivision, territory or tribal entity that have adopted a system of care approach. 

SAMHSA will be issuing implementation grants in FY 2012 to assist states in acting on the 

strategic plans developed in the one-year planning grants funded in FY 2011. This approach will 

expand and sustain system of care values and principles, infrastructure and services throughout 

the funded states, territories or tribes. A central focus of these efforts will be linking systems of 

care with other child serving systems, block grant activities, and coordinating funding streams to 

support the systems of care approach. 

Funding History 

FY Amount 

2008 $102,260,000 

2009 $108,373,000 

2010 $121,316,000 

2011 $117,803,000 

2012 $117,315,000 

Budget Request 

The FY 2013 Budget Request is $88.6 million, a net budget decrease of $28.8 million below the 

FY 2012 Enacted Level, and reflects savings from grants coming to a natural end. Over a decade 

of national program evaluation data indicate that the Systems of Care model developed and 

promoted by the program on a community-by-community basis are successful at achieving a 

variety of outcomes including: mental health improvements, reductions in suicidal behavior, 

juvenile justice involvement and lower medical costs. In FY 2011, SAMHSA awarded grants to 

24 states and the District of Columbia to develop strategic plans for expanding the systems of 

care model statewide. As the Systems of Care have become a proven strategy, SAMHSA 

intends to bring the Systems of Care to scale through the Mental Health Block Grant. SAMHSA 

plans to continue working with states to move these models to scale through the use of their 

Mental Health Block Grant dollars. No grants will be terminated and the reduction will not affect 

current grants. The request will support 65 grant and 4 contract continuations. 

A detailed table for all grant and contract continuations and new activities can be found on page 

232. 

68 
Outcomes and Outputs 

Measure Year and Most 

Recent Result/ 

Target for Most 

Recent 

Result/(Summary 

of Results) 

FY 2011 Actual/ 

Associated 

Target/ (FY 

2012) 

FY 2012 

Enacted/ 

Associated 

Target/ (FY 

2013) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) +/- FY 

2012 Enacted/ 

Associated 

Target/ (FY 

2013) 

3.2.16 Number of children receiving 3 services (Output) FY 2011: 6,639 

Target: 13,051 

(Target Not Met 

but Improved) 

4,930 6,457 4,141 -2,316 

3.2.25 Percentage of children receiving 

services who report social support 

(Outcome) 

FY 2011: 86.9% 

Target: 87.6% 

(Target Not Met 

but Improved) 

87.6% 87.6% 87.6% Maintain 

3.2.26 Increase the percentage of children 

receiving System of Care mental health 

services who improved functioning 

(Outcome) 

FY 2011: 53.0% 

Target: 50.2% 

(Target Not Met 

but Improved) 

50.2% 50.2% 50.2% Maintain 

3 FY 2010 source for this measure has been transferred from the cross-site evaluation to the TRAC data collection system. The 

lower actual and subsequent targets are due to the fact that grantee use of the TRAC system is slower than expected. 

69 
Measure Year and Most 

Recent Result/ 

Target for Most 

Recent 

Result/(Summary 

of Results) 

FY 2011 Actual/ 

Associated 

Target/ (FY 

2012) 

FY 2012 

Enacted/ 

Associated 

Target/ (FY 

2013) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) +/- FY 

2012 Enacted/ 

Associated 

Target/ (FY 

2013) 

3.2.27 Number of people in the mental 

health and related workforce trained in 

specific mental health-related 

practices/activities as a result of the 

program (Output) 

FY 2011: 4,818 

Target: 4,571 

(Baseline) 

4,571 4,571 4,571 Maintain 

3.2.28 Number of organizations that 

entered into formal written inter/intraorganizational agreements (e.g. 

MOUs/MOAs) to improve mental healthrelated practices/activities as a result of 

the grant (Output) 

FY 2011: 984 

Target: 928 

(Baseline) 

928 928 928 Maintain 

3.2.26 Increase the percentage of children 

receiving System of Care mental health 

services who improved functioning 

(Outcome) 

FY 2011: 53.0% 

Target: 50.2% 

(Target Not Met 

but Improved) 

50.2% 50.2% 50.2% Maintain 

Grant Awards Table 

(Whole Dollars) 

Number of Awards 

Average Award 

Range of Award 

FY 2011 

Actual 

$1,295,078 

$330,000-$2,000,000 

FY 2012 

77 

Enacted 

$1,224,075 

$330,000-$2,000,000 

FY 2013 

President’s 

80 

Budget 

$1,217,015 

$300,000-$2,000,000 

65 

70 
71

Projects for Assistance in Transition from Homelessness

(Dollars in thousands)

FY 2011

Actual

FY 2012

Enacted

FY 2013 

President’s 

Budget

FY 2013 

+/- 

FY 2012

Budget Authority $64,917 $64,794 $64,794 $---

Authorizing Legislation Section 521 of the Public Health Service Act

FY 2013 Authorization Expired

Allocation Method Formula grant

Program Description and Accomplishments

In 1990, the Stewart B. McKinney Homeless Assistance Amendments Act authorized the 

Projects for Assistance in Transition from Homelessness (PATH) program. PATH is unique in 

that it alone is authorized to address the needs of individuals with serious mental illness (SMI) 

and/or SMI with a co-occurring substance use disorder who are experiencing homelessness or 

are at risk of homelessness. PATH connects this largely un-served population to critical services 

and resources to assist them on the road of recovery. PATH funds community-based outreach, 

mental health, substance abuse, case management and other supportive services, and a limited set 

of housing services in 483 communities from all 50 States, the District of Columbia, Puerto Rico, 

Guam, American Samoa, the U.S. Virgin Islands, and the Northern Mariana Islands. 

The PATH formula calculates State allotments based on the population living in urbanized areas. 

This population data is updated after each census. This program requires matching funds of $1 to 

every $3 of Federal funds. In the past several years, State and local matching funds exceeded the 

required amount. The PATH program has been highly successful in targeting assistance to 

individuals with SMI who are homeless or are at-risk for homelessness or experiencing a cooccurring mental and substance use disorder. The PATH budget supports 57 grants to States and 

Territories, as well as centralized activities like technical assistance and evaluation. 

In 2010, the PATH program contacted 177,966 homeless persons. PATH has implemented 

several activities to improve data collection and reporting. A partnership has been established 

with the Department of Housing and Urban Development (HUD) to determine the feasibility of 

having all PATH grantees collect and report PATH data in the Homeless Management 

Information System (HMIS).

Involving consumers in the PATH program is essential. The program established a PATH 

consumer-provider network that developed a consumer involvement curriculum to assist in the 

planning, design, and delivery of PATH at the local, State, and national levels. Located at 

http://pathprogram.samhsa.gov, the recently re-designed PATH website provides tools and 

information for consumers, PATH providers, other homeless service providers, policy makers
and the general public. It also presents opportunities for providers working with individuals who 

are homeless to connect with each other. 

SAMHSA changed the way PATH grantees report on persons served/enrolled for the PATH 

annual report. Grantees now report on all persons served with Federal and State match funds and 

not just persons served with Federal PATH funds only (as was done in the past). This change 

was made in order to better align PATH data collection efforts with the U.S. Department of 

Housing and Urban Development’s (HUD) Homeless Management Information System (HMIS), 

an outcome-based reporting system. All PATH programs will be expected to be using the 

Homeless Management Information System (HMIS) within the next 2-4 years for tracking 

PATH data used for GPRA reporting. This will enable SAMHSA to report reliable and 

consistent client- and aggregate-level data on the performance of the PATH program. 

Performance for the number of homeless persons contacted and the number enrolled in mental 

health services exceeded targets in FY 2010. Performance for percentage of contacted homeless 

persons with serious mental illness who become enrolled in services, an indicator of the rate of 

enrollment for PATH-eligible individuals, was not met in FY 2010. To ensure that low 

performing providers have the opportunity to improve, SAMHSA plans on focusing its technical 

assistance in 2012 on clarifying definitions and best practices around enrollment and 

engagement. The states with low performing providers will receive more intense technical 

assistance and be encouraged to monitor their PATH providers more closely. Being pro-active 

and assertive in identifying and addressing the issues that contribute to low performance is 

expected to significantly improve this performance measure in the coming year. 

Performance for the number of PATH providers trained on Supplemental Security Income/Social 

Security Disability Insurance (SSI/SSDI) Outreach, Access, and Recovery (SOAR)was not met 

in FY 2010. It is important to note, however, that nearly 24,000PATH providers have been 

trained since the initiative began. This output is important in that once trained, PATH providers 

are better able to assist PATH clients in applying for and getting the income benefits for which 

they are eligible.1 

Funding History 

FY Amount 

2008 $53,313,000 

2009 $59,687,000 

2010 $65,047,000 

2011 $64,917,000 

2012 $64,794,000 

Supplemental Security Income (SSI) and Social Security Disability Insurance (SSDI) are disability income benefits administered by the Social 

Security Administration (SSA) that generally also provide either Medicaid and/or Medicare health insurance to individuals who are eligible. 

Accessing these benefits is often a critical first step in recovery. For people, who are homeless with mental health problems that impair cognition 

or who are returning to the community from institutions (jails, prisons or hospitals), access to these programs can be extremely challenging. The 

application process for SSI/SSDI is complicated, detailed, and often difficult to navigate. Typically, about 10-15 percent of individuals who are 

homeless have these benefits. Fifteen percent of individuals who are homeless have these benefits. 

72 

1 
Budget Request 

The FY 2013 Budget Request is $64.8 million, the same as the FY 2012 Enacted Level. This 

level of funding enables the continuation of all programmatic activities. The request will support 

57 grant continuations. 

Data Elements Used to Calculate FY 2013 Allotments 

Population: For the States, District of Columbia, and Puerto Rico, April 1, 2000 population of 

urbanized areas from the 2000 Decennial Census, Summary File 1, from the U.S. Department of 

Commerce, Bureau of the Census. For the territories other than Puerto Rico, no data for the 

population of urbanized areas were available from the 2000 Decennial Census and so were not 

used in the allotment calculations (territories receive the statutory minimum territory allotment). 

73 
Outcomes and Outputs 

Measure Year and Most 

Recent Result/ 

Target for Most 

Recent 

Result/(Summary 

of Results) 

FY 2011 Actual/ 

Associated 

Target/ (FY 

2012) 

FY 2012 

Enacted/ 

Associated 

Target/ (FY 

2013) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) +/- FY 

2012 Enacted/ 

Associated 

Target/ (FY 

2013) 

3.4.15 Percentage of enrolled homeless 

persons who receive community mental 

health services (Outcome) 

FY 2011: 60% 

Target: 47% 

(Target Exceeded) 

47% 50% 47% -3% 

3.4.16 Numbers of homeless 

contacted (Outcome) 

persons FY 2011: 177,966 

Target: 160,000 

(Target Exceeded) 

182,000 182,000 182,130 +130 

3.4.17 Percentage of contacted homeless 

persons with serious mental illness who 

become enrolled in services (Outcome) 

FY 2011: 47% 

Target: 55% 

(Target Not Met) 

55% 55% 55% Maintain 

3.4.20 Increase the number of PATH 

providers trained on SSI/SSDI Outreach, 

Access, Recovery (SOAR) to ensure 

eligible homeless clients are receiving 

benefits. (Output) 

FY 2011: 4,459 

Target: 5,420 

(Target Not Met) 

5,420 5,420 5,431 +11 

74 
75

DEPARTMENT OF HEALTH AND HUMAN SERVICES Substance Abuse

and Mental Health Services Administration

 FY 2013 DISCRETIONARY STATE/FORMULA GRANTS

Projects for Assistance in Transition from Homelessness (PATH) CFDA #93.150

State/Territory

FY 2011 Actual FY 2012 Enacted FY 2013 President’s 

Budget

FY 2013 +/- 

FY 2012

Alabama $587,000 $586,000 $586,000 $---

Alaska 300,000 300,000 300,000 ---

Arizona 1,181,000 1,179,000 1,179,000 ---

Arkansas 300,000 300,000 300,000 ---

California 9,053,000 9,034,000 9,034,000 ---

Colorado 971,000 969,000 969,000 ---

Connecticut 861,000 859,000 859,000 ---

Delaware 300,000 300,000 300,000 ---

District OfColumbia 300,000 300,000 300,000 ---

Florida 4,072,000 4,063,000 4,063,000 ---

Georgia 1,514,000 1,511,000 1,511,000 ---

Hawaii 300,000 300,000 300,000 ---

Idaho 300,000 300,000 300,000 ---

Illinois 2,943,000 2,937,000 2,937,000 ---

Indiana 1,031,000 1,029,000 1,029,000 ---

Iowa 337,000 336,000 336,000 ---

Kansas 365,000 364,000 364,000 ---

Kentucky 474,000 473,000 473,000 ---

Louisiana 766,000 765,000 765,000 ---

Maine 300,000 300,000 300,000 ---

Maryland 1,284,000 1,281,000 1,281,000 ---

Massachusetts 1,703,000 1,700,000 1,700,000 ---

Michigan 1,988,000 1,984,000 1,984,000 ---

Minnesota 820,000 818,000 818,000 ---

Mississippi 300,000 300,000 300,000 ---

Missouri 934,000 932,000 932,000 ---

Montana 300,000 300,000 300,000 ---

Nebraska 300,000 300,000 300,000 ---

Nevada 507,000 506,000 506,000 ---

New Hampshire 300,000 300,000 300,000 ---
State/Territory FY 2011 FY 2012 FY 2013 FY 2013 +/­

Actual Enacted President’s FY 2012 

Budget 

New Jersey $2,344,000 $2,339,000 $2,339,000 

New Mexico 300,000 300,000 300,000 

New York 4,687,000 4,677,000 4,677,000 

North Carolina 1,137,000 1,134,000 1,134,000 

North Dakota 300,000 300,000 300,000 

Ohio 2,210,000 2,205,000 2,205,000 

Oklahoma 448,000 448,000 448,000 

Oregon 597,000 596,000 596,000 

Pennsylvania 2,482,000 2,477,000 2,477,000 

Rhode Island 300,000 300,000 300,000 

South Carolina 566,000 565,000 565,000 

South Dakota 300,000 300,000 300,000 

Tennessee 896,000 894,000 894,000 

Texas 4,472,000 4,463,000 4,463,000 

Utah 528,000 527,000 527,000 

Vermont 300,000 300,000 300,000 

Virginia 1,425,000 1,422,000 1,422,000 

Washington 1,301,000 1,298,000 1,298,000 

West Virginia 300,000 300,000 300,000 

Wisconsin 859,000 857,000 857,000 

Wyoming 300,000 300,000 300,000 

State Sub-total 60,743,000 60,628,000 60,628,000 

Puerto Rico 1,051,000 1,049,000 1,049,000 

Guam 50,000 50,000 50,000 

Virgin Islands 50,000 50,000 50,000 

American Samoa 50,000 50,000 50,000 

Northern Marianas 50,000 50,000 50,000 

Territory - Sub total 

Total, States/Territories 

1,251,000 

61,994,000 

1,249,000 

61,877,000 

1,249,000 

61,877,000 

SAMSHA Set-Aside 1/ 2,922,906 2,917,307 2,917,000 -307 

Total, PATH $64,916,906 $64,794,307 $64,794,000 -$307 

 

 

DEPARTMENT OF HEALTH AND HUMAN SERVICES Substance Abuse 

and Mental Health Services Administration 

FY 2013 DISCRETIONARY STATE/FORMULA GRANTS 

Projects for Assistance in Transition from Homelessness (PATH) CFDA #93.150 

1/ FY 2012: 4.5% Set-Aside, plus $1,563 to compensate from rounding allotments. FY 2013: 4.5% Set-Aside, plus 

$1,270 to compensate from rounding allotments. 

76 
77

Protection and Advocacy for Individuals with Mental Illness

(Dollars in Thousands)

FY 2011

Actual

FY 2012

Enacted

FY 2013

President’s

Budget

FY 2013 +/-

FY 2012

Budget Authority $36,307 $36,238 $36,238 $---

Authorizing Legislation Section 102 of the PAIMI Act

FY 2013 Authorization Expired

Allocation Method Competitive Grants/Cooperative Agreements/Contracts

Program Description and Accomplishments

The Protection and Advocacy for Individuals with Mental Illness Program (PAIMI) provides 

formula grant awards to support protection and advocacy systems designated by the Governor of 

each State and the Territories, and the Mayor of the District of Columbia. State protection and 

advocacy systems monitor facility compliance with respect to the rights of individuals through 

activities that ensure the enforcement of the Constitution and Federal and State laws. State 

protection and advocacy systems monitor public and private residential care and treatment 

facilities and non-medical community-based facilities for children and youth. The Budget 

Request will support 57 grants to States and Territories. An independent evaluation of the 

program was completed in FY 2009 which confirmed that PAIMI programs provide those with 

psychiatric disability a voice in the exercise of their rights and are highly successful in achieving 

client and system goals and objectives.

In 2010, the PAIMI program:

• Provided casework to 3,974 children and adolescents and 12,525 adults and elderly 

individuals with mental illness;

• Closed 13,422 cases, of which 3,216 were related to abuse, 2,673 to neglect, and 7,533 to 

a violation of individual rights; 

• Resolved 84 percent of alleged abuse cases, 88 percent of alleged neglect cases, and 92 

percent of alleged rights violations cases that resulted in positive change for the client in 

her/his environment, community, or facility. 

The FY 2012 funding will resolve over 11,000 complaints in FY 2012, drawing upon a marginal 

cost analysis conducted for this program (which estimated an average cost per complaint 

resolved successfully in FY 2009 of $3,164). For complaints of alleged abuse that resulted in 

positive change for the client in her or his environment, community, or facility as a result of 

PAIMI involvement, the outcome has improved each year from 83% in FY 2007 to 84% in FY 

2010. 

This program is one of eight protection and advocacy (P&A) programs housed in three Federal 

departments. The different reporting and evaluation requirements translate into a significant
paperwork burden for recipients. To help remedy this problem, HHS, along with the Department 

of Education and the Social Security Administration, is committed to improving federal program 

coordination related to the monitoring and evaluating of these programs. 

Twenty percent of grantees sampled report that they met or partially met all projected goals and 

objectives, which may include increasing the percentage of complaints of alleged abuse, neglect 

and rights violations not withdrawn by the client that resulted in positive change for the client. 

Overall, grantees reported having met 93 percent of targeted goals and objectives. However, only 

four of 20 P&A executive directors reported no cutbacks in goals due to insufficient resources. 

Measure 3.3.12 is the number of people served by the PAIMI program. The FY 2010 target was 

again not met and has not been met over the previous five years. The PAIMI Program includes 

both an individual case and systemic focus. This balance appears to have shifted over time from 

a more individual case emphasis to a more systemic emphasis not only within individual 

program but nationally across all programs as well. Also, the case mix can impact this outcome, 

as individuals with more complex and extensive needs will require more time and resources 

which will reduce the total number of persons that can be served. Finally, although the program 

provides education and outreach, the number of persons served is ultimately determined by the 

number of persons who seek services which may vary over time. Because of all of these factors, 

the target for FY 2013 was adjusted downward and the 2014 target will remain flat. What 

appears to be happening is that with little additional funding and increasing demands, PAIMI 

program are focusing more on systemic activities which impact a much broader population than 

the individual case work. 

Steps are being taken to improve the program performance for the PAIMI Program. A PAIMI 

Program Peer Review process is in place for the Annual Program Performance Report which 

assesses and provides specific feedback regarding strengths and weaknesses of the program as 

well as specific recommendations for ongoing quality improvement. Also, the PAIMI Programs 

within each State Protection & Advocacy (P&A) agency are monitored via on-site reviews on a 

regular schedule. These on-site monitoring reviews are conducted by independent consultants 

and provide SAMHSA with an assessment of key areas: governance, legal, fiscal and 

consumer/constituent services/activities of the State’s PAIMI Program. Following these site 

visits, the consultants issue a report that summarizes its program findings and when appropriate, 

may include recommendations for technical assistance and/or corrective action. These steps are 

expected to improve performance so that annual and long-term targets can be met. 

The first external evaluation in the 24-year history of the PAIMI program was completed in 

2010. The evaluation found that individual PAIMI Programs provide those with psychiatric 

disabilities a voice in the exercise of their rights and are highly successful in achieving client and 

system goals and objectives. The PAIMI Program contributes to the transformation of this 

Nation’s mental health system into a more open, adaptive system that promotes recovery. 

78 
Funding History 

FY Amount 

2008 $34,880,000 

2009 $35,880,000 

2010 $36,380,000 

2011 $36,307,000 

2012 $36,238,000 

Budget Request 

The FY 2013 Budget Request is $36.2 million, the same as the FY 2012 Enacted Level. This 

level of funding enables the continuation of programmatic activities. The request will support 57 

grant continuations. 

Data Elements Used to Calculate FY 2013 Allotments 

Population: For the States, District of Columbia, and Puerto Rico, July 1, 2010 population 

estimates from the U.S. Department of Commerce, Bureau of the Census, Population Estimates 

Division. For the territories other than Puerto Rico, April 1, 2010 population counts from the 

2010 Decennial Census from the U.S. Department of Commerce, Bureau of the Census. 

Per Capita Income (PCI): For the States, District of Columbia, and Puerto Rico, 2010 Per 

Capita Income estimates from the U.S. Department of Commerce, Bureau of Economic Analysis. 

PCI data are not required for the calculation of allotments for territories other than Puerto Rico. 

American Indian Consortium: Populations of relevant Indian tribes and geographic areas, from 

the 2010 Decennial Census, 2010 Census Redistricting Data Summary File, U.S. Department of 

Commerce, Bureau of the Census. 

79 
Outcomes and Outputs

Measure Year and FY 2011 FY 2012 FY 2013 FY 2013

Most Actual Enacted PB PB 

Recent Associated Associated Associated Associated 

Result / Target Target Target Target

(FY 2014)

Target for (FY 2012) (FY 2013) (FY 2014) +/-

Recent FY 2012

Result / Enacted 

Associated 

(Summary Target

of Result) (FY 2013)

3.4.12 Number of people served by the FY 2010: 22,325 16,4991 16,499 Maintain 

PAIMI program (Outcome) 16,499 

Target:

22,325 

(Target Not 

Met)

3.4.19 Number attending public FY 2010: 92,9532 92,953 93,139 +186 

education/ constituency training and 98,681 

public awareness activities (Output)

Target:

120,000 

(Target Not 

Met but 

Improved) 

3.4.21 Increase percentage of complaints FY 2010: 87% 87% 87% Maintain 

of alleged abuse, neglect, and rights 90%

violations substantiated and not 

withdrawn by the client that resulted in Target:

positive change through the restoration 87% 

of client rights, expansion or 

maintenance of personal decision- (Target

making,elimination of other barriers to Exceeded) 

personal decision-making,as a result of 

PAIMI involvement (Outcome)

1

Target was reduced to reflect most recent actual given previous two years of performance results were off nearly 30 percent and is not related to 

2012 budget levels. 2 Target was reduced to reflect most recent actual given previous two years of performance results were off nearly 30 percent and is not related to

2012 budget levels.

80 
 

 

Department of Health and Human Services Substance Abuse and Mental Health 

Services Administration 

FY 2013 Discretionary State/Formula Grants Protection and Advocacy for 

Individuals with Mental Illness (PAIMI) CFDA #93.138 

State/Territory FY 2011 FY 2012 FY 2013 FY 2013 +/­

FY 2012 

Actual Enacted President’s 

Budget 

Alabama $452,242 $451,372 $457,463 +$6,091 

Alaska 429,900 429,100 429,100 --­

Arizona 634,663 633,443 603,295 -30,148 

Arkansas 429,900 429,100 429,100 --­

California 3,140,608 3,134,571 3,164,025 +29,454 

Colorado 430,374 429,546 429,422 -124 

Connecticut 429,900 429,100 429,100 --­

Delaware 429,900 429,100 429,100 --­

District of Columbia 429,900 429,100 429,100 --­

Florida 1,645,271 1,642,108 1,682,740 +40,632 

Georgia 934,836 933,039 910,176 -22,863 

Hawaii 429,900 429,100 429,100 --­

Idaho 429,900 429,100 429,100 --­

Illinois 1,104,968 1,102,843 1,094,403 -8,440 

Indiana 611,538 610,362 615,360 +4,998 

Iowa 429,900 429,100 429,100 --­

Kansas 429,900 429,100 429,100 --­

Kentucky 429,900 429,100 429,100 --­

Louisiana 429,900 429,100 429,100 --­

Maine 429,900 429,100 429,100 --­

Maryland 457,094 456,215 459,342 +3,127 

Massachusetts 522,362 521,358 510,608 -10,750 

Michigan 943,025 941,212 927,165 -14,047 

Minnesota 450,952 450,085 448,540 -1,545 

Mississippi 429,900 429,100 429,100 --­

Missouri 553,042 551,979 544,616 -7,363 

Montana 429,900 429,100 429,100 --­

Nebraska 429,900 429,100 429,100 --­

Nevada 429,900 429,100 429,100 --­

New Hampshire 429,900 429,100 429,100 --­

81 
Abuse and Mental Health Services Administration 

FY 2013 Discretionary State/Formula Grants Protection and Advocacy for 

Individuals with Mental Illness (PAIMI) CFDA #93.138 

State/Territory FY 2011 

Actual 

FY 2012 

Enacted 

FY 2013 

President’s 

Budget 

FY 2013 +/­

FY 2012 

New Jersey $687,655 $686,332 $686,151 -181 

New Mexico 429,900 429,100 429,100 --­

New York 1,594,281 1,591,215 1,548,197 --­

North Carolina 882,144 880,448 893,640 +13,192 

North Dakota 429,900 429,100 429,100 --­

Ohio 1,071,508 1,069,448 1,059,396 

Oklahoma 429,900 429,100 429,100 --­

Oregon 429,900 429,100 429,100 --­

Pennsylvania 1,101,143 1,099,025 1,101,624 +2,599 

Rhode Island 429,900 429,100 429,100 --­

South Carolina 445,471 444,614 450,934 +6,320 

South Dakota 429,900 429,100 429,100 --­

Tennessee 596,371 595,224 594,323 -901 

Texas 2,209,194 2,204,946 2,271,001 +66,055 

Utah 429,900 429,100 429,100 --­

Vermont 429,900 429,100 429,100 --­

Virginia 658,424 657,158 667,622 +10,464 

Washington 563,850 562,766 571,406 +8,640 

West Virginia 429,900 429,100 429,100 --­

Wisconsin 511,794 510,809 508,521 -2,288 

Wyoming 429,900 429,100 429,100 --­

State Sub-total 33,810,110 33,745,818 33,785,670 +39,852 

Puerto Rico 619,485 618,294 578,070 -40,224 

American Samoa 230,300 229,900 229,900 --­

Guam 230,300 229,900 229,900 --­

American Indian 230,300 229,900 229,900 --­

Northern Marianas 230,300 229,900 229,900 --­

Virgin Islands 230,300 229,900 229,900 --­

Territory Sub-total 1,770,985 1,767,794 1,727,570 -40,224 

Total, States/Territories 35,581,095 35,513,612 35,513,240 -372 

SAMSHA Set-Aside 726,145 724,768 724,760 -8 

Total, PAIMI $36,307,240 $36,238,380 $36,238,000 -$380 

82 
83

Community Mental Health Services Block Grant

(Dollars in Thousands)

FY 2011

Actual

FY 2012

Enacted

FY 2013

President's

Budget

FY 2013 +/-

FY 2012

Mental Health Block Grant $419,932 $459,756 $459,756 $---

PHS Evaluations Fund (non-add) $20,996 $21,039 $21,039 $---

Authorizing Legislation Section 1911 of the Public Health Service Act

FY 2013 Authorization Expired

Allocation Method Formula Grant

Program Description and Accomplishments

Since 1992, the Community Mental Health Services Block Grant (MHBG) distributes funds to

59 eligible States and Territories through a formula based upon specified economic and 

demographic factors. The MHBG distributes funds to eligible States and territories for a variety 

of services and for planning, administration and educational activities under the State plan for 

comprehensive community-based mental health services for children with serious emotional 

disturbance and adults with serious mental illness. Services funded by the MHBG include 

supported employment and supported housing, rehabilitation services, crisis stabilization and 

case management, peer specialist and consumer-directed services, wrap around services for 

children and families, jail diversion programs, and services for special populations (people who 

are homeless, live in rural and frontier areas, and increasingly for military families). The 

majority of these services are not currently covered under Medicaid, Medicare, or commercial 

insurance. The MHBG also supports and encourages States to implement proven practices 

demonstrated in the discretionary portfolio at SAMHSA.

A major provision of the MHBG authorization includes a Maintenance of Effort (MOE) 

requirement wherein States are required to maintain expenditures for authorized activities at a 

level that is not less than the average level of such expenditures maintained by the State for the 

2-year period preceding the year for which the State is applying for a grant. In FY 2010, due to 

significant fiscal reductions among many State budgets, approximately one-third of States and 

Territories had MHBG MOE expenditure shortfalls. The MHBG continues to represent a 

significant “safety net” source of funding for mental health services for some of the most 

vulnerable populations across the country. Despite these state reductions, funding for the MHBG 

has not been increased in many years. The increased FY 2012 enacted amount ensures that 

States and Territories as a whole will receive a modest increase in funding over FY 2011. 

Ninety-five percent of the funds allocated to the MHBG program are distributed to States 

through a formula prescribed by the authorizing legislation. Factors used to calculate the 

allotments include total personal income; State population data by age groups (total population 

data for Territories); total taxable resources; and a cost of services index factor. States and 

territories may expend Block Grant funds only to carry out the annual plan, to evaluate programs
and services carried out under the plan, and for planning, administration, and educational 

activities related to providing services under the plan. States also rely on the MHBG for an array 

of non-clinical activities and services in support of their respective systems of care, e.g., 

planning, coordination, needs assessment, quality assurance, program development, and 

evaluation. 

The legislation provides a five percent set-aside, which is retained by SAMHSA, to assist the 

States and Territories in the development of their mental health systems through the support of 

technical assistance, data collection and evaluation activities. 

The Mental Health State Data Infrastructure Grants are funded under the MHBG five percent setaside. This grant program meets the goal of developing State capacity to collect and report data 

on 21 Uniform Reporting System measures, which include the National Outcome Measures 

(NOMS). With support of the Data Infrastructure Grants and through the Uniform Reporting 

System, State Mental Health Authorities provide annual State mental health system data reports 

to the MHBG program to assure efficiency and effectiveness and to report on program 

performance. Over the past six years, 59 States and Territories have consistently increased in 

their ability to provide data, focusing on use of common measures across States. The Data 

Infrastructure Grant also supports mental health data system development and use of data for 

policy and program decision making. States must match grant awards at a 100 percent level. 

SAMHSA is working to initiate and expand common client-level data collection for both the 

MHBG and the Substance Abuse Prevention and Treatment Block Grant (SABG). 

Most States are currently reporting on NOMS for public mental health services within their 

State. The first compilation of State National Outcome Measures data was submitted to Congress 

in the spring of 2005. State level outcome data for mental health are currently reported by State 

Mental Health Authorities through the Uniform Reporting System. The following outcomes for 

services provided during 2010 show that: 

For the 58 States and Territories that reported data in the Employment Domain, 19 percent of 

the mental health consumers were in competitive employment; 

For the 57 States and Territories that reported data in the Housing Domain, 82.7 percent of 

the mental health consumers were living in private residences; 

For the 59 States and Territories that reported data in the Access/Capacity Domain, State 

mental health agencies provided mental health services for 21.94 people per 1,000 

population. 

For the 52 States and Territories that reported data in the Retention Domain, only 9.2 percent 

of the mental health patients returned to a State hospital within 30 days of State hospital 

discharge; 

For the 54 States and Territories that reported data in the Perception of Care Domain, 72 

percent of adult mental health consumers improved functioning as a direct result of the 

mental health services they received; 

The independent evaluation of the MHBG demonstrates that funds allow States to explore new 

innovations and strategies, target emerging needs with special programs; pay services not 

covered by commercial insurance, Medicaid, or Medicare, that are recovery-focused and 

84 
consumer-centered; and create the administrative, organizational, or service delivery linkages 

that foster community-based, transformed system of mental health services. The study of the 

program has been completed and the final report has been placed on the SAMHSA website 

(http://store.samhsa.gov/products/SMA10-4610). 

Funding History 

FY Amount 

2008 a/ $420,774,000 

2009 a/ $420,774,000 

2010 a/ $420,774,000 

2011 a/ $419,933,000 

2012 a/ $459,756,000 

a/ Includes PHS Evaluation funds of $21 million 

MHBG Budget Request 

The FY 2013 Budget Request for the Mental Health Block Grant (MHBG) is $459.8 million, the 

same as the FY 2012 Enacted Level. This budget will support 59 grants to States and Territories. 

In FY 2012, 1.25 percent of the Budget Authority appropriated for the MHBG will be set aside 

pursuant to section 241 of the Public Health Service Act. In FY 2013, 3.2 percent of the Budget 

Authority appropriated for the MHBG will be set aside pursuant to section 241 of the Public 

Health Service Act. SAMHSA will work to ensure conformance with Section 1920 of the Public 

Health Service Act. These resources will be used to support activities such as evaluation, data 

collection, and technical assistance. State allotments in FY 2013 have been adjusted to reflect 

this change. It is important to maintain the MHBG funding level as it supports and preserves 

vital mental health service infrastructure, which, if lost now, may never be rebuilt. Additionally, 

the MHBG strongly supports the Nation's behavioral health infrastructure in preparation for 

ACA implementation. 

In FY 2011, SAMHSA revised the MHBG and the SABG applications to make them uniform 

where appropriate, to allow States and Territories to submit a plan every two years instead of 

annually, and to allow States and Territories to submit one combined application for both Block 

Grants if they so chose. Twenty-two of the 58 eligible States and two Territories chose to submit 

a combined application for FYs 2012 and 2013. Other States have indicated a desire to do so in 

future years. 

Other changes to the MHBG application for FYs 2012 and 2013 included updated requests and 

guidance to address good and modern behavioral health services and priority populations. The 

Uniform Block Grant application for FYs 2014 and 2015 will be released for public comment in 

the Spring or early Summer of 2012 with completion expected by Fall or early Winter of 

2012/2013. Applications will be due in the Spring of 2013, in advance of most States/Territories 

2014 fiscal year beginning in July of 2013. 

85 
CBHSQ, working with CMHS, plans to use PHS Evaluation Funds for a modification to the 

Drug and Alcohol Services Information System (DASIS) contract in FY 2012 to collect both 

substance abuse and mental health facilities information and client level data. A new DASIStype contract will be awarded in FY 2013 to capture client level data collection and reporting 

capability for both Block Grants. Support for MHBG grantees to support data collection efforts 

is being considered through a new cohort of Data Infrastructure Grants (DIG) or through a 

mechanism related to the new data collection contract. This effort will enhance data reporting for 

the MHBG in the future. 

Data Elements Used to Calculate FY 2013 Allotments 

Population: For the States and the District of Columbia, July 1, 2010 population estimates from 

the U.S. Department of Commerce, Bureau of the Census, Population Estimates Division. For 

American Samoa, Guam, the Northern Mariana Islands, Puerto Rico, and the U.S. Virgin Islands, 

i.e., the current territories, April 1, 2010 population counts from the 2010 Decennial Census from 

the U.S. Department of Commerce, Bureau of the Census. For the Federated States of 

Micronesia, the Marshall Islands, and Palau, i.e., the former territories, July 1, 2010 population 

estimates from the U.S. Department of Commerce, Bureau of the Census, International Data 

Base. 

Total Taxable Resources (TTR): For the States and the District of Columbia, 2007, 2008, and 

2009 Total Taxable Resources estimates from the U.S. Department of the Treasury, Office of 

Economic Policy. 

Total Personal Income (TPI): For the States and the District of Columbia, 2008, 2009, and 

2010 Total Personal Income estimates from the U.S. Department of Commerce, Bureau of 

Economic Analysis. 

Cost of Services Index (CSI): For the States and the District of Columbia. This index is 

determined triennially (i.e., it is revised every third fiscal year rather than annually), and the 

FY2013 allotment calculations use the CSI determined for FY2013-FY2015. For the Wage 

Index of the CSI, wage rates were calculated using earnings and hours worked by place-of-workstate from 2010 American Community Survey (ACS) 1-Year Data for specific occupationindustry categories, as determined by the U.S. Department of Commerce, Bureau of the Census, 

in a special tabulation performed for SAMHSA. For the Rental Index of the CSI, FY2012 

Median Fair Market Rent (FMR) estimates from U.S. Department of Housing and Urban 

Development were used, as well as July 1, 2009 population estimates at the county and 

subcounty levels from the U.S. Department of Commerce, Bureau of the Census, Population 

Estimates Division. 

86 
Outcomes and Outputs 

Measure Year and Most 

Recent Result/ 

Target for Most 

Recent 

Result/(Summary 

Results) 

of 

FY 2011 

Actual/ 

Associated 

Target/ (FY 

2012) 

FY 2012 

Enacted/ 

Associated 

Target/ (FY 

2013) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) +/- FY 

2012 Enacted/ 

Associated 

Target/ (FY 

2013) 

2.3.14 

public 

Number of people served by the 

mental health system (Output) 

FY 2010: 6,835,040 

Target: 6,300,000 

(Target Exceeded) 

6,300,000 6,340,320 6,340,320 Maintain 

2.3.11 Number of evidence based 

practices (EBPs) implemented 1 

(Output) 

FY 2010:4.5 per State 

Target: 4.1 per State 

(Target Exceeded) 

4.2 per State 4.2 per State 4.2 per State Maintain 

2.3.16 Rate of family members 

(children/adolescents) reporting 

positively about outcomes (Outcome) 

FY 2010: 62.1% 

Target: 73% 

(Target Not Met) 

73% 67% 67% Maintain 

2.3.15 Rate of consumers (adults) 

reporting positively about outcomes 

(Outcome) 

FY 2010: 71.1% 

Target: 72% 

(Target Not Met) 

72% 72% 72% Maintain 

1 National average of evidence-based practices per state, based on 35 states reporting. Excludes Medication Management and 

Illness Self-Management, which continue to undergo definitional clarification. 

87 
Measure Year and Most 

Recent Result/ 

Target for Most 

Recent 

Result/(Summary of 

Results) 

FY 2011 

Actual/ 

Associated 

Target/ (FY 

2012) 

FY 2012 

Enacted/ 

Associated 

Target/ (FY 

2013) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) +/- FY 

2012 Enacted/ 

Associated 

Target/ (FY 

2013) 

2.3.81 Percentage of service population 

receiving any evidence based practice 

(Outcome) 

FY 2010: 7.2% 

Target: 7.2% 

(Target Met) 

7.2% 7.2% 7.2% Maintain 

88 
Department of Health and Human Services Substance Abuse and Mental Health Services 

Administration FY 2013 Discretionary State/Formula Grants Community Mental Health 

Services Block Grant Program CFDA #93.958 

State/Territory FY 2011 Actual FY 2012 FY 2013 +/- FY 2012 

Enacted Estimate 

Alabama $6,056,643 $6,551,928 $6,276,657 -$275,271 

Alaska 707,289 765,128 729,005 -36,123 

Arizona 9,597,122 10,381,931 9,617,887 -764,044 

Arkansas 3,694,496 3,996,615 3,998,377 +1,762 

California 53,096,425 57,438,409 57,015,240 -423,169 

Colorado 6,633,747 7,176,225 6,235,472 -940,753 

Connecticut 4,127,256 4,464,764 4,364,681 -100,083 

Delaware 751,221 812,652 986,793 +174,141 

District Of Columbia 752,010 813,506 829,485 +15,979 

Florida 26,455,887 28,619,330 28,302,042 -317,288 

Georgia 13,336,060 14,426,622 13,136,258 -1,290,364 

Hawaii 1,952,865 2,112,561 2,171,042 +58,481 

Idaho 1,820,039 1,968,874 2,359,440 +390,566 

Illinois 15,461,971 16,726,381 16,137,013 -589,368 

Indiana 7,899,482 8,545,466 7,926,963 -618,503 

Iowa 3,317,318 3,588,593 3,494,088 -94,505 

Kansas 3,091,154 3,343,934 3,264,415 -79,519 

Kentucky 5,405,058 5,847,060 6,034,376 +187,316 

Louisiana 5,528,359 5,980,444 5,333,770 -646,674 

Maine 1,625,856 1,758,811 1,717,995 -40,816 

Maryland 7,336,336 7,936,269 8,481,148 +544,879 

Massachusetts 8,144,191 8,810,187 9,342,486 +532,299 

Michigan 12,532,381 13,557,223 13,471,657 -85,566 

Minnesota 6,822,149 7,380,034 6,671,095 -708,939 

Mississippi 3,943,410 4,265,884 3,933,345 -332,539 

Missouri 7,018,889 7,592,862 7,368,338 -224,524 

Montana 1,182,935 1,279,671 1,263,590 -16,081 

Nebraska 1,922,173 2,079,360 2,034,115 -45,245 

Nevada 3,704,316 4,007,238 4,161,472 +154,234 

New Hampshire 1,491,079 1,613,013 1,751,223 +138,210 

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State/Territory FY 2011 Actual FY 2012 FY 2013 +/- FY 2012 

Enacted Estimate 

New Jersey $11,324,910 $12,251,010 $12,095,028 -155,982 

New Mexico 2,371,503 2,565,434 2,599,168 +33,734 

New York 23,126,557 25,017,742 26,377,936 +1,360,194 

North Carolina 11,381,944 12,312,708 12,043,997 -268,711 

North Dakota 734,840 794,932 792,558 -2,374 

Ohio $13,735,192 $14,858,394 $14,194,612 -663,782 

Oklahoma 4,359,258 4,715,738 4,643,466 -72,272 

Oregon 4,973,982 5,380,731 5,629,200 +248,469 

Pennsylvania 14,510,113 15,696,685 15,395,567 -301,118 

Rhode Island 1,366,928 1,478,709 1,663,216 +184,507 

South Carolina 5,882,807 6,363,877 6,166,766 -197,111 

South Dakota 866,033 936,853 883,279 -53,574 

Tennessee 7,779,137 8,415,280 8,268,909 -146,371 

Texas 32,443,238 35,096,299 33,809,945 -1,286,354 

Utah 3,124,776 3,380,306 3,239,831 -140,475 

Vermont 729,303 788,942 782,599 -6,343 

Virginia 10,042,428 10,863,652 10,624,842 -238,810 

Washington 8,558,257 9,258,112 9,558,568 +300,456 

West Virginia 2,368,354 2,562,028 2,560,752 -1,276 

Wisconsin 7,409,959 8,015,911 6,877,044 -1,138,867 

Wyoming 453,861 490,976 463,214 -27,762 

State Sub-total 392,951,497 425,085,294 417,079,965 -8,005,329 

American Samoa 86,505 93,638 81,856 -11,782 

Guam 235,515 254,936 234,955 -19,981 

Northern Marianas 62,916 68,105 79,444 +11,339 

Puerto Rico 5,180,895 5,608,135 5,493,247 -114,888 

Palau 50,000 50,000 50,000 --­

Marshall Islands 85,759 92,831 97,102 +4,271 

Micronesia 139,531 151,038 157,986 +6,948 

Virgin Islands 142,912 154,697 156,882 +2,185 

Territory Sub-total 5,984,033 6,473,380 6,351,472 -121,908 

Total States/Territories 398,935,530 431,558,674 423,431,437 -8,127,237 

SAMHSA Set-Aside 20,996,607 22,713,614 22,285,865 -427,749 

Transfer --­ 5,483,966 14,038,952 +8,554,986 

Total, MHBG $419,932,137 $459,756,254 $459,756,254 $--­

90 
SAMHSA Substance Abuse

Prevention Table of Contents 

SAMHSA/Substance Abuse Prevention

1. Summary of Changes........................................................................ page 93 

2. SAMHSA/Programs of Regional and National Significance........................... page 95 

a. Mandatory Drug Testing ............................................................... page 95 

b. Minority AIDS Initiative (MAI) ...................................................... page 96 

c. Sober Truth on Preventing Underage Drinking Act (STOP Act) ............... page 97 

d. Fetal Alcohol Spectrum Disorder (FASD) .......................................... page 99 

e. Center for the Application of Prevention Technologies (CAPT)...... ......... page 99 

f. Science and Service Program Coordination....................................... page 99 

g. PRNS Mechanism Table by APT ................................................... page 102 

3. Substance Abuse – State Prevention Grants............................................. page 107 

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92
93

SAMHSA Substance Abuse Prevention 

Summary of Changes 

(Dollars in Thousands)

FY2011 

Actual

FY 2012 

Enacted

FY 2012 

President’s 

Budget

FY 2013 

+/- FY 

2012

Substance Abuse Prevention Programs of Regional

and National Significance $75,956 $76,202 $65,877 -$10,325

ACA Prevention Fund (non-add) --- --- 7,000 +7,000

Substance Abuse - State Prevention Grant 451,107 453,980 404,501 -49,479

Total, Substance Abuse Prevention $527,063 $530,182 $470,378 -$59,804

FTEs1 --- 1 1 ---

1 In 2012, SAMHSA will continue to in source positions for activities that are central to SAMHSA’s mission, represent critical 

skills for the agency, and result in overall savings consistent with Office of Federal Procurement Policy guidelines. A total of 98 

positions will be added and fully staffed by the end of FY 2012. These positions are allocated across SAMHSA’s four 

appropriations to reflect the provision of direct program support or to reflect the proration of overhead and indirect costs. The 

additional positions are fiscally neutral.

Substance Abuse Prevention:

The FY 2013 President’s Budget Request for the SAMHSA Substance Abuse Prevention 

appropriation is $470.4 million, a decrease of $59.8 million from the FY 2012 Enacted Level. 

This FY 2013 Total Program Level budget request of $470.4 million includes $463.4 million in 

Budget Authority (a decrease of $66.8 million from FY 2012), and $7.0 million in ACA 

Prevention Funds (an increase of $7.0 million from FY 2012). This is due to funding for STOP 

Act being requested from ACA Prevention Funds in FY 2013 in place of Budget Authority in FY 

2012. The request includes $65.9 million for Programs of Regional and National Significance, a 

decrease of $10.3 million from the FY 2012 Enacted Level. It also includes $404.5 million for 

the Substance Abuse – State Prevention Grant, a decrease of $49.5 million from a comparable 

level in FY 2012. 

The FY 2013 Budget Request for Substance Abuse Prevention includes the following 

decreases: Mandatory Drug Testing (-$0.3 million) 

The FY 2013 request for Mandatory Drug Testing is $4.9 million. This is a decrease of $0.3 

million from the FY 2012 Enacted Level. This minor decrease does not affect this program 

activity overall, and this level of funding will support 3 continuation contracts, as well as 2 new 

contracts.

Fetal Alcohol Spectrum Disorder (FASD) (-$8.8 million)

The FY 2013 request for FASD is $1.0 million. This is a decrease of $8.0 million from the FY 

2012 Enacted Level. This level of funding will enable continued support for related technical 

assistance to the field and collaborative prevention strategies to prevent alcohol use among 

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Center for the Application of Prevention Technologies (CAPT) (-$0.5)
 

The FY 2013 request for CAPT is $7.5 million. This is a decrease of $0.5 million from the FY 

2012 Enacted Level. This level of funding will enable provisional continuation of technical 

assistance to the field in support of delivery of effective prevention programs and practices.
 

Science and Service Program Coordination (-$0.7 million)
 

The FY 2013 request for Science and Service Program Coordination is $4.1 million. This is a
 

decrease of $0.7 million from the FY 2012 Enacted Level. This level of funding primarily
 

supports two key technical assistance contracts that enable SAMHSA to focus on two critical 

issues: assisting Tribes in obtaining support and implementing outreach to complement the 

Tribal Prevention Grant, and development and implementation of policy changes to prevent
 

underage drinking. 

Substance Abuse - State Prevention Grant (-$49.5 million)
 

The FY 2013 request for the Substance Abuse – State Prevention Grant is $404.5 million. This 

is a decrease of $49.5 million from the comparable FY 2012 Enacted Level. The funding will
 

bring substance abuse prevention to a National scale by providing consistent and sustainable
 

support for States and Territories to implement State-wide comprehensive substance abuse
 

prevention strategies and reduce the impact of substance abuse on America’s communities. The
 

reduction is primarily from SPF grants coming to a natural end; no grants will be terminated.
 

Thirty-five SPF State Incentive Grants and five Partnerships for Success (PFS) grants will be 

continued in FY 2013. 

94
 
95

SAMHSA/ Programs of Regional & National Significance 

Substance Abuse Prevention 

(Dollars in Thousands)

Programs of Regional & National Significance

FY 2011 

Actual

FY 2012 

Enacted

FY 2013

President’s 

Budget

FY 2013 +/- 

FY 2012

CAPACITY:

Mandatory Drug Testing 4,855 5,196 4,906 -290

Minority AIDS 41,391 41,307 41,307 ---

Sober Truth on Preventing Underage Drinking (STOP Act) 1 7,009 6,987 7,000 13

ACA Prevention Fund (non-add) --- --- 7,000 7,000

Subtotal, Capacity 53,255 53,490 53,213 277

SCIENCE AND SERVICE:

Fetal Alcohol Spectrum Disorder 9,830 9,802 1,000 -8,802

Center for the Application of Prevention Technologies 8,074 8,059 7,511 -548

Science and Service Program Coordination 4,726 4,780 4,082 -698

Minority Fellowship Program 71 71 71 ---

Subtotal, Science and Service 22,701 22,712 12,664 10,048

Total, CSAP PRNS $75,956 $76,202 $65,877 -10,325

1/The FY 2013 President’s Budget request total of $7.0 million for the STOP Act program is funded by the ACA Prevention 

Fund. 

Authorizing Legislation Section 516, 519B, 519E of the PHS Act 

FY 2013 Authorization Expired

Allocation Method Competitive Grants/Cooperative Agreements

Program Description and Accomplishments

Mandatory Drug Testing

The Federal Drug-Free Workplace Mandatory Drug Testing program, initiated in 1986 by 

Executive Order #12564 and Public Law 100-71 in 1987, provides funding for accreditation and 

ongoing quality assurance of laboratories that perform mandatory drug testing for Federal and 

non-Federal employees across the nation. SAMHSA's Drug Testing mission focuses on the 

elimination of illicit drug use in the Federal workforce through the administration of the National 

Laboratory Certification Program (NLCP) that certifies laboratories for forensic drug testing for 

Federal agencies and some Federally-regulated industries including pre-hire and periodic testing 

for over 400,000 of the approximately 2.2 million non-uniformed service Federal employees, 

such as the Federal Bureau of Investigation, the Drug Enforcement Administration, and many 

others in the Department of Defense and the intelligence agencies. These laboratories provide 

for regulation of workplace testing for the presence of 5 illicit drugs: opiates, PCP, cocaine, 

marijuana, amphetamines. The mandatory drug testing program is further supported by the 

CSAP Workplace Helpline, a toll-free telephone service for business and industry that answers 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

 


 

 


 

 


 

 


 

 

 

 

 

 

 

 

 

 


 

questions about drug abuse in the workplace. The Workplace Helpline receives requests for 

assistance from small business owners who represent the vast majority of enterprise in the 

American economy, and from individuals regarding prescription drugs, illicit drugs, and alcohol 

use. 

The FY 2012 funds for Federal Workplace Drug Testing will be used to include oral fluid as an 

alternative specimen to urine, and also to include additional Schedule II prescription medications 

(e.g., oxycodone, oxymorphone, hydrocodone and hydromorphone) in the drug testing protocol. 

These changes are based on recommendations from the Drug Testing National Advisory Council 

on July 13, 2011. SAMHSA continues to partner with NIH/NIDA to ascertain the scientific 

evidence needed to set standards for the Guidelines, and with FDA and DOT on implementation 

of the Guidelines. 

Minority AIDS Initiative (MAI) 

Implemented in FY 1999, SAMHSA/CSAP’s Minority AIDS Initiative (MAI) supports efforts to 

increase access to substance abuse and HIV prevention services for the highest risk and hardestto-serve racial and ethnic minority populations. Grantees of the MAI must implement integrated, 

evidence-based substance abuse and HIV prevention interventions, including HIV testing, that 

target one or more high-risk populations such as African American women, adolescents, 

individuals who have been released from prisons and jails within the past two years, or MSM. In 

addition, the MAI supports efforts around developing partnerships between public and private 

nonprofit entities as a way to prevent and reduce the onset of substance abuse and transmission 

of HIV among high-risk populations. All grantees are required to use SAMHSA’s Strategic 

Prevention Framework for assessing their community needs; developing their long-range and 

annual strategic plans; implementing their evidence-based interventions; and evaluating 

intervention outcomes and performance. The MAI has funded a total of ten cohorts; currently, 

there are 122 active grants funded from cohorts seven through ten. 

The two most recent cohorts are the Ready-To-Respond Initiative and the Capacity Building 

Initiative (CBI) programs, both initially funded in FY 2010. The Ready-To-Respond Initiative 

(RTR) provides substance abuse and HIV prevention services to at-risk minority populations in 

communities disproportionately affected by HIV/AIDS. The RTR program builds on previous 

accomplishments of MAI grantees by providing evidence-based prevention services and by 

expanding knowledge and experience in developing blended substance abuse and HIV 

prevention practices for these populations. In the CBI, grantees focus on using evidence-based 

prevention strategies and media technology to reach college students. College students comprise 

one-third of the 18-24 year old population in the United States and are particularly at risk for 

substance use and HIV infection. According to data from SAMHSA’s National Survey on Drug

Use and Health, college students in America are more likely to have used alcohol in the past 

month, binge drink, and drink more heavily than their peers not enrolled in school. SAMHSA 

will continue to support the RTR and CBI initiatives in FY 2012. 

In FY 2011, SAMHSA awarded grants for the Minority AIDS Initiative Targeted Capacity 

Expansion Integrated Behavioral Health/Primary Care Network Cooperative Agreements, jointly 

funded with CMHS and CSAT. This grant program facilitates the development and expansion of 

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culturally competent and effective integrated behavioral health and primary care networks, which 

include HIV services and medical treatment, within racial and ethnic minority communities in 

the 11 Metropolitan Statistical Areas and Metropolitan Divisions most impacted by HIV/AIDS. 

Expected outcomes include: reducing the impact of behavioral health problems, HIV risk and 

incidence, and HIV-related health disparities in these areas. SAMHSA will continue to support 

these grants in 2012. 

During FY 2010, data from the cross-site evaluation of the MAI showed that grantees were 

successful in reaching and serving racial/ethnic minorities. Specifically, data showed that MAI 

grantees served larger proportions of Hispanics and African Americans (28.6 percent and 66.4 

percent, respectively) than are represented in the general population (14.6 percent and 12.6 

percent, respectively). In addition, grantees were also successful in serving hard-to-reach 

minority populations such as lesbian, gay, bisexual, and transgender youth and adults; homeless 

adults; and individuals who lacked health coverage at program entry. 

Performance data showed a number of significant accomplishments in FY 2010. For example, 

MAI Grantees provided direct services to a total of 13,833 individuals in FY 2010. Of these, 

4,552 were provided with substance abuse prevention education services—exceeding the annual 

performance target for the third consecutive year. Data also showed that 63.1 percent of adults 

decreased levels of alcohol use between pretest and posttest—marking the third consecutive year 

that the MAI has been able to exceed this specific performance target. Performance data also 

showed a number of opportunities to improve in the areas of nonuser stability for alcohol and 

illicit drug use among program participants. As a result, the two most recent cohorts of the 

MAI—which include the Capacity Building Initiative and the Ready to Respond Initiative—are 

specifically focused on increasing grantees’ capacity to implement integrated, evidence-based 

substance abuse and HIV prevention interventions with high-risk populations. This change in 

focus will ultimately increase program performance in these areas. 

Sober Truth on Preventing Underage Drinking Act (STOP Act) 

The Sober Truth on Preventing Underage Drinking Act (STOP Act) of 2006 is the nation’s first

comprehensive legislation on underage drinking. The Act recognizes underage drinking 

prevention as a public health priority and, as a result, authorizes a number of efforts that all aim 

to reduce the national prevalence of underage drinking. One of the primary components of the 

Act is the STOP Act grant program that provides additional funds to organizations that receive or 

have received grant funds under the Drug Free Communities Act of 1997. Through the STOP 

Act grant program, organizations are able to supplement their current prevention efforts, as well 

as strengthen collaboration and coordination among stakeholders in order to achieve a reduction 

in underage drinking in their communities. The initial program, funded in FY 2008, provided 79 

four year grants to local communities with up to $50,000 per community per year. In FY 2011, a 

total of 99 grants received funding under this initiative. The FY 2012 level of funding supports 

78 new grants for up to $50,000 per grant per year for up to four years. 

Another component of the STOP Act is the National Adult-Oriented Media Public Service 

Campaign, with funding up to $1.0 million in FY 2012. The Underage Drinking Prevention 

campaign educates and urges parents to speak with their children, age 11-15, about underage 

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drinking in order to delay the onset of, and ultimately reduce, underage drinking. Nationwide, 

38.9 percent of the estimated 10 million underage drinkers were provided free alcohol by adults 

21 or older—representing a slight increase from 2009 (2010 NSDUH). Further, research 

continues to show that parents of teens generally underestimate the extent of alcohol used by 

youth and its negative consequences--with the vast majority viewing underage drinking as 

―inevitable.‖ Many parents also find it difficult to know how or when to start a conversation

with their children about underage drinking. Through TV, radio, print, and outdoor activities, 

SAMHSA’s multicultural campaign seeks to overcome parents’ misperceptions about underage

drinking by creating a greater urgency around the issue and encourages them to communicate 

with their children at an early age about alcohol. Parents and viewers are encouraged to visit 

www.stopalcoholabuse.gov, funded through the media campaign, to get information about teens 

and alcohol, as well as tips on how to initiate conversations with their children about underage 

drinking. 

The third important component of the STOP Act is the Federal Interagency Coordinating 

Committee on the Prevention of Underage Drinking (ICCPUD), which includes representatives 

from 15 Federal agencies and is funded at $1.0 million in FY 2012. The ICCPUD provides 

ongoing, high-level leadership on the issue of underage drinking and serves as a mechanism for 

coordinating Federal efforts aimed at preventing and reducing underage drinking. The ICCPUD 

also produces an Annual Report summarizing all programs and policies of Federal agencies 

designed to prevent and reduce underage drinking as well as the State-level activities pertaining 

to underage drinking prevention programs, policies, enforcement efforts, and expenditures. In 

FY 2012, the ICCPUD will work with the Surgeon General’s office to draft a new National

Strategy for Preventing Underage Drinking, updating and expanding the 2007 Surgeon General’s

Call to Action to Prevent Underage Drinking. 

Performance data show that, for two consecutive fiscal years, the STOP Act grant program has 

exceeded targets of increasing the percentage of grantees that show a 5 percent or more reduction 

in past 30-day use of alcohol in at least two grade levels. This accomplishment is significant as 

reducing the prevalence of underage drinking is the primary legislative goal of the STOP Act. 

Additional performance data suggest that the program has demonstrated improvement in the 

percentage of grantees that report increases in levels of parental disapproval of substance use—

showing a nearly 6 percentage point increase from FY 2009. However, the program has not met 

or improved on increasing youth perception of risk of harm—a key predictor to substance use. 

Likewise, the number of deaths as a result of underage drinking remains unchanged at 

approximately 5,000 annually. As part of SAMHSA’s Strategic Initiative around Data,

Outcomes, and Quality, Government Project Officers (GPOs) of all prevention programs have 

been working closely with analysts to identify and discuss challenges and barriers reported by 

grantees. Using a combination of qualitative and quantitative data, GPOs are gaining better 

insight into the needs of grantees and are providing the necessary technical assistance and 

guidance to improve program performance in these areas. 

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Fetal Alcohol Spectrum Disorder (FASD) 

SAMHSA’s Fetal Alcohol Spectrum Disorder programming has focused on identifying and

disseminating information about innovative techniques and effective evidence-based strategies 

for preventing Fetal Alcohol Spectrum Disorder and increasing functioning and quality of life for 

individuals and their families impacted by these disorders. In FY 2012, SAMSHA’s will

emphasize and expand prevention strategies to prevent alcohol use among women of 

childbearing age. 

Center for the Application of Prevention Technologies (CAPT) 

In existence for more than a decade, the Center for the Application of Prevention Technologies 

(CAPT) promotes state-of-the-art behavioral health promotion technologies through three core 

strategies: 1) establishment of technical assistance networks using local experts; 2) development 

of training activities; and 3) innovative use of communication media such as teleconference and 

video conferencing, online events, and Web-based support. These training and technical 

assistance activities are designed to build the capacity of SAMHSA grantees and develop the 

skills, knowledge, and expertise of their prevention workforce. These activities help support the 

delivery of effective prevention programs and practices and the development of accountability 

systems for performance measurement and management. 

During FY 2012, the CAPT expects to deliver approximately 1,400 capacity‐building technical 

assistance services to more than 7,000 people and orchestrate 400 events for 10,000 people. 

Topics include the use of evidence-based environmental strategies to reduce underage drinking, 

the application of behavioral health indicators for substance abuse prevention planning, the use 

of traditional and cultural practices as prevention strategies within indigenous populations, and 

the diffusion of state-of-the-art methods to guide intra-State training and technical assistance 

(T/TA) prevention systems. In addition, the CAPT will develop workforce development 

products, including skills training, fact sheets, and a web-based toolkit; and will provide 

evaluation capacity-building technical assistance to 53 community-based prevention programs 

and to 24 Science-to-Service programs. They also will plan and facilitate a program for special 

populations including Pacific Islanders and Tribal grantees. Finally, the CAPT will develop 

training and materials for SAMHSA special issues, including webinars on best practices, 

epidemiological data, evidence- programs, and evaluation techniques. 

Performance data for the CAPT are captured using common measures with other technical 

assistance activities in the Science and Service Program Coordination category. Footnotes are 

used to identify measures that include CAPT performance data. 

Science and Service Program Coordination 

The Science and Service Program Coordination category primarily encompasses contracts that 

provide technical assistance and training to States, Tribes, communities, and grantees around 

substance abuse prevention. Included in the performance measurement section for this category 

is the Native American Center for Excellence (NACE), and the Underage Drinking Prevention 

Education Initiative (UADPEI). 

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FY Amount 

2008/a $ 81,543,000 

2009/a $ 80,917,000 

2010/a $ 80,733,000 

2011/a $ 75,956,000 

2012/a $ 76,202,000 


 

 

The NACE supports behavioral health outreach activities to Tribal nations and organizations and 

assists them with applying for SAMHSA and other Federal agency grants. In addition, the NACE 

helps Tribes have a clear understanding of the need for coordinating prevention funding, 

establishing and implementing prevention policies and evidence-based programs, utilizing 

strategic planning, and developing the necessary infrastructure to prevent and reduce substance 

use. NACE has developed training and technical assistance to build learning communities of 

tribal members, content experts, and other stakeholders. NACE continues to build content 

expertise and knowledge dissemination in five prevention domains (youth, community, family, 

schools, and Tribal leaders/policy) through routine literature reviews, focused peer-to-peer 

discussion groups, and development of technical papers and abstracts. SAMHSA will continue 

these activities in FY 2012. 

The UADPEI engages parents and other caregivers, schools, communities, all levels of 

government, all social systems that interface with youth, and youth themselves in a coordinated 

national effort to prevent and reduce underage drinking and its consequences. The UADPEI 

supports States and their communities by providing training to improve community organization 

and mobilization; build capacity to prevent and reduce underage drinking in the community; and 

increase sustainability of programs. Through this initiative, more than 50 million families, their 

children, and other youth-serving organizations have been reached through Town Hall Meetings, 

technical assistance, trainings, and a variety of tools and materials. 

During FY 2010, NACE conducted a total of 49 training events and served over 1,000 

individuals. Among activities funded through the UADPEI, over 200,000 individuals were 

reached through Town Hall Meetings, while over 900,000 individuals were reached through 

underage drinking prevention websites. Performance data show that, collectively, the CAPT and 

Science and Service Program Coordination have exceeded their targets around customer 

satisfaction, as well as the proportion of participants who report implementing recommendations. 

Although the programs appear to be providing technical assistance and/or prevention information 

directly to fewer individuals than anticipated, this result reflects efficiencies from the growing 

focus on train-the-trainer models rather than training of individuals. In addition, since the Town 

Hall Meetings under the UADPEI contract occur biannually, numbers served expand in the years 

the meetings occur and contract in alternate years. Targets for FY 2012 and beyond have been 

adjusted to better account for these factors. 

Funding History 

a/ The funding history is based on a comparable basis to previous funding levels to reflect the 

revised budget restructure; the FY 2012 amount is the FY 2012 Enacted Level. 

Substance Abuse Prevention Budget Request 

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101
 

The FY 2013 Budget Request is comprised of $65.9 million at program level with $58.9 million 

from Budget Authority and $7.0 million provided by ACA Prevention Funds. This is a $10.3 

million decrease in Budget Authority, and includes a $7.0 million decrease in Budget Authority 

for the STOP Act. STOP Act funding is being requested from ACA Prevention Funds in FY 

2013 in place of Budget Authority in FY 2012. This level of funding enables the continuation of 

most programmatic activities. The request will support 157 grant and 9 contract continuations, 

as well as 38 new grants and 5 new contracts. 

The FY 2013 Budget Request includes level funding for the following: 

Minority AIDS Initiative request is $41.3 million, the same as the FY 2012 Enacted 

Level, which will support 78 continuation grants, 16 new grants, 2 continuation contracts 

and 1 new contract. This request will support a new cohort of grantees using recycled 

funds that will become available in FY 2013. While SAMHSA is requesting the same 

total amount for Minority AIDS programs in FY 2013 as in FY 2012, the Budget Request 

realigns resources within SAMHSA. CSAP, in collaboration with CMHS and CSAT, will 

support an integrated program to develop and expand culturally competent and effective 

behavioral health and primary care network in order to reduce the impact of behavioral 

health problems, HIV risk, and HIV-related health disparities. 

The STOP Act program request is $7.0 million in the ACA Prevention Fund. This 

reflects a $7.0 million decrease in Budget Authority due to additional STOP Act funding 

being requested from ACA Prevention Funds in FY 2013. This level of funding will 

support 78 continuation grants, 22 new grants, 1 continuation contract, and 1 new 

contract. 

The Minority Fellowship Program request is $0.1 million, the same as the FY 2012 

Enacted Level. These funds will support 1 continuation grant. 

The FY 2013 Budget Request includes decreases for the following (-$10.3 million): 

Mandatory Drug Testing request is $4.9 million, reduced by $0.3 million. These funds 

will support 3 continuation contracts and 2 new contracts. 

The FASD Center of Excellence program request is $1.0 million, reduced by $8.8 

million, for technical support activities. These funds will continue to support prevention 

strategies, in partnership with other activities and mechanisms, to prevent alcohol use 

among women of childbearing age, but will not fund new grants. 

The CAPT program request is $7.5 million, reduced by $0.5 million. These funds will 

enable provisional continuation of technical assistance to the field in support of delivery 

of effective prevention programs and practices. 

Science and Services Program Coordination request is $4.1 million, reduced by $0.7 

million. In FY 2013, SAMHSA is considering aligning the AI/AN Suicide Prevention 

activities with the CSAP efforts in the NACE contract to respond to Tribes’ request for 

more simplified assistance and for a more holistic approach to Tribal prevention efforts. 

A detailed table for all grant and contract continuations and new activities can be found on page 

233. 
102

SAMHSA/ Center for Substance Abuse Prevention

PRNS Mechanism Table by APT

(Dollars in Thousands)

Programs of Regional & National Significance

FY 2011

Actual 

Number

FY 2011

Actual 

Amount

FY 2012

Enacted 

Number

FY 2012

Enacted 

Amount

FY 2013

President’s

Budget 

Number

FY 2013

President’s 

Budget 

Amount

Grants:

Continuations 222 $43,545 156 $40,744 157 $25,019

New/Competing 11 1,112 78 3,887 38 17,760

Subtotal 233 44,657 234 44,631 195 42,779

Contracts:

Continuation 14 28,216 22 21,408 9 10,809

New 3 3,083 1 10,163 5 12,289

Subtotal 17 31,299 23 31,571 14 23,098

Total, CSAP PRNS/1 250 $75,956 257 $76,202 209 $65,877

1/The FY 2013 President’s Budget reques t number and amount totals for CSAP PRNS grants and contracts include $7.0 

million for the STOP Act program, which is funded by the ACA Prevention Fund.
103

Outcomes and Outputs

Program: Minority AIDS Initiative1

Measure Year and Most

Recent Result /

Target for Recent

Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted

Associated Target

(FY 2013)

FY 2013

PB

Associated Target

(FY 2014)

FY 2013

PB Associated

Target

(FY 2014)

+/-

FY 2012

Enacted Associated

Target

(FY 2013)

2.3.56 Number of 

program participants 

exposed to substance 

abuse prevention 

education services 

(Output)

FY 2010: 4,552 

Target:

2,327 

(Target Exceeded) 

1,535 5,7342 3,8913 -1,843 

2.3.82 Percent of 

program participants 

that rate the risk of 

harm from substance 

abuse as great (all 

ages) (Outcome)

FY 2010: 86.9 %4

Target:

86.9 % 

(Baseline)

88% 88% 88% Maintain 

2.3.83 Percent of 

program participants 

who report no use of 

alcohol at pre-test

who remain non-users 

at post-test (all ages) 

(Outcome)

FY 2010: 91.2 % 

Target:

91.2 % 

(Target Met)

91.2% 91.2 % 91.2 % Maintain 

2.3.84 Percent of 

participants who 

report no illicit drug 

use at pre-test who 

remain non-users at 

post-test (all ages) 

(Outcome)

FY 2010: 93.8 % 

Target:

92.6 % 

(Target Exceeded) 

92.6% 92.6 % 92.6 % Maintain 

1 The Minority AIDS Initiative in CSAP is a cohort-based program. As a result, there are observable decreases in targets in various years. For example, FY 

2011 reflects the closeout of Cohort VI and start-up of Cohorts VII and VIII. Targets increase during FY 2012 and FY 2013 to reflect the newly funded 

Cohorts IX and X. However, in FY 2014 targets begin to decrease to reflect the close-out of Cohort VII. 2

Target has been revised from previously reported. Target has been changed to include Cohorts VII, VIII, IX, and X. 3

Decrease in target is due to cohort effects and includes Cohorts VIII, IX, and X. 4

Actual has been revised from previously reported in FY13 HHS–J. 
104

Program: Sober Truth on Preventing Underage Drinking (STOP Act)5

Measure Year and Most

Recent Result /

Target for Recent

Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted

Associated Target

(FY 2013)

FY 2013

PB

Associated Target

(FY 2014)

FY 2013

PB Associated

Target

(FY 2014)

+/-

FY 2012

Enacted Associated

Target

(FY 2013)

3.3.01 Increase the 

percentage of 

coalitions that report 

at least 5% 

improvement in the 

past 30-day use of 

alcohol in at least two 

grades (Outcome)

FY 2010: 67.3% 

Target:

41%

(Target Exceeded) 

46.7% 40%6 40%7 Maintain 

3.3.02 Percentage of 

coalitions that report 

improvement in 

youth perception of 

risk from alcohol in 

at least two grades 

(Outcome)

FY 2010: 45.5% 

Target:

63.4% 

(Target Not Met)

63.4% 60.9%8 60.9%9 Maintain 

3.3.03 Percentage of 

coalitions that report 

improvement in 

youth perception of 

parental disapproval 

on the use of alcohol 

in at least two grades 

(Outcome)

FY 2010: 48.8% 

Target:

56.7% 

(Target Not Met but 

Improved) 

56.7% 54.5%10 54.5%11 Maintain 

5 The STOP Act program provides additional funds to current or prior Drug Free Community (DFC) program grantees to support activities 

targeting underage alcohol use. As is the case with DFC grantees, STOP Act grantees collect performance data using a variety of school and 

community surveys and report them online through the Coalition Online Management and Evaluation Tool (COMET) system every two years, 

thereby affecting the ability to make accurate comparisons of performance from year to year. Lastly, Cohort I of STOP Act will close out at the 

end of FY 2012, and Cohort II will close out at the end of FY 2013. As a result, targets for performance measures have been decreased to reflect 

cohort effects. 6

Target has been changed from previously reported. The target has been decreased due to cohort effects. Now, the target reflects close–out of

Cohort I and start of Cohort III. 7

Target reflects close–out of Cohort II and the start up of future cohorts. 8

Target has been changed from previously reported. Target has been decreased due to cohort effect. This target now reflects th e close–out of

Cohort I and start of Cohort III. 9

Target reflects close–out of Chort II and start up of future cohorts. 10Target has been changed from previously reported. Target has been decreased due to cohort effect. Now, the target reflects close–out of Cohort

I and start of Cohort III. 11Target reflects the close–out of Cohort II and the start up of future cohorts.
105

Program: Prevention - Science and Service Activities12

Measure Year and Most

Recent Result /

Target for Recent

Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted

Associated Target

(FY 2013)

FY 2013

PB

Associated Target

(FY 2014)

FY 2013

PB Associated

Target

(FY 2014)

+/-

FY 2012

Enacted Associated

Target

(FY 2013)

2.3.71 Number of 

people provided 

technical assistance 

(TA) services 

(Output)13

FY 2010: 22,568 

Target:

21,117 

(Target Exceeded) 

13,143 13,143 Retiring Measure N/A 

2.3.74 Percentage of 

TA recipients who 

reported that the TA 

recommendations 

have been fully 

implemented 

(Outcome)14

FY 2010: 57.4% 

Target:

54%

(Target Exceeded) 

60.2% 60.2% Retiring Measure N/A 

2.3.75 Number of 

persons receiving 

prevention 

information directly 

(Output)15

FY 2010: 205,289 

Target:

120,223 

(Target Exceeded) 

73,768 36816 Retiring Measure N/A 

1.4.09 Increase the 

number of 

individuals trained by 

SAMHSA’s Science 

and Services Program 

(Output)

FY 2010: 51,41517

Target: N/A 

(Historical Actual)

37,896 37,049 31,473 -5,576

2.3.36 Percent of 

participants that

N/A N/A N/A Baseline December N/A 

12 Measures in the Science and Service category include the Center for Application of Prevention Technology (CAPT), Native American Center 

of Excellence (NACE), Prevention Fellowships and Town Hall Meetings (THM) 13 Updated to include CAPT, NACE, Fetal Alcohol Spectrum Disorders (FASD) Center of Excellence, MEI and Prevention Fellowships 14 Includes only CAPT. 15 Includes THM and FASD Center of Excellence. Town Hall Meetings occur in even-numbered years. 16 Again, the Town Hall Meetings are conducted only in even–numbered years, so the targets in odd–numbered years reflect only the direct TA

activities of FASD Center of Excellence. 17 All component programs have now reported; therefore, data are revised from previously reported.
106

Measure Year and Most

Recent Result /

Target for Recent

Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted

Associated Target

(FY 2013)

FY 2013

PB

Associated Target

(FY 2014)

FY 2013

PB Associated

Target

(FY 2014)

+/-

FY 2012

Enacted Associated

Target

(FY 2013)

agree or strongly

agree that the training 

or TA provided 

increased their 

capacity to do 

prevention work 

(Outcome)

--- --- --- 2014 ---

2.3.37 Percent of 

participants that 

agree or strongly 

agree that the training 

or TA provided 

increased their 

organization’s 

capacity to do 

prevention work 

(Outcome)

N/A N/A N/A Baseline December

2014

N/A 

Grant Award Table

(whole dollars) FY 2011 FY 2012 FY 2013

Number of Awards 225 222 200

Average Award $197,427 $197,833 $174,355

Range of Awards $25,000-$500,000 $25,000-$500,000 $25,000-$500,000
107

Substance Abuse – State Prevention Grants

(Dollars in Thousands)

FY 2011

Actual

FY 2012

Enacted

FY 2013

President’s

Budget

FY 2013

+/-

FY 2012

Substance Abuse - State Prevention Grants $451,107 $453,980 $404,501 -$49,479

Strategic Prevention Framework (non-add) 110,417 109,754 60,275 -49,479

Authorizing Legislation Section 516 of the PHS Act 

FY 2013 Authorization N/A

Allocation Method Discretionary Grants

Substance Abuse Prevention at a National Scale

The new Substance Abuse – State Prevention Grant program will bring the success realized in 

SAMHSA’s discretionary grant programs and evidence-based programs described in the IOM 

report to a broader scale. The SA-SPGs draw upon the strengths of both Block Grant and 

discretionary approaches. Through the funding realigned from the 20 percent prevention setaside of the current formula-based Substance Abuse Prevention and Treatment Block Grant 

(SABG) program, SAMHSA will ensure funding availability and decision-making authority for 

prevention at the State level. The SA-SPG program will build on the success of the planning 

approach promoted through the SPF-SIG, bringing it to scale nationwide and shepherding 

successes into the next step of development 

Program Description and Accomplishments

The 2009 Institute of Medicine report, Preventing Mental, Emotional, and Behavioral Disorders 

Among Young People, defined "public health" as what society must do to keep people healthy 

and further defined it as involving the collection of data, assessment of problems, and assurance 

of health protection. Established in 2004, the Strategic Prevention Framework embodies this 

public health approach and provides grantees with a targeted framework to implement a 

comprehensive approach to substance abuse prevention in communities across our Nation. 

Strategic Prevention Framework State Incentive Grants (SPF SIG)

Through the Strategic Prevention Framework (SPF), SAMHSA provides vital resources to 

States, Federally recognized Tribes and U.S. Territories to prevent the onset and reduce the 

progression of substance abuse, including childhood and underage drinking; reduce substance 

abuse-related problems; and build prevention capacity and infrastructure at the State, Tribal, 

Territorial and Community levels. The unique aspect of the SPF program is that it requires 

grantees to follow a five-step framework to select, implement, and evaluate prevention efforts. 

Specifically, SPF grantees conduct a community needs assessment; mobilize and/or build 

capacity to implement prevention efforts; develop a comprehensive strategic plan; implement 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

evidence-based prevention programs and infrastructure development activities; and monitor 

implementation and evaluate outcomes. These series of implementation principles can be 

operationalized at the Federal, State and community levels. The grants use the SPF five-step 

strategic planning process to achieve their goals. By the end of FY 2011, a total of 49 states, 

Washington, D.C., 8 territories, and 19 Native American Tribes and tribal organizations have 

received this award. In FY 2012, SAMHSA will continue to support these efforts by awarding 35 

continuation grants. 

Performance Analysis 

Performance data has shown a number of significant accomplishments for the SPF SIG program. 

For example, at the state-level, grantees of the SPF SIG program have been able to meet or 

exceed targets related to decreasing past 30-day alcohol use among minors and adults for three 

consecutive years. In addition, performance data have also shown that 28 percent of grantees 

showed improvement in levels of perceived risk of harm from substance use among adults; 54 

percent showed improvement in rates of peer disapproval; and roughly half the grantees 

demonstrated improvement in rates of past 30-day illicit drug use (excluding marijuana) among 

youth and adults. At the community-level, data have shown that over 50 percent of funded 

communities with outcome data showed reductions in underage alcohol use, binge drinking, and 

DUI-related arrests. 

Available performance data have also shown areas of opportunity within the SPF SIG program. 

Through its technical assistance capacity SAMHSA continues to actively work with States, 

Tribes, and their sub-recipients to maintain the program’s significant accomplishments while 

also improving performance in areas where targets were not met. 

Partnerships for Success (PFS) 

In FY 2009, SAMHSA initiated a new five-year grant program under the Strategic Prevention 

Framework that builds on the success of the SPF-SIG program. In FY 2009, 4 grants were 

awarded, and in FY 2010, one additional award was made. The Partnerships for Success 

program is designed to provide eligible States, Tribes and U.S. Territories with grants to achieve 

a quantifiable decline in State-wide substance use disorders rates and incorporates an incentive 

award to grantees that have reached or exceeded their prevention performance targets. Eligible 

applicants are the immediate Office of the Chief Executive (e.g., Governor) in those States and 

U.S. Territories that have previously received a cohort one or cohort two SPF-SIG from 

SAMHSA. Applicants were strongly encouraged to leverage and coordinate other Federal and 

State-generated funding to ensure sufficient impact to meet their performance targets. Grantees 

have demonstrated that their State has the infrastructure and capacity to reduce substance abuse 

problems in a three-year period. In FY 2012, SAMHSA will continue to support these efforts by 

awarding 5 continuation grants. 

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Performance Analysis 

To date, available data shows that grantees of the PFS program have funded a total of 55 sub 

recipient communities. Given that performance measures for this program focus on determining 

improvement in a number of areas (such as leveraging of funds), these data will not be available 

until later in FY 2012 as two data points are needed to determine baseline improvement rates. 

State Prevention Enhancement Grants (SPE) 

In FY 2011, SAMHSA designed the State Prevention Enhancement (SPE) grant program to 

strengthen and extend SAMHSA’s national implementation of the Strategic Prevention 

Framework (SPF) in order to bring the SPF to scale and support communities of high need 

nationwide. These one-year grants required Single State Agency Directors and Tribal leaders to 

assess their current prevention infrastructure, identify gaps and develop a long-term, data-driven 

plan to restructure, enhance, and further strengthen their State and Tribal systems to better meet 

the needs of their communities. Grantees were required to ensure that their SPE projects were 

closely aligned with the four goals listed in SAMHSA Initiative #1: Prevention of Substance 

Abuse and Mental Illness. In FY 2011, 46 grants were awarded for a total of $22.5 million. 

Eligible applicants were States, Territories, the District of Columbia, and Federally-recognized 

American Indian/Alaska Native Tribes or Tribal organizations. In FY 2012, this one-year 

program came to a natural end. 

Prevention Achievement Grants (PAG) 

In FY 2012, SAMHSA plans to institute the $31.0 million Prevention Achievement Grants 

(PAG) program, which is intended to bring the successful SPF SIG program to scale, build on 

States’ prevention systems and plans, and support community level substance abuse prevention 

programming to address national needs. It is expected that the PAG will fund SAPT Block 

Grant recipients to support data-driven, evidence-based prevention programming at the 

community level to prevent underage drinking, prescription drug misuse and abuse, and other 

illicit drug use among youth as demonstrated by state and community needs. Grantees will be 

required to use at least 85 percent of PAG funds, and any other leveraged resources, such as 

Block Grant funds, to fund and support communities that demonstrate a need for prevention 

programming in these areas—thereby creating a direct alignment between priorities at the 

Federal, State, and Community levels. 

109
 
110

Funding History 

FY Amount

2008 $0

2009 $0

2010 $0

2011 $451,107,000

 2012/a $453,980,000

a/ The FY 2012 amount is the FY 2012 Enacted Level. 

Substance Abuse Prevention Budget Request 

The FY 2013 Budget request is $404.5 million, a $49.5 million decrease from the comparable 

FY 2012 Enacted Level. The amount includes funding from the 20 percent prevention set-aside 

requirement of the SABG, and fully funding the $60.3 million of FY 2013 continuation grants 

under the current Strategic Prevention Framework program. The final allocation for the 

Substance Abuse – State Prevention Grant will be determined by a formula that will be 

developed after discussion with State and Territory representatives and based on amounts 

appropriated by Congress. 

In 2004, Congress provided funding to implement the Strategic Prevention Framework (SPF), a 

comprehensive public health approach that provides grantees with a targeted methodology to 

implement substance abuse prevention in communities across our Nation. The FY 2013 

President’s Budget proposes the Substance Abuse – State Prevention Grant (SA-SPG), a new 

grant program building on the construct of the SPF and focusing exclusively on preventing 

substance abuse. The SA-SPG program represents a significant advance in the Nation’s 

approach to prevention in several ways. 

The SA-SPG program will provide funding for all interested States, Territories, and the District 

of Columbia in order to: 

Use a comprehensive, data-driven planning process to identify and address problems in 

communities.

Create a sustainable and predictable source of prevention funding that will focus on high 

risk communities and youth. 

 Move the Strategic Prevention Framework State Incentive Grant (SPF-SIG) approach to 

scale across the Nation. 

Hold States and the Territories accountable for achieving measurable outcomes for their 

residents. 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

 

 


 

 

 


 

 

 


 

 

 


 

 

 


 

Background 

The 2009 IOM report on Preventing Mental, Emotional, and Behavioral Disorders Among 

Young People provides evidence that a set of risk and protective factors affects the development 

of substance use and mental disorders in youth. For example, children with strong coping skills 

who live in safe, stable families and communities tend to abuse substances and develop certain 

mental illnesses less often than those who have not had these advantages. Evidence also 

demonstrates that community risk and protective factors, such as poverty, violence, gangs, etc. 

can have a negative impact on the healthy development of young people in neighborhoods. 

Community norms, values, and beliefs are powerful factors in fostering positive community and 

youth development. Collectively, improvements in these areas can prevent/reduce the impact of 

substance abuse on America’s communities.

Moving Substance Abuse Prevention to a National Scale 

The new Substance Abuse – State Prevention Grant program will bring the success realized in 

SAMHSA’s discretionary grant programs and evidence-based programs described in the IOM 

report to a broader scale. The SA-SPGs draw upon the strengths of both Block Grant and 

discretionary approaches. First, through the funding realigned from the 20 percent prevention 

set-aside of the current formula-based Substance Abuse Prevention and Treatment Block Grant 

(SABG) program, SAMHSA will ensure funding availability and decision-making authority for 

prevention at the State level, as these funds have been expended historically. At the same time, 

SAMHSA has guided the development of data-driven, needs-based, evidence-proven methods 

for facilitating substance abuse prevention through its discretionary programs, including the SPFSIG and the Partnerships for Success. The new SA-SPG program integrates key aspects of both 

approaches in a systematic and logical approach designed to avoid duplication, improve 

coordination, increase accountability, prioritize high-need communities, and focus exclusively on 

substance abuse prevention, and it will require States and Territories to support and fund 

communities in achieving outcomes, thereby helping to address that part of SAMHSA’s mission

that aims to reduce impact of substance abuse on America’s communities. The SA-SPG 

program will build on the success of the planning approach promoted through the SPF-SIG, 

bringing it to scale nationwide and shepherding successes into the next step of development. 

The SA-SPG will provide formula-based prevention funding to ensure that every State and 

Territory is able to make prevention of substance abuse a priority. The SA-SPG will allow 

States and Territories to address substance abuse prevention at three levels: universal prevention, 

which addresses populations at large; selected prevention, which targets subgroups of the 

population that share common risks of developing substance use disorders (such as children with 

a family history of substance abuse or schools in high poverty areas); and indicated prevention, 

which addresses individuals with multiple risk factors, early symptoms, or behaviors that are 

precursors for substance abuse, but who do not require treatment for substance abuse. 

States/Territories and communities will be able to utilize environmental and individual 

prevention approaches – as well as approaches to change the culture and community beliefs 

about substance use, including alcohol and/or tobacco – in order to achieve measurable results. 

This new program supports SAMHSA’s Prevention of Substance Abuse and Mental Illness 

Strategic Initiative, which aims to support individuals, families, schools, workplaces, 

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communities and States and Territories take action to strengthen protective factors and reduce 

risk factors for substance abuse (including tobacco) and to create environmental changes that 

support community living without the use of substances of abuse. 

Structure and Required Activities: 

The SA-SPG program will consist of formula-based discretionary grants available to all States 

and Territories. States and Territories will continue to be eligible for these funds beyond the 

initial award so long as they meet the requirements of renewal applications, provide the 

necessary annual reports, and show continued movement toward implementing their approved 

plans. 

Each State and Territory will be required to develop a data-driven strategic plan based on 

national, State/Territory, and local epidemiological data sources. The plan, which must be 

approved by SAMHSA, must utilize proven Strategic Prevention Framework (SPF) processes 

that reflects the results of an assessment of need, a review of the resources and capacity within 

the State or Territory and in local communities, a plan for carrying out the strategy, monitoring 

the strategy as it is implemented, and an evaluation to identify strengths and weaknesses. It must 

address, at a minimum: substance abuse, underage drinking (including adults’ providing alcohol

to minors) and binge drinking; prescription drug misuse and abuse; and tobacco use; and it 

should provide for coordinated services for children, youth, and young adults from birth through 

age 25 (including working with schools). While the focus will be on youth, additional age 

groups, conditions, and services may be addressed if supported by the State or Territory needs 

assessment. 

States and Territories will be required to allocate a minimum of 80 percent of the funds to local 

communities to organize and carry out the prevention activities identified in the State plan while 

addressing the particular needs of high risk communities. Each community selected for funding 

will be responsible for aligning its programming with the plan. In carrying out these activities, 

the State or Territory, and communities receiving these funds will be required to establish a 

comprehensive community plan that utilizes evidence-based and/or proven successful programs, 

policies or practices. In addition, separate funding directly to communities will continue to be 

available through STOP Act grants and through grants to Drug Free Community (DFC) 

coalitions through funds appropriated to the White House Office of National Drug Control 

Policy (ONDCP) and administered by SAMHSA. 

States and Territories will be allowed to retain up to 15 percent of the funds for State-level 

activities to achieve positive outcomes, including the operation of a State or Territory prevention 

advisory group, epidemiological work group, training and technical assistance to communities, 

data collection and evaluation, development and dissemination of State or Territory-wide 

messages and resources, and oversight and monitoring of funded communities. States and 

Territories will be able to use funds for coordinated workforce development, training in 

evidence-based practices, and the development of coordinated infrastructure and service delivery 

systems in high need communities. Up to an additional five percent of the grant funds may be 

used for administrative costs. 

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113

Other Considerations:

Using the CSAP discretionary authority, the new SA-SPG can increase accountability for 

Federal funds. It will require States and Territories to monitor and report on specific program 

outcomes; while continuing to allow States and Territories to use SABG funds for additional 

prevention services should they so choose and plan to do so. 

The SA–SPG maintains funding to continue the activities under the remaining Strategic 

Prevention Framework State Incentive Grants (SPF-SIG) and Partnerships for Success (PFS) 

grants at the FY 2010 level. As these grants reach their natural conclusion, the funds that 

supported them will be added to the SA-SPG and distributed to all interested States and 

Territories by a formula. All current SPF-SIG and PFS grants will end by FY 2015. 

Outcomes and Outputs

Strategic Prevention Framework (SPF) State Incentive Grants

Measure Year and Most

Recent Result /

Target for Recent

Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted

Associated Target

(FY 2013)

FY 2013

PB

Associated Target

(FY 2014)

FY 2013

PB Associated

Target

(FY 2014)

+/-

FY 2012

Enacted Associated

Target

(FY 2013)

2.3.21 Decrease 

underage drinking as 

measured by an 

increase in the 

percent of SPF SIG 

states that show a 

decrease in 30-day 

use of alcohol for 

individuals 12 – 20 

years old (Outcome)

FY 2010: 56% 

Target:

50.4% 

(Target Exceeded) 

55.9% 50% 50% Maintain 

2.3.23 Percent of 

SPF SIG states 

showing a decrease 

in state level 

estimates of survey 

respondents (age 12- 

17) who report 30- 

day use of other

FY 2010: 48% 

Target:

59.8% 

(Target Not Met)

67.6% 52% 52% Maintain 
 

 

 

 

 

 

 

 

 

 

2.3.25 Percent of SPF SIG states showing an 

increase in state level estimates of survey 

respondents (age 12-17) who rate the risk of 

substance abuse as moderate or great (Outcome) 

Measure 

illicit drugs 

(Outcome) 

FY 2010: 18% 

Target:78.7% 

(Target Not Met) 

Year and Most 

Recent Result / 

Target for Recent 

Result /(Summary 

of 

Result) 

50% 

FY 2011 Actual 

Associated Target 

(FY 2012) 

50% 

FY 2012 Enacted 

Associated Target 

(FY 2013) 

50% 

FY 2013 PB 

Associated 

Target 

(FY 2014) 

Maintain 

FY 2013 PB 

Associated 

Target (FY 2014) 

+/­

FY 2012 Enacted 

Associated 

Target (FY 2013) 

2.3.28 Number of evidence-based policies, 

practices, and strategies implemented 

(Output) 

FY 2010: 2,161 

Target:234 

(Target 

Exceeded) 

274 25018 250 Maintain 

Partnerships for Success 

Measure Year and Most Recent FY 2011 Actual FY 2012 Enacted FY 2013 PB Associated FY 2013 PB Associated 

Result / Target for Associated Target Associated Target (FY Target Target (FY 2014) 

Recent (FY 2012) 2013) (FY 2014) +/­

Result /(Summary of FY 2012 Enacted 

Result) Associated Target (FY 

2013) 

18Target decreased due to cohort effect. Reflects close–out of Cohort III and IV. 

114 
115

Measure Year and Most

Recent Result /

Target for Recent

Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted

Associated Target

(FY 2013)

FY 2013

PB

Associated Target

(FY 2014)

FY 2013

PB Associated

Target

(FY 2014)

+/-

FY 2012

Enacted Associated

Target

(FY 2013)

2.3.78 Number of 

communities who 

report an increase in 

prevention activities 

that are supported by 

collaboration and 

leveraging of funding 

streams (Output)

19 N/A 75 5020 50 Maintain 

2.3.79 Number of 

EBPs implemented 

by sub-recipient 

communities 

(Output)

FY 2010: 946 

Target:

946

(Baseline)

300 950 950 Maintain 

2.3.80 Number of 

sub-recipient 

communities that 

improved on one or 

more targeted NOMs 

indicators (Outcome)

21 N/A 30 5022 5023 Maintain 

19 Baseline for this measure has been changed from FY 2010 TO FY 2011 so that two years of reporting can be 

compared to show if there has been an increase in prevention activities. 20Target has been revised from previously reported. Target was decreased from previous fiscal year to reflect the funding status of this program

(i.e. continuation only). 21 Baseline for this measure has been changed from FY 2010 to FY 2011 so that two years of reporting can be 

compared to show if there has been an improvement in one or more of the NOMs indicators. 22Target has been revised from previously reported. 23Target has been revised from previously reported.
 

 

 

 

 

 

 

 

 

 

 

Substance Abuse-State Prevention Grants 

Measure Year and Most 

Recent Result/ 

Target for Most 

Recent 

Result/(Summary 

of Results) 

FY 2011 

Actual/ 

Associated 

Target/ (FY 

2012) 

FY 2012 

Enacted/ 

Associated 

Target/ (FY 

2013) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) 

FY 2013 PB/ 

Associated 

Target/ (FY 

2014) +/- FY 

2012 Enacted/ 

Associated 

Target/ (FY 

2013) 

2.3.85 Number of persons served (Output) N/A N/A N/A TBD N/A 

2.3.90 Increase the percentage of grantees that 

report a decrease in the number of youth ages 12­

20 who reported drinking alcohol in the past 30 

days (HHS Strategic Plan Measure) (Outcome) 

N/A N/A N/A TBD N/A 

2.3.97 Percent of grantees that report a decrease in 

the number of youth ages 12-25 who reported 

nonmedical use of prescription-type drugs in the 

past 

30 days (Outcome) 

N/A N/A N/A TBD N/A 

116 
117

SAMHSA Substance Abuse

Treatment Table of Contents 

SAMHSA/Substance Abuse Treatment 

1. Summary of Changes........................................................................ page 119 

2. SAMHSA/Programs of Regional and National Significance........................... page 121 

a. Opioid Drug Treatment/Regulatory Activities.......................................page 122 

b. Screening, Brief Intervention and Referral to Treatment (SBIRT) ...............page 123 

c. Targeted Capacity Expansion-General (TCE-General) ........................... page 124 

d. Strengthening Treatment Access & Retention (STAR) ........................... page 125 

e. Recovery Community Services Program (RCSP) ................................. page 126 

f. Access to Recovery (ATR) ......................................................... page 126 

g. Children & Family Programs......................................................... page 127 

h. Treatment Systems for Homelessness................................................page 128 

i. Minority AIDS ........................................................................ page 129 

j. Criminal Justice Activities ............................................................ page 130 

k. Addiction Technology Transfer Centers (ATTCs) .................................page 132 

l. Minority Fellowship Program (MFP) ................................................page 133 

m. Special Initiatives/Outreach ......................................................... page 134 

3. PRNS Mechanism by APT Table ......................................................... page 137 

4. Substance Abuse Block Grant ............................................................ page 149 
Page intentionally left blank 

118 
119

SAMHSA Substance Abuse

Treatment Summary of

Changes (Dollars in thousands)

FY 2011 

Actual

FY 2012 

Enacted

FY 2013 

President’s 

Budget

FY 2013

+/- 

FY 2012

Substance Abuse Treatment Programs of Regional and

National Significance $431,389 $425,243 $364,139 -$61,104

ACA Prevention Fund (non-add) 25,000 25,000 30,000 +5,000

PHS Evaluation Funds 2,000 2,000 --- -2,000

Substance Abuse Block Grant 1,441,962 1,456,106 1,448,630 -7,476

PHS Evaluation Funds (non-add) 79,200 79,200 71,724 -7,476

Total, Substance Abuse Treatment $1,873,351 $1,881,349 $1,812,769 -$68,580

1 In 2012, SAMHSA will continue to in source positions for activities that are central to SAMHSA’s mission, represent critical 

skills for the agency, and result in overall savings consistent with Office of Federal Procurement Policy guidelines. A total of 98 

positions will be added and fully staffed by the end of FY 2012. These positions are allocated across SAMHSA’s four 

appropriations to reflect the provision of direct program support or to reflect the proration of overhead and indirect costs. An 

additional 13 positions have been added to provide support to the ten HHS regions. These positions are allocated across three 

appropriations to reflect the provision of technical assistance to the states as well as linking SAMHSA with its sister operating 

divisions in the regions. The additional positions are fiscally neutral.

The FY 2013 President’s Budget Request for the Substance Abuse Treatment appropriation is

$1.8 billion, a decrease of $68.6 million from the FY 2012 Enacted Level. This FY 2013 Total 

Program Level budget request of $1.8 billion includes $1.7 billion in Budget Authority (a 

decrease of $64.1 million from FY 2012), $71.7 million in PHS Evaluation funds (a decrease of 

$9.5 million from FY 2012), and $30.0 million in ACA Prevention Funds (an increase of $5.0 

million from FY 2012). The request includes $364.1 million for Programs of Regional and 

National Significance, a decrease of $59.1 million from the FY 2012 Enacted Level. The request 

also includes $1.4 billion for the Substance Abuse Block Grant. This includes $1.4 billion in 

Budget Authority and $71.7 million in PHS Evaluation Funds. This is a decrease of $7.5 million 

in PHS Evaluation Funds from FY 2012. 

The FY 2013 Budget Request for Substance Abuse Treatment includes the following 

decreases: Screening, Brief Intervention and Referral to Treatment: (-$23.2 million)

The FY 2013 request for Screening, Brief Intervention and Referral to Treatment is $30.0 

million, all funded from the Prevention and Public Health Fund of the ACA. This reflects a 

decrease of $23.2 million in Budget Authority from the FY 2012 Enacted level, partially offset 

by the $5.0million increase in ACA Prevention Funds. While the overall funding for this 

program is reduced in FY 2013, it will allow for the continuation of all grant programs and the 

funding of several new cohorts of grants enabling the program to continue to serve individuals at 

the same levels as in past years. These services will be brought to scale by the SAPT block grant 

moving forward.
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 

Targeted Capacity Expansion – General: (-$14.7 million)
 

The FY 2013 request for Targeted Capacity Expansion – General is $13.3 million. This is a
 

decrease of $14.7 million from the FY 2012 Enacted Level. While the overall funding for this 

program is reduced in FY 2013, it will allow for the continuation of all grant programs enabling 

the program to continue to serve individuals and provide much needed services. These services
 

will be brought to scale by the SAPT block grant moving forward.
 

Access to Recovery: (-$4.5 million)
 

The FY 2013 request for Access to Recovery is $93.8 million. This is a decrease of $4.5 million
 

from the FY 2012 Enacted level. While the overall funding for this program is reduced in FY 

2013, it will allow for the continuation of all grant programs enabling the program to continue to 

serve individuals and provide much needed services. These services will be brought to scale by
 

the SAPT block grant moving forward.
 

Minority AIDS: (-$13.5 million)
 

The FY 2013 request for Minority AIDS is $52.4 million. This is a decrease of $13.5 million
 

and offset by the increase of $13.5 million in Mental Health Minority AIDS. While SAMHSA is 

requesting the same total amount for Minority AIDS programs in FY 2013 compared FY 2012,
 

the Budget Request realigns resources within SAMHSA to enhance the capacity to collaborate
 

on HIV/AIDS prevention and treatment efforts across HHS. CSAT, in collaboration with CMHS
 

and CSAP, will support an integrated program to develop and expand culturally competent and 

effective behavioral health and primary care network in order to reduce the impact of behavioral 

health problems, HIV risk, and HIV-related health disparities.
 

Substance Abuse Block Grant: (-$7.5 million)
 

The FY 2013 request for the Substance Abuse Block Grant is $1.5 billion. This is a decrease of
 

$7.5 million in PHS Funding from the FY 2012 Enacted Level. 

120 
121

SAMHSA/Programs of Regional and National Significance

Substance Abuse Treatment

(Dollars in Thousands)

Programs of Regional & National Significance

FY 2011

Actual

FY 2012 

Enacted

FY 2013

President 

Budget

FY 2013

+/- 

FY 2012

CAPACITY:

Co-occurring State Incentive Grants (SIGs) $4,173 $--- $--- $---

Opioid Treatment Programs/Regulatory Activities 8,553 8,886 8,886 ---

Screening, Brief Intervention and Referral to Treatment 53,662 53,187 30,000 -23,187

a/ACA Prevention Fund (non-add) 25,000 25,000 30,000 +5,000

TCE-General 28,033 27,980 13,256 -14,724

Pregnant & Postpartum Women 15,878 15,970 15,970 ---

Strengthening Treatment Access and Retention 1,775 1,672 1,000 -672

Recovery Community Services Program 5,236 2,445 2,445 ---

Access to Recovery 98,954 98,268 93,776 -4,492

Children and Family 30,670 30,620 29,678 -942

Treatment System for Homeless 41,650 41,571 41,571 ---

Minority AIDS 65,988 65,863 52,359 -13,504

Criminal Justice Activities 65,188 66,903 65,135 -1,768

Sub Total, Capacity 419,760 413,365 354,076 -59,289

SCIENCE AND SERVICE:

Addition Technology Transfer Centers 9,081 9,064 8,081 -983

Minority Fellowship Program 547 546 546 ---

Special Initiative/Outreach 2,000 2,267 1,436 -831

Sub Total, Science and Service 11,628 11,877 10,063 -1,814

TOTAL, PRNS $431,389 $425,243 $364,139 -$61,104

a/ Includes $25.0 million in ACA Prevention Funds in FY11 and FY12 and $30.0 million in ACA Prevention Funds in 

FY13. 

Authorizing Legislation Section 506, 508, 509, 514 of the PHS Act

FY 2013 Authorization Expired

Allocation Method Competitive Grants/Cooperative Agreements/Contracts
Program Description and Accomplishments 

Opioid Drug Treatment/Regulatory Activities 

SAMHSA/CSAT funds a number of contracts that support its regulatory efforts and monitoring 

activities of opioid treatment programs. In FY 2012, SAMHSA will fund the continuation of 2 

grants and 12 contracts. The contracts include: 

SAMHSA certifies Opioid Treatment Programs (OTPs) that use Methadone, Subutex, or 

Suboxone to treat patients with opioid dependence. SAMHSA carries out this responsibility by 

enforcing the regulations that established the accreditation-based system, and it is accomplished 

in coordination with the Drug Enforcement Administration (DEA), States, Territories, and the 

District of Columbia. An OTP must comply with applicable State licensing requirements to 

operate as an OTP and must meet regulatory requirements set forth in Title 42 Code of Federal 

Regulations Part 8 (42 CFR Part 8). Within the regulations there is also a requirement for each 

OTP to achieve formal accreditation by a SAMHSA/CSAT recognized accreditation body. 

SAMHSA will also continue supporting the Physician Clinical Support System-Methadone, a 

national mentoring network offering support (clinical updates, evidence-based outcomes, and 

training) to physicians and other medical professionals in the appropriate use of methadone for 

the treatment of chronic pain and opioid addiction. This program also addresses the nation’s rise

in methadone-associated deaths that has been spurred by misuse/abuse, and fatal drug 

interactions involving methadone and other prescription medications, over the counter 

medications, and illicit drugs 

SAMHSA will also continue funding the Physician Clinical Support System-Buprenorphine, a 

program designed to assist practicing physicians that wish to incorporate into their practices the 

treatment of prescription opioid and heroin dependent patients using the medication 

buprenorphine. The goal of this program is to expand access to office-based buprenorphine 

treatment by first providing expert education and training to physicians on the appropriate use of 

buprenorphine, and certify their eligibility to treat opioid dependent patients. 

SAMHSA will also continue funding the Opioid Treatment Technical Assistance Program 

(OTTAP), of which the primary objective is to educate and prepare OTPs to achieve 

accreditation by SAMHSA’s approved accreditation bodies. Accreditation has been shown to 

improve treatment and access to treatment for patients and provides the opportunity for OTPs to 

incorporate best practices in their treatment programs. Other goals include improving OTP 

administration and management, increasing staff retention, providing more OTP staff training, 

increasing availability of comprehensive services and emergency services, and improving patient 

outcomes. Even though most OTPs have been able to achieve initial accreditation 

(approximately 97 percent of over 1,160 active OTPs are accredited), continuing technical 

assistance is considered necessary to assist OTPs in maintaining accreditation, as they are subject 

to re-survey, occurring at least triennially. 

122 
Screening, Brief Intervention and Referral to Treatment (SBIRT) 

Screening, Brief Intervention and Referral to Treatment (SBIRT) was initiated in 

SAMHSA/CSAT in FY 2003, using cooperative agreements to expand and enhance the State or 

Tribal organization’s continuum of care. The purpose of the program is to integrate screening, 

brief intervention, referral, and treatment services within general medical and primary care 

settings. According to SAMHSA’s National Survey on Drug Use and Health (NSDUH), in 2009 

approximately 21 million people who needed treatment for a substance use disorder did not 

receive it. Of those people, 95 percent did not feel they needed treatment. Therefore, most 

people with or at risk for a substance use disorder are unlikely to seek help from the specialty 

treatment system. 

The SBIRT cooperative agreements require grant recipients to effect practice change throughout 

the spectrum of medical practice. This is achieved through implementation of SBIRT programs 

in all levels of primary care, including hospitals, trauma centers, health clinics, nursing home, 

employee assistance programs, and school systems. Practice change is also envisioned as 

altering the educational structure of medical schools by developing and implementing SBIRT 

curriculum as standard and permanent practice. 

Substance abuse is one of our Nation’s most significant public health challenges, and the SBIRT 

approach can intervene early in the disease process before individuals achieve dependency, and 

can motivate the addicted client to engage in substance abuse treatment. Research and clinical 

experience supports the use of the SBIRT approach to provide effective early identification and 

interventions in primary care and general medical settings. Early identification can decrease 

total healthcare costs by arresting progression toward addiction. SBIRT also can identify 

persons with more serious problems and encourage them to obtain appropriate specialty 

treatment services. 

Since the beginning of this program, more than 1.4 million individuals have been screened. Of 

those, 19 percent required a brief intervention, brief treatment, or referral to specialty treatment 

programs. In 2008, in an effort to incorporate SBIRT into general health care practice, 11 grants 

were awarded to embed SBIRT training and practice in medical residency programs. In 2009, an 

additional six grants were awarded, increasing the number of medical residency programs to 17. 

In FY 2010, SAMHSA/CSAT supported continuation of eight State SBIRT grants and seventeen 

Medical Residency SBIRT Training grants. In 2011, over 213,000 clients were served by the 

SBIRT Program. The percentage of clients reporting abstinence at follow-up tripled compared to 

the percentage reporting abstinence at baseline. 

SBIRT has great future potential for promoting changes to the entire primary care medical 

service delivery system. In FY 2012, SAMHSA will continue to diversify settings in which the 

SBIRT program would be expected to make an impact on health outcomes to include dentistry, 

pediatrics and adolescent care organizations, community health and mental health agencies, and 

other locations where primary care services are offered. As funding for new grants is reduced, 

efforts are underway to identify other funding streams to take this practice to scale. For example, 

new diagnostic codes have been adopted by 16 U.S. States, making it easier for doctors to get 

reimbursed for screening Medicaid patients. Likewise, alcohol screening is now available to 

123 
Medicare beneficiaries as a preventive service without cost. In FY 2012, SAMHSA will fund 

the continuation of 27 SBIRT grants and two contracts as well as three new multi-year grants 

funded out of the ACA Prevention Fund and will continue to monitor the progress of the three 

FY 2011 multi-year ACA Prevention Fund grants. 

Targeted Capacity Expansion-General (TCE-General) 

Targeted Capacity Expansion (TCE-General) program was initiated in FY 1998 to help 

communities’ bridge gaps in treatment services. TCE funding supports grants to units of State 

and local governments and tribal entities to expand or enhance a community’s ability to provide

rapid, strategic, comprehensive, integrated, community-based responses to a specific, welldocumented substance abuse capacity problem. Since inception, TCE grants have been awarded 

to address the following targeted populations or urgent, unmet and emerging treatment needs: 

American Indian and Alaska Natives, Asian Americans, Pacific Islanders, rural areas, 

methamphetamine abuse, e-therapy, grassroots partnerships, and other populations. 

In FY 2011, SAHMSA funded Grants to Expand Care Coordination through the Use of Health 

Information Technology (HIT) in Targeted Areas of Need. The purpose of this program is to 

leverage technology to enhance and/or expand the capacity of substance abuse treatment 

providers to serve persons in treatment who have been underserved because of lack of access to 

treatment in their immediate community due to transportation concerns, an inadequate number of 

substance abuse treatment providers in their community, and/or financial constraints. The use of 

HIT, including web-based services, smart phones, and behavioral health electronic applications 

(e-apps), and Telehealth will expand and/or enhance the ability of providers to effectively 

communicate with persons in treatment and to track and manage their health to ensure treatment 

and services are available where and when needed. Grantees will use technology that will 

support recovery and resiliency efforts and promote wellness. In FY 2012, SAMHSA will fund 

the continuation of 46 grants and 6 contracts as well as up to 3 new multi-year funded Health IT 

grants. 

Pregnant & Postpartum Women (PPW) 

Women with substance use disorders and their children, particularly those living at or near the 

poverty line, are among the most vulnerable of populations, and they often have histories of 

physical violence, sexual abuse, co-occurring mental health disorders, and HIV/AIDS. Their 

children often have multiple health, developmental, and social problems, and are at risk for 

neglect, abuse, and removal from their families and communities. The risk of infant mortality 

and premature births is highly correlated with a pregnant mother’s substance abuse, lack of

prenatal care, and demographic factors, such as poverty and a lower level of education. 

The national treatment infrastructure has not kept pace with the demand or complexity of needs 

experienced by this population, such as access to primary health care, mental health care, social 

and recovery support services. Services are also often lacking for their minor children impacted 

by the perinatal and environmental effects of maternal substance use and abuse. 

SAMHSA/CSAT’s Pregnant and Postpartum Women (PPW) program has supported gender and 

124 
culturally specific treatment service grants for pregnant, postpartum, and other parenting women. 

Using a family-centered trauma informed treatment approach in residential and community 

settings, with women and their minor children at the center, the program has focused on the 

strengths and resources of the entire family, supporting sustained recovery for individual family 

members, coordinating with services in the community, and improving overall family 

functioning. In FY 2011, the PPW program funded a new cohort of grantees and in FY 2012 

another cohort of grantees will be funded. Data shows that the percentage of women reporting 

abstinence at six month follow-up doubled compared to those reporting abstinence at intake. 

Employment also showed large increases with the percentage tripling from intake to follow-up. 

In FY 2012, SAMHSA will fund the continuation of 20 grants and 1 contract as well as up to 6 

new grants. 

Strengthening Treatment Access & Retention (STAR) 

CSAT joined with the Robert Wood Johnson Foundation (RWJF) in an initiative to substantially 

increase client access and retention using process improvement methods. Under a program titled 

Network for the Improvement of Addiction Treatment (or NIATx), CSAT awarded 13 

Strengthening Treatment Access and Retention (STAR) grants and RWJF awarded 27 Paths to 

Recovery grants to support implementation of organizational improvements that included: 

streamlining client intake, assessment and appointment scheduling procedures; eliminating 

paperwork duplication; extending clinic hours; contacting client no shows; eliciting customer 

feedback; and using clinical protocols (e.g., motivational interviewing and motivational 

incentives to engage clients during the initial phase of treatment). The NIATx initiative 

demonstrated that process improvement skills can be successfully transferred to treatment 

organizations. Grantees also participated in a learning network that included semi-annual 

learning sessions, process improvement coaching, web resources, information sharing, and peerto-peer learning opportunities. 

Based on the NIATx program success, CSAT funded a follow-on effort in 2006, the STAR –

State Implementation (STAR-SI) program, an infrastructure initiative that promotes State-level 

implementation of process improvement methods to improve access to and retention in 

outpatient treatment. Under STAR-SI, program grantees have: (1) used process improvement 

methods to improve both State and treatment agency level organizational processes that impact 

client access to and retention in outpatient substance abuse treatment services; (2) developed 

provider and payer capacity to implement process improvement methods through the operation 

of peer-to-peer learning networks; (3) partnered with outpatient treatment providers, including, 

when applicable, the State treatment provider association and key fiscal intermediaries, in 

program design and implementation; and (4) implemented performance management systems to 

track progress and provide feedback to participating treatment providers on performance 

outcomes. 

In FY 2010 and FY 2011, STAR initiative provided technical assistance and support to six 

SAMHSA/CSAT discretionary grant programs and over 50 treatment organizations to improve 

client access, retention and handoffs to other levels of care. STAR also conducted a learning 

collaborative with over 300 treatment providers on how to improve third party billing practices 

125 
in anticipation of the transition to increasing Medicaid clients under health care reform. In FY 

2011, STAR initiative participated in the National Quality Improvement SAAS Conference and 

NIATx Leadership. In FY 2012, SAMHSA will fund the continuation of 1 contract to continue 

to provide technical assistance to the field. 

Recovery Community Services Program (RCSP) 

The Recovery Community Services Program (RCSP) responds to the need for community-based 

recovery support services that help prevent relapse and promote long-term recovery. Such 

services can reduce the strain relapse places upon the already overburdened treatment system and 

minimize the negative effects of relapse when it does occur, as well as contribute to a better 

quality of life for people in recovery and their families and communities. The purpose of the 

RCSP is to design and deliver peer-to-peer recovery support services that help to prevent relapse 

and promote sustained recovery from alcohol and drug use disorders. 

The RCSP program has targeted a variety of underserved groups including women; gay, lesbian, 

and transgender populations; African-American; Latino; rural populations; persons recently 

released from incarceration; the homeless; and adolescents. In addition, the RCSP program 

serves family members and allies of individuals in recovery. The primary targets for the RCSP 

initiative are people with a history of alcohol and/or drug problems who are in or are seeking 

recovery. RCSP grants provide a wide range of services such as peer coaching, peer support 

groups, life skills workshops, peer-led resource connector programs for housing, employment, 

educational assistance, vocational rehabilitation and training, leadership development, alcohol 

and drug free events, and recovery drop-in centers. In FY 2011 the RCSP program provided 

funding to new grantees; 80 percent of clients served reporting being abstinent at follow-up; 

35 percent reported being employed; 57 percent reported being housed and 99 percent reported 

not being involved in the CJ system. In FY 2012, SAMHSA will fund the continuation of 6 

grants and 1 contract. 

Access to Recovery (ATR) 

Access to Recovery (ATR) provides grants to States, Tribes, and Tribal organizations to carry 

out voucher programs that expand substance abuse treatment capacity and promote choice 

among clinical treatment and recovery support providers in order to facilitate client recovery 

from substance abuse. The objectives of the program are to expand substance abuse treatment 

capacity by increasing the number and types of providers (including faith-based and grass-roots 

providers), to allow clients to play a more significant role in the development of their treatment 

plans through the use of electronic vouchers, and to link clinical treatment with critical recovery 

support services such as childcare, transportation, and mentoring. The populations served 

through ATR include the following: youth, users of methamphetamine, individuals involved with 

the criminal justice system, and women with dependent children. ATR enhances accountability 

by measuring outcomes and monitoring data to deter fraud and abuse. 

Since 2004, ATR has funded a total of 69 grants in a total of 3 cohorts: 15 three-year grants were 

awarded in FY 2004, 24 three-year grants were awarded in FY 2007, and 30 four-year grants 

were awarded in FY 2010. ATR is designed to: (1) allow recovery to be pursued through 

126 
personal choice and many pathways; (2) require grantees to manage performance based 

outcomes that demonstrate client successes; and, (3) expand capacity by increasing the number 

and types of providers who deliver clinical treatment and/or recovery support services. The 

recommended target is 225,000 clients for this third cohort, which began in FY 2010, with 

approximately 33,500 to be served in the first year, 70,750 clients to be served in the two 

subsequent years, and 50,000 to be served in the final year. In its first year of operation, this 

cohort of ATR has exceeded its target of 33,500 having served over 47,000 clients. In FY 2012, 

SAMHSA will fund the continuation of 30 grants and 1 contract. 

Children & Family Programs 

SAMHSA/CSAT’s Adolescent Treatment grants are designed to address the gaps in substance 

abuse services by providing services to adolescents and their families/primary caregivers using 

previously proven effective practices that are family centered. 

Forty-eight grantee sites across the nation are implementing the Assertive Community 

Reinforcement Approach and the Assertive Continuing Care (ACRA/ACC) treatment 

interventions. ACRA and ACC were developed with funding from SAMHSA/CSAT and the 

National Institute on Alcohol Abuse and Alcoholism (NIAAA), and have proven effective in 

building community capacity for family centered treatment. These approaches are in the public 

domain, allow for cost-effective training of multiple staff, and are amenable to a train-thetrainers approach, ensuring sustainability over time. 

The Family Centered Treatment grantees are receiving training and ongoing coaching for their 

clinical supervisors and clinicians that will lead to certification in the ACRA/ACC intervention 

model. In addition, each site has received training and certification to conduct a standardized biopsychosocial clinical assessment that identifies substance use disorders, co-occurring mental 

health disorders, and family support and functioning. Utilizing this intensive process ensures 

that a standardized implementation of the intervention is completed. Important lessons to be 

learned from these grantee sites include how to effectively implement and sustain best and 

proven practices in community based agencies. SAMSHA will fund new adolescent treatment 

grants in FY 2012 to further the use of effective family-centered treatment approaches while 

supporting connections between locally based treatment systems and their state, tribal, or 

territorial infrastructure. 

In addition to the Adolescent Treatment grant programs, SAMHSA/CSAT has been 

collaborating with the Administration for Children and Families (ACF) through an inter-agency 

agreement to fund a National Center on Substance Abuse and Child Welfare. The vast majority 

of children, particularly infants, who are placed in protective custody, have a parent with a 

substance use disorder. Thus, it is imperative that child welfare, substance abuse treatment 

providers, and the courts work efficiently together. Activities of this National Center include indepth technical assistance to States, working more closely with legislators and Governors’

offices, forging more extensive partnerships with family drug courts, and planning greater 

emphasis on work with Tribes. ACF grantees will be able to draw upon SAMHSA Technical 

Assistance provided to the Child Welfare and Substance Abuse Treatment fields, including 

grantees awarded under an ACF grant program entitled “Targeted Grants to Increase the Well

127 
Being of and to Improve the Permanency Outcomes for Children Affected by Methamphetamine 

and Other Substance Abuse”, referred to as Regional Partnership grants. In FY 2012, funding 

will support the Women, Youth and Families Task Force contract in addition to funding the 

continuation of 34 grants and 2 contracts as well as 12 new grants. 

Treatment Systems for Homelessness 

CSAT manages two grant portfolios under its Grants for the Benefit of Homeless Individuals 

(GBHI) program funded solely by CSAT, both of which provide focused services to individuals 

with a substance use disorder or who have co-occurring substance use and mental health 

disorders. 

The GBHI program enables communities to expand and strengthen their substance abuse 

treatment services for homeless (including chronically homeless) individuals with substance 

abuse disorders, or with co-occurring substance abuse disorders and mental illness and move 

them to permanent supportive housing. In addition, CSAT provides funds for expansion and 

strengthening substance abuse treatment services for homeless, alcohol-dependent persons who 

have histories of public inebriation, frequent emergency room visits, arrests, mental illness, or 

co-occurring substance use and mental health disorders. 

Through this grant program, grantees link substance abuse treatment services with housing 

programs and other services (e.g. mental health treatment, primary care). Funds support direct 

services, including the following types of activities: conducting outreach and pre-service 

strategies to expand access to treatment services to underserved populations; purchasing or 

providing direct treatment (including screening, assessment, and care management) services for 

populations at risk; purchasing or providing “wrap-around” services; and collecting data using

specified tools and standards to measure and monitor substance abuse treatment services and 

costs. More specifically, programs are encouraged to implement evidence-based practices that 

result in treatment outcomes such as abstinence from alcohol and substance use, reduced 

criminal justice system involvement, employment, and stable housing. 

In FY 2008, consistent with congressional intent, CSAT began allocating part of its GBHI funds 

for grants that address services in supportive housing (SSH), funded jointly with CMHS. Like 

CSAT’s GBHI grants for the homeless population, the SSH grants seek to expand and strengthen

treatment services for persons who are homeless by providing linkages to appropriate treatment 

for substance use or other support services. CSAT defines services in supportive housing for the 

purposes of the SSH grants as housing that is permanent, affordable, and linked to health, mental 

health, employment, and other support services. This approach combines long-term, 

community-based housing assistance and intensive individualized treatment and recovery 

support services to chronically homeless individuals with substance use disorders. It is a costeffective combination of affordable housing with substance abuse treatment services that helps 

people live more stable, productive lives and leads to reductions in substance use. 

The GBHI and SSH grants are complementary approaches that provide a comprehensive 

response to homeless persons living with substance use. Both support the implementation of 

effective, evidence-based practices, and the combination of the two approaches allows CSAT to 

128 
support communities in reaching their homeless populations in need of treatment wherever they 

are found, whether in supportive housing or other community-based settings. 

Since the inception of the GBHI program, CSAT homeless grants have served over 49,300 

individuals. The currently active portfolio has served over 13,500 individuals. Each grantee 

collects information on the clients that are served through the grant funds. The information is 

entered into a Web-based data system that allows for tracking and accountability of grantee 

performance on the goals outlined in the grant proposal. Outcome data available for a subset of 

clients served by the program through the active GBHI grantees show that individuals 

demonstrate: 

78.3 percent increase in employment or engaging in productive activities; 

138 percent increase in persons with a permanent place to live in the community; 

46 percent increase in no past months substance use; 

In 2011 SAMHSA/CSAT in collaboration with CMHS awarded grants for Cooperative 

Agreements to Benefit Homeless Individuals. The major goal of the program is to ensure that 

the most vulnerable individuals who are chronically homeless receive access to sustainable 

permanent housing, treatment, and recovery supports through mainstream funding sources. This 

grant program builds on the success of the previous SAMHSA SSH program and SAMHSA 

GBHI program. In FY 2012, SAMHSA will fund the continuation of 95 grants and 2 contracts. 

Minority AIDS 

Minority AIDS grants are awarded to community-based organizations with two or more years of 

experience in the delivery of substance abuse treatment and related HIV/AIDS services. Funded 

programs target one or more of the following high-risk substance abusing populations: African 

American, Hispanic/Latino, and/or other racial/ethnic minority communities; women, including 

women with children; adolescents; men who inject drugs; and individuals who have been 

released from prisons and jails within the past two years. 

In addition to providing substance abuse treatment services, pre-treatment services are provided, 

including the provision of literature and other materials to support behavior change, facilitation 

of access to drug treatment, HIV/AIDS testing and counseling services, and the provision of 

other medical and social services available in the local community. 

In FY 2011, SAMHSA/CSAT’s TCE/HIV program served approximately 6,200 individuals. Of 

these individuals, approximately 70 percent were between the ages of 25 and 54 years. 

Approximately 31 percent identified themselves as Hispanic/Latino in ethnicity; 46 percent as 

African American; 22 percent white; 1 percent Asian, Native Hawaiian, or Pacific Islander; and 

4 percent as American Indian/Alaska Native. 

In FY 2011, SAMHSA awarded grants for the Minority AIDS Initiative Targeted Capacity 

Expansion Integrated Behavioral Health/Primary Care Network Cooperative Agreements, jointly 

funded with CMHS and CSAP. This grant program facilitates the development and expansion of 

culturally competent and effective integrated behavioral health and primary care networks, which 

129 
130 

include HIV services and medical treatment, within racial and ethnic minority communities in 

the 11 Metropolitan Statistical Areas and Metropolitan Divisions most impacted by HIV/AIDS. 

Expected outcomes include: reducing the impact of behavioral health problems, HIV risk and 

incidence, and HIV-related health disparities in these areas. SAMHSA will continue to support 

these grants in 2012. 

In FY 2012, SAMHSA will fund the continuation of 74 grants and 5 contracts as well as a new 

cohort of 64 grants to target areas of highest need based on the most recently available HIV 

epidemiological data. 

Criminal Justice Activities 

Criminal justice activities include grant programs which focus on diversion, alternatives to 

incarceration, and re-entry from incarceration for adolescents and adults with substance use 

disorders, and/or co-occurring substance use and mental disorders. Criminal justice program 

grantees are tasked with providing a coordinated and comprehensive continuum of programs 

and services to help members of the target population become productive, responsible and law 

abiding citizens. Data show positive improvements in outcomes of clients served by the CJ 

portfolio. For example, in 2011, abstinence increased by over 62 percent from intake to followup; CJ involvement decreased by 11.7 percent; employment and housing increased by 37 percent 

and 30 percent respectively. 

Drug Courts 

Problem solving courts are designed to combine the sanctioning power of courts with effective 

treatment services for a range of populations and problems such as alcohol and/or drug use, child 

abuse/neglect or criminal behavior, mental illness, and veterans issues. In 2007, the criminal 

justice system was the largest single source of referrals to substance abuse treatment. As 

treatment drug courts and other problem solving courts addressing drug and other behavioral 

health-related issues are being established at a high rate, communities are challenged to find 

sufficient substance abuse treatment and recovery support resources for people referred by the 

courts. 

The number of such courts in the nation with a focus on drug treatment has increased, from 

1,200 in 2005 to over 2,400 in 2011. Even with the increase in the availability of these courts, 

there is a limited amount of treatment, mental health, and recovery support services available. 

Approximately 10 percent of individuals in need of substance abuse treatment within the 

criminal justice system actually receive treatment as part of their justice system supervision. 

In FY 2010, SAMHSA/CSAT funded 8 new Juvenile Treatment Drug Court grants for three 

years at an average cost of $325,000 per year. There were also three new Juvenile Treatment 

Drug Court grants that were funded in collaboration with the Department of Justice (DOJ)/Office 

of Juvenile Justice and Delinquency Prevention (OJJDP) and in partnership with Robert Wood 

Johnson for four years at an average cost of $200,000 per year. This collaborative program was 

initiated in FY 2009, with the award of three grants. These funds will provide services to 

support substance abuse treatment, assessment, case management, and program coordination for 
those in need of treatment drug court services. Priority for the use of funding will be given to 

address gaps in the continuum of treatment. 

In FY 2010, SAMHSA/CSAT funded 17 new Adult Treatment Drug Court grants for three years 

at an average cost of $325,000 per year. Also in FY 2010, SAMHSA and DOJ/Office of Justice 

Programs /Bureau of Justice Affairs (BJA) developed a joint program to enhance court services, 

coordination, and substance abuse treatment capacity of adult drug courts. The purpose of this 

joint initiative is for applicants to submit one application that outlines a comprehensive strategy 

for enhancing drug court capacity. SAMHSA and BJA jointly funded 28 new Adult Treatment 

Drug Court grants. Each grantee was awarded one separate grant from each agency, representing 

an innovative braided funding opportunity. This collaboration was modeled after the successful 

SAMHSA and DOJ/OJJDP collaborative Juvenile Treatment Drug Court grant program. 

In 2010 SAMHSA started the Children Affected by Methamphetamine/Family Treatment Drug 

Court program. These grants provide a Child Case Coordinator to link available communitybased social services resources that will focus on the trauma to the youngest victims caused by 

substance abuse/methamphetamine use in the family and concurrent criminal justice 

involvement. This program will provide a collaborative approach to child case coordination of 

services for these children of methamphetamine-addicted parents by including judges, treatment 

providers, child welfare specialists, and attorneys. In FY 2010, SAMHSA/CSAT funded 12 

grants at $370,000 per year for up to four years. 

In FY 2011, SAMHSA awarded grants to Develop and Expand Behavioral Health Treatment 

Court Collaboratives through collaboration with the Center for Mental Health Services. 

SAMHSA's vision of a Behavioral Health Treatment Court Collaborative (BHTCC) in the justice 

system is one that supports treatment and recovery support for people with behavioral health 

conditions and that improves public health and public safety by transforming the behavioral 

health system at the community level. The purpose of the BHCC grant program is to allow State 

and local criminal and dependency courts serving adults more flexibility to collaborate with the 

other judicial components and the local community treatment and recovery providers to better 

address the behavioral health needs of adults who are involved with the criminal court system. 

In FY 2012, SAMHSA will continue to provide technical assistance and support States and 

communities in implementing flexible solutions to address substance abuse, mental illnesses, and 

co-occurring disorders in the criminal justice system through collaboration between the Center 

for Substance Abuse Treatment and the Center for Mental Health Services. SAMHSA will 

continue its partnership with DOJ in FY 2012 to award additional Adult Treatment Drug Court 

grants which braid support for substance abuse treatment services from SAMHSA with support 

for court operations from DOJ. SAMHSA will also award new grants to support drug courts 

with a special focus on high priority populations and systems. SAMHSA will also award new 

grants to support drug courts with a special focus on high priority populations and systems. A 

cohort of these new grants will include a focus on teen courts which will serve the substance 

abuse treatment needs of youth. In FY 2012, SAMHSA will fund the continuation of 53 grants 

and 3 contracts as well as 81 new grants. 

131 
Offender Re-entry Program 

Research shows that the most positive gains made as the result of prison-based treatment rapidly 

dissipate if the individual is not linked to effective community-based services upon return to the 

community. In FY 2002, with the number of reentering offenders totaling over 625,000 persons, 

Federal agencies began to respond to the accompanying public safety and public health issues by 

funding new programs such as the Serious and Violent Offender Re-entry Initiative and the 

Prisoner Re-entry Initiative. SAMHSA participated as a Federal partner in both of these 

initiatives. In FY 2004, SAMHSA’s Young Offender Re-entry Program (YORP) was initiated 

with the awarding of 12 grants to expand and enhance treatment capacity for juveniles and young 

offenders returning to their communities from correctional or detention facilities. This offender 

re-entry initiative was designed to facilitate reintegration into the community by providing prerelease screening, assessment, and transition planning in institutional corrections settings and 

linking clients to community-based treatment and recovery services upon release. In FY 2005, a 

second cohort of 13 grants was funded as part of an $11 million effort to respond to the 

escalating number of alcohol and drug involved offenders returning to the community. 

The Offender Re-entry Program (ORP) grants provide screening, assessment and comprehensive 

treatment and recovery support services to offenders reentering the community, as well as 

offenders who are currently on or being released from probation or parole. In FY 2009, 

SAMHSA/CSAT funded 24 new ORP grants and 18 in FY 2010. These grants are funded for 

three years at an average cost of $400,000 per year. 

SAMHSA and DOJ/Bureau of Justice Assistance share a mutual interest in supporting and 

shaping offender re-entry-treatment services, as both agencies fund “offender re-entry”

programs. These two Agencies have a longstanding partnership regarding criminal justicesubstance abuse treatment issues. SAMHSA and DOJ/Bureau of Justice Assistance have 

developed formal agreements to further encourage and engage in mutual interests and activities 

related to criminal justice-treatment issues. SAMHSA and DOJ/Bureau of Justice Assistance 

will continue to plan and coordinate relevant activities. Offender Re-entry Program grantees are 

expected to seek out and coordinate with local Federally-funded offender re-entry initiatives, 

including DOJ/Bureau of Justice Assistance’s Prisoner Re-entry Initiative or “Second Chance

Act” offender re-entry programs, as appropriate. In FY 2012, SAMHSA will fund the 

continuation of 29 grants and 3 contracts as well as 9 new grants. 

Addiction Technology Transfer Centers (ATTCs) 

The Addiction Technology Transfer Center (ATTC) Network is comprised of one national 

coordinating center and fourteen geographically dispersed regional ATTCs covering all States, 

the District of Columbia, Puerto Rico, the Virgin Islands, and U.S. Territories in the Pacific. The 

Regional Centers support national activities and implement programs and initiatives in response 

to regional needs, decreasing the gap in time between the release of new scientific findings and 

evidence-based practices and the implementation of these interventions by front-line clinicians. 

ATTCs disseminate evidence-based and promising practices to addictions treatment/recovery 

professionals, public health/mental health personnel, institutional and community corrections 

professionals, and other related disciplines. The ATTC program dissemination models include 

132 
133

technical assistance; training events; a growing catalog of educational and training materials; and 

an extensive array of Web-based resources created to translate the latest science for adoption into 

practice by the substance use disorders treatment workforce. The ATTCs are highly responsive 

to emerging challenges in the field. Data show that over 25,000 people were trained in 2011, 

exceeding the target of 20,516. In FY 2012, SAMHSA will fund the continuation of 1 contract 

as well as a new cohort of up to 15 new grants geographically consistent with HHS’ 10 regional 

offices in order to coordinate SAMHSA services, technical assistance and workforce training and 

development with other HHS Operating Divisions such as HRSA, CMS, ACF, and the Regional 

Public Health Administrators.

Minority Fellowship Program (MFP)

In a partnership among CMHS, CSAP and CSAT, this program increases the knowledge of 

issues related to ethnic minority mental health and substance use disorders, as well as improves 

the quality of mental health and substance abuse prevention and treatment delivered to ethnic 

minorities by providing stipends to graduate students to increase the number of culturally 

competent behavioral health professionals who teach, administer, conduct services research, and 

provide direct mental health/substance abuse services to underserved minority populations. 125 

individuals were trained in FY 2009. Since its start in 1973, the MFP has helped to support 

doctoral-level training of ethnic minority psychiatrists, psychologists, psychiatric nurses, and 

social workers. These individuals often serve in key leadership positions in mental health and 

substance abuse direct services, including supervision, direct services, services research, training, 

and administration. In FY 2012, SAMHSA will fund the continuation of the Minority 

Fellowship grant. 
134

Special Initiatives/Outreach

Special Initiatives/Outreach activities include: a grant program for Historically Black Colleges 

and Universities (HBCU) – Center for Excellence, which is an innovative national resource 

center dedicated to continuing the effort to network the 105 HBCUs throughout the U.S. The 

HBCU – Center for Excellence promotes workforce development through expanding knowledge 

of best practices and leadership development that enhance the participation of AfricanAmericans in the substance abuse and mental health professions. The Center also supports a 

policy academy which focuses on workforce development, leadership development, crosssystems collaboration, cultural competency and eliminating disparities. The Center collaborates 

with other HHS agencies including HHS/Office of Minority Health (OMH), to achieve the 

objectives of various Executive Orders on educational excellence for minority populations. 

Through this program, approximately 31 Substance Abuse Treatment Workforce Development 

pilots were funded to provide opportunities for more students to obtain practical experience in 

the addictions field. This program has increased the number of students interning in behavioral 

health and has established or increased HBCU partnerships with local, regional and State 

behavioral health partners, primarily substance abuse, committed to increasing diversity in the 

addictions field. 

In FY 2010, SAMHSA/CSAT entered into an inter-agency agreement with the Agency for 

Healthcare Research and Quality (AHRQ) to examine and graphically display selected trends in 

hospital-based stays for mental health and substance abuse treatment. This work was used to 

write a chapter in the annual AHRQ publication, “Healthcare Cost and Utilization Project 

(HCUP) Facts and Figures: Statistics on Hospital Based Care in the US 2008.” This report drew 

attention to the extensive hospital resources devoted to people with mental and substance use 

disorders, some of which may be more effectively and efficiently served in community-based 

settings with a recovery-based system of care approach. In FY 2012, SAMHSA will fund the 

continuation of 1 grant and 1 contract.

Funding History a/

FY

2008 a/

Amount

$362,171,000

2009 a/ $376,359,000

2010 a/ $452,459,000

2011 a/ $431,389,000

2012 a/ $425,243,000

a/ The funding history is based on a comparable basis to previous funding levels to reflect the 

revised budget restructure and includes ACA Prevention Funds. 
135

Substance Abuse Treatment Budget Request

The FY 2013 Budget Request is comprised of $364.1 million at the program level with $334.1 

million from Budget Authority and $30.0 million provided by ACA Prevention Funds. This 

reflects a decrease of $59.1 million in Budget Authority partially offset by the $5.0 million 

increase in ACA Prevention Funds. This level of funding enables the continuation of most 

programmatic activities. The Request will support 419 grant and 27 contract continuations, as 

well as 142 new grants and 8 new contracts. The Request includes:

Decreases ($61.104 million):

 The SBIRT program request is $30.0 million from the ACA Prevention Fund. This level 

of funding will support the continuation of 12 grants and 2 contracts as well as 22 new 

grants. 

 The Targeted Capacity Expansion program request is $13.3 million. This reflects a 

decrease of $14.7 million below FY 2012. This level of funding will support the 

continuation of 30 grants and 2 contracts and will continue to monitor the progress of the 

3 FY 2012 multi-year funded HIT Grants. 

 The Strengthening Treatment Access and Retention program request is $1.0 million. This 

reflects a decrease of $0.7 million below FY 2012. This level of funding will support 1 

new contract.

 The Access to Recovery program request is $93.8 million. This reflects a decrease of 

$4.5 million below FY 2012. This level of funding will support the continuation of 30 

grants and 1 contract.

 The Children and Families program request is $29.7 million. This reflects a decrease of 

$0.9 million below FY 2012. This level of funding will support the continuation of 12 

grants and 3 contracts as well as 38 new grants and 2 new contracts.

 The Criminal Justice Activities program request is $65.1 million. This reflects a decrease 

of $1.8 million below FY 2012. This level of funding will support the continuation of 123 

grants and 3 contracts as well as 40 new grants and 1 new contract.

 The Minority HIV/AIDS program request is $52.4 million. This reflects a decrease of 

$13.5 million below FY 2012. This level of funding will support the continuation of 91 

grants and 5 contracts as well as 16 new grants. 

 The Addiction Technology Transfer Centers program request is $8.1 million. This 

reflects a decrease of $1.0 million below FY 2012. This level of funding will support the 

continuation of 15 grants and 1 contract.
136

The Special Initiatives/Outreach program request is $1.436 million. This reflects a 

decrease of $0.831 million below FY 2012. This level of funding will support the 

continuation of 1 grant and 1 contract.

Level Funding:

The Opioid Treatment Programs request is $8.9 million, the same as FY 2012. This level 

of funding will support the continuation of 1 grant and 6 contracts as well as 1 new grant 

and 3 new contracts.

The Pregnant and Postpartum Women request is $16.0 million, the same as FY 2012. 

This level of funding will support the continuation of 26 grants and 1 contract.

The Recovery Community Services Program request is $2.5 million, the same as 

FY 2012. This level of funding will support the continuation of 6 grants as well as 2 new 

grants and 1 new contract.

The Treatment Systems for Homeless program request is $41.6 million, the same as 

FY 2012. This level of funding will support the continuation of 72 grants and 2 contracts 

as well as 23 new grants. 

The Minority Fellowship Program request is $0.5 million, the same as FY 2012. This 

level of funding will support the continuation of 1 grant. 

A detailed table for all grant and contract continuations and new activities can be found 

on page 235. 
137

SAMHSA/Substance Abuse Treatment 

PRNS Mechanism by APT Table 

(Dollars in Thousands)

PRNS- Treatment

FY 2011

Actual

No. Amount

FY 2012

Enacted

No. Amount

FY 2013

Pres . Budget

No. Amount

Grants/Cooperative Agreements:

Continuations ................................................................. 

New/Competing.............................................................. 

Supplements .................................................................... 

Subtotal........................................................................

Contracts : 

Continuations ................................................................. 

New/Competing.............................................................. 

Supplements .................................................................... 

Subtotal........................................................................

Subtotal, PRNS- Treatment.............................................

520 $285,166

122 72,417 

(7) 850

417 $251,677

193 105,560

0 0

419 $246,790

142 57,766

0 0

642 358,433

32 53,644

10 19,311

0 0

610 357,237

42 68,005

0 0

0 0

561 304,556

27 53,654

8 5,929

0 0

42 72,955

684 $431,389

42 68,005

652 $425,243

35 59,583

596 $364,139
138

Outcomes and Outputs

Program: Screening, Brief Intervention and Referral to Treatment

Measure Year and Most

Recent Result /

Target for

Recent Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.2.40 Number of clients 

served (Output)

FY 2011: 

213,250 

Target:

139,650 

(Target

Exceeded) 

139,650 139,650 75,015 -64,635 

1.2.41 Percentage of 

clients receiving services 

who had no past month 

substance use (Outcome)

FY 2011: 36% 

Target:

50%

(Target Not Met 

but Improved) 

36% 36% 36% Maintain 
139

1 

Program: Access to Recovery

Measure Year and

Most Recent

Result /

Target for

Recent Result

/

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.2.32 Number of clients 

gaining access to treatment 

(Output)

FY 2011:

47,036 

Target:

33,500 

(Target

Exceeded) 

70,7501 70,750 50,000 -20,750 

1.2.33 Increase the percentage 

of adults receiving services 

who had no past month 

substance use (Outcome)

FY 2011:

82.1% 

Target:

82%

(Target

Exceeded) 

83% 83% 81% -2% 

1.2.35 Percentage of adults 

receiving services who had 

no/reduced involvement with 

the criminal justice system 

(Outcome)

FY 2011:

96.7% 

Target:

96%

(Target

Exceeded) 

96% 96% 94% -2% 

1.2.36 Percentage of adults 

receiving services who had 

improved social support 

(Outcome)

FY 2011: 90% 

Target:

91%

(Target Not 

Met)

91% 91% 89% -2% 

The targets for numbers served for ATR were determined based on previous funding information for the third cohort of this program. They 

have been published in the most recent RFA. As a result, FY 2012 targets have remained as published and not been adjusted based on funding 

levels in FY 2011. 
140

Program: Treatment System for Homelessness (GBHI)

Measure Year and

Most Recent

Result /

Target for

Recent Result

/

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

3.4.22 Percentage of clients 

receiving services who had no 

past month substance use 

(Outcome)

FY 2011: 66 

% 

Target:

67.4 % 

(Target Not 

Met)

67.4% 67.4 % 66.4 % -1% 

3.4.23 Number of clients 

served (Output)

FY 2011: 

5,767 

Target:

7,005 

(Target Not 

Met but 

Improved) 

5,800 5,800 5,800 Maintain 

3.4.24 Percentage of clients 

receiving services who were 

currently employed or 

engaged in productive 

activities (Outcome)

FY 2011: 32 

% 

Target:

32.7 % 

(Target Not 

Met)

32.7% 32.7 % 31.7 % -1% 

3.4.25 Increase the percentage 

of clients receiving services 

who had a permanent place to 

live in the community 

(Outcome)

FY 2011: 33 

% 

Target:

25.6 % 

(Target

Exceeded) 

25.6% 25.6 % 24.6 % -1% 
141

Program: Criminal Justice - Juvenile and Adult Problem Solving Drug Courts

Measure Year and

Most Recent

Result /

Target for 

Recent 

Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.2.63 Percentage of juvenile 

clients receiving services who 

were currently employed or 

engaged in productive 

activities (Outcome)

FY 2011: 87% 

Target:

88%

(Target Not 

Met)

88% 88% 86% -2% 

1.2.64 Percentage of juvenile 

clients receiving services who 

had a permanent place to live 

in the community (Outcome)

FY 2011: 79% 

Target:

82%

(Target Not 

Met)

82% 82% 80% -2% 

1.2.65 Percentage of juvenile 

clients receiving services who 

had no involvement with the 

criminal justice system 

(Outcome)

FY 2011: 

90.1% 

Target:

95%

(Target Not 

Met)

95% 95% 93% -2% 

1.2.67 Percentage of juvenile 

clients receiving services who 

had no past month substance 

use (Outcome)

FY 2011: 68% 

Target:

73%

(Target Not 

Met)

73% 73% 71% -2% 
142

Measure Year and

Most Recent

Result /

Target for 

Recent 

Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.2.70 Number of juvenile 

clients served (Output)

FY 2011: 550 

Target:

1463

(Target Not 

Met)

1,463 1,463 1000 -463

1.2.72 Percentage of adult 

clients receiving services who 

were currently employed or 

engaged in productive 

activities (Outcome)

FY 2011: 

58.3% 

Target:

57%

(Target

Exceeded) 

57% 57% 55% -2% 

1.2.73 Percentage of adult 

clients receiving services who 

had a permanent place to live 

in the community (Outcome)

FY 2011: 

42.3% 

Target:

42%

(Target

Exceeded) 

43% 43% 41% -2% 

1.2.74 Percentage of adult 

clients receiving services who 

had no involvement with the 

criminal justice system 

(Outcome)

FY 2011: 93% 

Target:

93%

(Target Met)

93% 93% 91% -2% 

1.2.76 Percentage of adult 

clients receiving services who 

had no past month substance 

use (Outcome)

FY 2011: 

86.5% 

Target:

73%

(Target

Exceeded) 

73% 73% 71% -2% 
143

Measure Year and

Most Recent

Result /

Target for 

Recent 

Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.2.79 Number of adult clients 

served (Output)

FY 2011: 

4,413 

Target:

5,265 

(Target Not 

Met but 

Improved) 

5,265 5,265 4,413 -852

Program: Criminal Justice - Ex-Offender Re-Entry Program

Measure Year and

Most Recent

Result /

Target for

Recent Result

/

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted

Associated

Target

(FY 2013)

1.2.80 Number of clients 

served (Outcome)

FY 2011:

3,740 

Target:

2,912 

(Target

Exceeded)

2,912 2,912 3,552 +640

1.2.81 Percentage of clients 

who had no past month 

substance use (Outcome)

FY 2011:

80.9% 

Target:

70%

(Target

Exceeded)

80% 80% 80% Maintain

1.2.84 Percentage of clients

receiving services who had

no involvement with the

FY 2011: 95.2

% 

95% 96 % 94.9 % -1.1%
144

Measure Year and

Most Recent

Result /

Target for

Recent Result

/

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

criminal justice system

(Outcome)

Target:

95 %

(Target

Exceeded) 
145

Program: Treatment - Other Capacity2

Measure Year and

Most Recent

Result /

Target for

Recent Result

/

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.2.25 Percentage of adults 

receiving services who had no 

past month substance use 

(Outcome)

FY 2011: 

70.2% 

Target:

62%

(Target

Exceeded) 

62% 66% 60% -6% 

1.2.26 Number of clients 

served (Output)

FY 2011: 

40,381 

Target:

34,784 

(Target

Exceeded) 

34,784 34,784 30,849 -3,935 

1.2.27 Percentage of adults 

receiving services who were 

currently employed or 

engaged in productive 

activities (Outcome)

FY 2011: 44% 

Target:

47%

(Target Not 

Met)

47% 47% 45% -2% 

1.2.28 Percentage of adults 

receiving services who had a 

permanent place to live in the 

community (Outcome)

FY 2011: 48% 

Target:

49%

(Target Not 

Met)

49% 49% 47% -2% 

2 Includes TCE General, HIV/AIDS Outreach, Addiction Treatment for Homeless Persons, Assertive Adolescent and Family Treatment, Family 

and Juvenile Drug Courts, Young Offender Re-Entry Program, Pregnant and Post- Partum Women, Recovery Community Service-Recovery, 

Recovery Community Service-Facilitating, and Children and Adolescent State Incentive Grants.
146

Measure Year and

Most Recent

Result /

Target for

Recent Result

/

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.2.29 Percentage of adults 

receiving services who had no 

involvement with the criminal 

justice system (Outcome)

FY 2011: 96% 

Target:

95%

(Target

Exceeded) 

95% 96% 93% -3% 

Program: Treatment - Science and Service Activities3

Measure Year and

Most Recent

Result /

Target for 

Recent 

Result /

(Summary 

of Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.4.01 Percentage of participants 

who report implementing 

improvements in treatment 

methods on the basis of 

information and training provided 

by the program (Outcome)

FY 2011: 

95%

Target:

90%

(Target

Exceeded) 

90% 90% 90% Maintain 

3 Includes Addiction Technology Transfer Centers 
147

Measure Year and

Most Recent

Result /

Target for 

Recent 

Result /

(Summary 

of Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.4.02 Number of individuals 

trained per year (Output)

FY 2011: 

25,345 

Target:

20,516 

(Target

Exceeded) 

20,516 20,516 20,516 Maintain 

1.4.09 Increase the number of 

individuals trained by 

SAMHSA’s Science and Services

Program (Output)

FY 2010:

51,4154

Target: N/A 

(Historical

Actual)

37,896 37,049 31,473 -5,576 

Size of Awards

(whole dollars) FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

Nu mb er of A wards 642 610 561

A v erage A ward $558,307 $585,634 $542,881

Rang e of A wards $300,000-$600,000 $300,000-$600,000 $300,000-$600,000

4 All component programs have now reported; therefore, data are revised from previously reported. 
148

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149

Substance Abuse Block Grant

(Dollars in Thousands)

FY 2011

Actual

FY 2012

Enacte d

FY 2013

Pre s ide nt’s

B udge t

Subs tance Abus e B lock Grant ...................... 

PHS Evaluation Fund (non-add)..................... 

FTEs................................................................

$1,441,962

79,200

40

$1,456,106

79,200

40

$1,448,630

71,724

40

Authorizing Legislation ........................................Section 1921 of the Public Health Services Act5

FY 2013 Authorization ......................................................................................................... Expired 

Allocation Method ................................................................................................... Formula Grants 

Program Description and Accomplishments

The Substance Abuse Prevention and Treatment Block Grant Program (SABG) distributes funds 

to 60 eligible States, Territories, the District of Columbia and the Red Lake Indian Tribe of 

Minnesota to plan, carry out, and evaluate substance abuse treatment and recovery support 

services provided for individuals, families, and communities impacted by substance abuse and 

substance use disorders (SUD).

This Formula Grant program provides funding based upon specified economic and demographic 

factors and is administered by SAMHSA’s Center for Substance Abuse Treatment and Center for 

Substance Abuse Prevention. All Block Grant applications must include an annual plan that 

contains detailed provisions for complying with each funding agreement specified in the 

legislation, and describes how the applicant intends to expend the SABG. The current law 

includes specific provisions and funding set-asides, such as a 20 percent prevention set-aside; an 

HIV/AIDS early intervention set-aside; requirements and potential reduction of the Block Grant

allotment with respect to sale of tobacco products to those under the age of 18; a maintenance of 

effort requirement; and “hold harmless” provisions that limit fluctuations in allotments as the 

total appropriation changes from year to year.

The program’s overall goal is to support and expand substance abuse prevention and treatment 

services while providing maximum flexibility. States and Territories may expend Block Grant 

funds only for the purpose of planning, carrying out, and evaluating activities related to these 

services. Targeted technical assistance is available for the States and Territories through CSAT’s 

State Systems Technical Assistance Project. The SABG requires States to maintain expenditures 

for authorized activities at a level that is not less than the average level of such expenditures 

maintained by the State for the two-year period preceding the year for which the State is 

5 Appropriation language is requested to not withstand the 20% prevention set-aside and allow for the movement of 

these funds into a separate State Prevention Grants for behavioral health; State will still be able to spend SAPTBG 

funds for prevention services 
150

applying for a grant. Given the current economic situation, SAMHSA is aware that a number of 

States are experiencing challenges meeting the maintenance of effort requirement in the Federal 

FY 2011 grant cycle, and is monitoring the situation closely. 

Of the amounts appropriated for the SABG program, 95 percent are distributed to States and 

other eligible applicants through a formula prescribed by the authorizing legislation. Factors 

used to calculate the allotments include total personal income; State population data by age 

groups (total population data for territories); total taxable resources; and a cost of services index 

factor.

The SABG is critically important to the States because it provides them the flexibility to respond 

to local and/or regional emergent issues impacting health, public health, and public safety 

through a consistent Federal funding stream. Individuals who are currently in need of such 

services may fall into several categories, such as no insurance or limited health insurance 

coverage for substance use disorder treatment and recovery support services, or may have been 

mandated to enter SUD treatment through public safety and/or public welfare systems. As 

previously indicated, there will continue to be individuals and families without health coverage 

or whose health insurance benefit will not cover certain services, e.g. recovery supports. Such 

individuals rely on services funded by the SABG. States also rely on the SABG funding for an 

array of non-clinical activities and services in support of their respective service systems, e.g. 

planning, coordination, needs assessment, quality assurance, program development, and 

evaluation. 

In FY 2011, SAMHSA revised the SABG and the Mental Health Block Grant (MHBG) 

applications to make them uniform where appropriate, to allow States and Territories to submit a 

plan every two years instead of annually, and to allow States and Territories to submit one 

combined application for both Block Grants if they so chose. Twenty-two eligible States and 

two Territories chose to submit a combined application for FYs 2012 and 2013. Other States 

have indicated a desire to do so in future years.

Other changes to the SABG application for FY’s 2012 and 2013 included updated requests and 

guidance to address good and modern behavioral health services and priority populations. The 

Uniform Block Grant application for FYs 2014 and 2015 will be released for public comment in 

the Spring or early Summer of 2012 with completion expected by Fall or early Winter of 

2012/2013. Applications will be due in the Spring of 2013, in advance of most States/Territories 

2014 fiscal year beginning in July of 2013. 

The independent evaluation of the original Substance Abuse Prevention and Treatment Block 

Grant program (http://tie.samhsa.gov/SAPT2010.html#Evaluation) demonstrated how States 

have leveraged the statutory requirements of this Block Grant to expand existing or establish new 

treatment capacity in underserved areas of States and Territories and to improve coordination of 

services with other State systems.

As seen in the following table, the SABG Program has been successful in expanding treatment 

capacity in the latest year for which actual data are available (FY 2008) by supporting almost 2.3 

million admissions to treatment programs receiving public funding. Outcomes data for the Block 
151

Grant Program also show positive results. In FY 2009, at discharge, clients have demonstrated 

high abstinence rates from both illegal drug (75.7 percent) and alcohol (81.5 percent) use. 

State Substance Abuse Authorities reported the following outcomes for services provided during 

2007, the most recent year data is available:

 

 

 

 

 

For the 51 States that reported data in the Abstinence from Drug/Alcohol Use Domain for 

alcohol, 50 of 51 identified improvements in client abstinence. Forty-three of these States 

reported improvements based on information submitted to the Treatment Episode Data Set 

(TEDS) and seven reported improvements based on their own data collection systems.

Similarly, for the 51 States that reported data in the Abstinence from Drug/Alcohol Use 

Domain for drug use, 50 of 51 identified improvements in client abstinence. Forty-three of 

these States reported improvements based on information submitted to TEDS and seven 

reported improvements based on their own data collection systems.

For the 51 States that reported data in the Employment Domain, 46 of 51 identified 

improvements in client employment. Forty of these States reported improvements based on 

information submitted to TEDS and six reported improvements based on their own data 

collection systems.

For the 51 States that reported in the Criminal Justice Domain, 35 of 40 reported an increase 

in clients with no arrests based on data reported to TEDS. 

For the 51 States that reported data in the Housing Domain, 35 of 47 identified improvements 

in stable housing for clients based on data reported to TEDS. 

CBHSQ, working with CSAP and CSAT, plans to fund a modification to the Drug and Alcohol 

Services Information System (DASIS) contract in FY 2012 to collect both substance abuse and 

mental health facilities information and client level data. A new DASIS-type contract will be 

awarded in FY 2013 to capture client level data collection and reporting capability for both 

Block Grants. Support for SAPT BG grantees to support data collection efforts is being 

considered through a mechanism related to the new data collection contract. This effort will 

enhance data reporting for the SAPT BG in the future. 

Funding History

FY Funding1/ FTEs

2003 $1,418,986,000

2004 2/ $1,439,157,000

2005 2/ $1,436,284,000

2006 2/ $1,421,780,000 40

2007 2/ $1,422,713,000 40

2008 2/ $1,422,822,000 40

2009 2/ $1,438,713,000 40

2010 2/ $1,454,713,000 40

2011 2/ $1,441,962,000 40

2012 2/ $1,448,630,000 40

1/ Reflects comparability adjustments to show total less the 20% Prevention Set-Aside

2/ Includes $79.2 million in FY 2003 through FY 2012 from PHS Evaluation Funds. 
152

Budget Request

The FY 2013 Request for the Substance Abuse Block Grant is $1.449 billion, a decrease of 

$7.476 million in PHS Evaluation Funds from the comparable FY 2012 Enacted Level. In FY 

2012, 1.25 percent of the Budget Authority appropriated for the MHBG will be set aside 

pursuant to section 241 of the Public Health Service Act. In FY 2013, 3.2 percent of the Budget 

Authority appropriated for the MHBG will be set aside pursuant to section 241 of the Public 

Health Service Act. SAMHSA will work to ensure conformance with Section 1935 of the Public 

Health Service Act. These resources will be used to support activities such as evaluation, data 

collection, and technical assistance. As a result, the state allotments in FY 2013 have been 

adjusted to reflect this change. The reduction of $7.476 million in PHS Evaluation Funds for the 

SABG relates to a comparable adjustment to reflect the transfer of the 20 percent prevention set 

aside to the Substance Abuse – State Prevention Grant. In FY 2013, States and Territories will 

also be allowed to utilize a portion of the SABG funds to augment the Substance Abuse-State 

Prevention Grant funding for additional prevention services if the submitted application indicates 

a desire to do so in the plan for expenditure of these dollars. This will allow States and 

Territories that currently expend more than 20 percent of the SABG funds for prevention to 

continue to do so if they so choose. It is important to maintain the SABG funding level as it 

supports and preserves vital substance abuse service infrastructure, which, if lost now, may never 

be rebuilt.

Data Elements Used to Calculate FY 2013 Allotments

Population: For the States and the District of Columbia, July 1, 2010 population estimates from 

the U.S. Department of Commerce, Bureau of the Census, Population Estimates Division; and 

population of urbanized areas ages 18-24, and population ages 18-24, for April 1, 2000 from the 

2000 Decennial Census, Summary File 1, from the U.S. Department of Commerce, Bureau of the 

Census. For American Samoa, Guam, the Northern Mariana Islands, Puerto Rico, and the U.S. 

Virgin Islands, i.e., the current territories, April 1, 2010 population counts from the 2010 

Decennial Census from the U.S. Department of Commerce, Bureau of the Census. For the 

Federated States of Micronesia, the Marshall Islands, and Palau, i.e., the former territories, July 

1, 2010 population estimates from the U.S. Department of Commerce, Bureau of the Census, 

International Data Base. 

Total Taxable Resources (TTR): For the States and the District of Columbia, 2007, 2008, and 

2009 Total Taxable Resources estimates from the U.S. Department of Treasury, Office of 

Economic Policy. 

Total Personal Income (TPI): For the States and the District of Columbia, 2008, 2009, and 

2010 Total Personal Income estimates from the U.S. Department of Commerce, Bureau of 

Economic Analysis.

Cost of Services Index (CSI): For the States and the District of Columbia. This index is 

determined triennially (i.e., it is revised every third fiscal year rather than annually), and the 

FY2013 allotment calculations use the CSI determined for FY2013-FY2015. For the Wage 

Index of the CSI, wage rates were calculated using earnings and hours worked by place-of-workstate from 2010 American Community Survey (ACS) 1-Year Data for specific occupationindustry categories, as determined by the U.S. Department of Commerce, Bureau of the Census, 
153

in a special tabulation performed for SAMHSA. For the Rental Index of the CSI, FY2012 

Median Fair Market Rent (FMR) estimates from U.S. Department of Housing and Urban 

Development were used, as well as July 1, 2009 population estimates at the county and sub 

county levels from the U.S. Department of Commerce, Bureau of the Census, Population 

Estimates Division. 

Outcomes and Outputs

Substance Abuse Prevention and Treatment Block Grant

Program: Treatment Activities

Measure Year and 

Most Recent 

Result /

Target for

Recent Result

/

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated

Target

(FY 2014)

FY 2013

PB 

Associated

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.2.43 Number of admissions 

to substance abuse treatment 

programs receiving public 

funding (Output)

FY 2009: 

1,674,295 

Target:

1,881,515 

(Target Not 

Met)

1,881,515 1,937,960 1,937,960 Maintain 

1.2.48 Percentage of clients 

reporting no drug use in the 

past month at discharge 

(Outcome)

FY 2010: 

76.8% 

Target:

70.3% 

(Target

Exceeded) 

70% 74% 74% Maintain 
154

Measure Year and 

Most Recent 

Result /

Target for

Recent Result

/

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

1.2.49 Percentage of clients 

reporting no alcohol use in 

the past month at discharge 

(Outcome)

FY 2010: 

83.7% 

Target:

74.7% 

(Target

Exceeded) 

75% 78% 78% Maintain 

1.2.50 Percentage of clients 

reporting being employed/in 

school at discharge 

(Outcome)

FY 2010: 

37.9% 

Target:

43.9% 

(Target Not 

Met)

43% 43% 43% Maintain 

1.2.51 Percentage of clients 

reporting no involvement 

with the Criminal Justice 

System (Outcome)

FY 2010: 

94.3% 

Target:

88.9% 

(Target

Exceeded) 

89% 92% 92% Maintain 

1.2.85 Percentage of clients 

receiving services who had a 

permanent place to live in the 

community (Outcome)

FY 2010: 

93.9% 

Target:

92%

(Target

Exceeded) 

92% 92% 92% Maintain 
155

Program: Synar Amendment

Measure Year and 

Most Recent 

Result /

Target for

Recent Result

/

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

2.3.49 Number of States 

(including Puerto Rico) 

whose retail sales violations 

is at or below 20% 

(Outcome)

FY 2010: 52

Target:

52

(Target Met)

52 52 52 Maintain 

2.3.62 Number of States 

(excluding Puerto Rico) 

reporting retail tobacco sales 

violation rates below 10% 

(Outcome)

FY 2010: 34 

Target:

25

(Target

Exceeded) 

346 34 34 Maintain 

6 Although States continue to face funding cute to their youth tobacco access enforcement programs, SAMHSA anticipates that funding made 

available to States through the Tobacco Control Act will help to offset budget cuts to these programs. As a result, targets for FY 2012 and beyond 

have been increased. 
156

Department of Health and Human Services Substance Abuse 

and Mental Health Services Administration FY 2013

Discretionary State/Formula Grants

Substance Abuse Prevention and Treatment Block Grant (SABG) 

CFDA #93.959

State!ferritorv

FY2011

Actual

FY2012

Enacted

FY2013

Estimate +!- FY2012

Alabama $23,720,126 $23,669,104 $18,668,370 -$5,000,734

Alaska 4,914,342 4,903,771 3,867,718 -1,036,053

ArizDna 37,089,725 37,009,944 29,190,600 -7,819,344

Arkansas 13,262,590 13,234,062 10,438,011 -2,796,051

California 249,428,956 248,892,428 196,307,218 -52,585,210

Colorado 26,159,532 26,103,262 20,588,247 -5,515,015

Connecticut 16,919,808 16,883,413 13,316,339 -3,567,074

Delaware 6,684,946 6,670,567 5,261,231 -1,409,336

District Of Columbia 6,684,946 6,670,567 5,261,231 -1,409,336

Florida 99,796,302 99,581,639 78,542,344 -21,039,295

Georgia 50,248,875 50,1 40,789 39,547,201 -10,593,588

Hawaii 7,592,561 7,576,229 5,975,547 -1,600,682

Idaho 6,869,850 6,855,073 5,406,755 -1,448,318

Illinois 69,493,373 69,343,892 54,693,133 -14,650,759

Indiam 33,126,817 33,055,561 26,071,686 -6,983,875

Iowa 13,450,964 13,422,031 10,586,267 -2,835,764

Kansas 12,224,677 12,198,382 9,621,146 -2,577,236

Kentucky 20,552,530 20,508,321 16,175,388 -4,332,933

Louisiana 25,709,974 25,654,671 20,234,433 -5,420,238

Maine 6,684,946 6,670,567 5,261,231 -1,409,336

Maryland 31,805,845 31,737,430 25,032,046 -6,705,384

Massachusetts 34,146,666 34,073,216 26,874,334 -7,198,882

Michigan 57,583,816 57,459,952 45,319,994 -12,139,958

Minnesota 24,760,335 24,707,075 19,487,042 -5,220,033

Red Lake Indians 610,252 608,939 480,284 -128,655

Mississippi 14,180,578 14,150,075 11,160,492 -2,989,583

Missouri 26,016,004 25,960,043 20,475,287 -5,484,756

Montana 6,684,946 6,670,567 5,261,231 -1,409,336

Nebraska 7,849,944 7,833,059 6,178,115 -1,654,944

Nevada 13,774,658 13,745,028 10,841,022 -2,904,006

New Hampshire $6,684,946 $6,670,567 $5,261,231 -1,409,336

New Jersey 46,685,830 46,585,408 36,742,990 -9,842,418

New Mexico 8,929,188 8,909,981 7,027,508 -1,882,473

New York 114,884,455 114,637,337 90,417,122 -24,220,215

North Carolina 39,686,878 39,601,511 31,234,629 -8,366,882
State!ferritory

FY2011 FY2012

Enacted

FY2013

Estimate +!- FY2012

North Dakota 5,452,146 5,440,418 4,290,984 -1,149,434

Ohio 66,298,390 66,155,781 52,178,596 -13,977,185

Oklahoma 17,617,738 17,579,842 13,865,628 -3,714,214

Oregon 17, 839,432 17,801,059 14,040,107 -3,760,952

Pennsylvania 58,766,078 58,639,671 46,250,466 -12,389,205

Rhode Island 6,684,946 6,670,567 5,261,231 -1,409,336

South Carolina 20,501,941 20,457,841 16,135,573 -4,322,268

South Dakota 5,041,716 5,030,871 3,967,964 -1,062,907

Tennessee 29,586,413 29,522,772 23,285,294 -6,237,478

Texas 135,246,934 134,956,016 106,442,934 -28,513,082

Utah 17,041,663 17,005,006 13,412,242 -3,592,764 

Vel1llJnt 5,390,666 5,379,071 4,242,598 -1,136,473

Virginia 42,854,160 42,761,980 33,727,364 -9,034,616

Washington 34,787,819 34,712,990 27,378,939 -7,334,051

West Virginia 8,663,000 8,644,366 6,818,012 -1,826,354

Wisconsin 27,940,837 27,880,736 21,990,182 -5,890,554 

Wyoming 3,502,800 3,495,265 2,756,796 -738,469

State Sub-total 1,668,116,860 1,664,528,713 1,312,852,333 -351,676,380

American Samoa 368,627 367,834 258,443 -109,391

Guam 1,003,608 1,001,449 741,818 -259,631

Northem Marianas 268,108 267,531 250,827 -16,704

Puerto Rico 22,077,562 22,030,073 17,343,693 -4,686,380

Palau 115,856 115,607 97,193 -18,414

Marshall Islands 365,447 364,661 306,576 -58,085

Micronesia 594,591 593,312 498,806 -94,506

Virgin Islands 608,996 607,686 495,319 -112,367

Territory Sub-Total 25,402,795 25,348,153 19,992,675 -5,355,478

Total States!fenitories 1,693,519,655 1,689,876,866 1,332,845,008 -357,031,858

SAMHSA Set-Aside 89,132,613 88,940,888 70,149,737 -18,791,151

Transfer 21,514,147 44,060,992 +22,546,845

Unavailable PHS Funds 1,574,263

Total, SABG $1,782,652,268 $1,800,331,901 $1,448,630,000 1 -$351,701,901

1

I Funding in FY 2013 reflects an adjusted base without funding for the 20% prevention set-aside. Notwithstanding any 

other provision of law, section 1922(a) of the Public Health Service Act shall not apply in FY 2013.

157
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158 
159

SAMHSA Health Surveillance and Program Support

Table of Contents

Health Surveillance and Program Support Page

1. Summary of Changes ............................................................................................................ 161 

2. Health Surveillance and Program Support............................................................................ 163 

3. Public Awareness and Support ............................................................................................. 167 

4. Performance & Quality Information Systems....................................................................... 171 

5. Agency-Wide Initiatives ....................................................................................................... 175 
160

Page intentionally left blank
161

SAMHSA

Health Surveillance and Program Support

Summary of Changes

(Dollars in thousands)

FY 2011

Actual

FY 2012

Enacted

FY 2013

Pre s ide nt's

Budget

FY 2013

+/-

FY 2012

Health Surveillance and Program Support

ACA Prevention Fund (non-add)............................................. 

Data Request and Publications User Fees (non-add).............. 

PHS Evaluation Funds (non-add)........................................... 

Public Awareness and Support...................................................... 

PHS Evaluation Funds (non-add)........................................... 

Performance and Quality Information Systems............................... 

PHS Evaluation Funds (non-add)........................................... 

Agency-Wide Initiatives................................................................ 

ACA Prevention Fund (non-add).............................................

Total, Health Surveillance and Program Support.....................

$119,789

18,000

---

22,750

14,029

---

37,362

6,596

5,250

---

$124,319

18,000

---

27,428

13,545

---

12,940

---

3,493

---

$121,157

---

1,500

45,428

13,571

13,571

12,996

12,996

40,000

40,000

-$3,162

-18,000

+1,500

+18,000

+26

+13,571

+56

+12,996

+36,507

+40,000

$176,430 $154,297 $187,724 +$33,427

FTEs 1 492 488 474 -14

1 In 2012, SAMHSA will continue to in source positions for activities that are central to SAMHSA’s mission, represent critical 

skills for the agency, and result in overall savings consistent with Office of Federal Procurement Policy guidelines. A total of 98 

positions will be added and fully staffed by the end of FY 2012. These positions are allocated across SAMHSA’s four 

appropriations to reflect the provision of direct program support or to reflect the proration of overhead and indirect costs. An 

additional 13 positions have been added to provide support to the ten HHS regions. These positions are allocated across three 

appropriations to reflect the provision of technical assistance to the states as well as linking SAMHSA with its sister operating 

divisions in the regions. The additional positions are fiscally neutral.

The Health Surveillance and Program Support budget supports four activities consistent with the 

2012 enacted budget: Health Surveillance and Program Support funds activities formerly funded 

by program management; Performance and Quality Information Systems, and Public Awareness 

and Support, both fund activities formerly funded by CMHS, CSAP and CSAT; and AgencyWide Initiatives fund new programs that support cross-Center collaborative efforts. The FY 2013 

President’s Budget Request for the SAMHSA Health Surveillance and Program Support 

appropriation for its Total Program Level is $187.7 million, an increase of $33.4 million from the 

FY 2012 Enacted Level. This FY 2013 Total Program Level budget request of $187.7 million 

includes $74.2 million in Budget Authority (a decrease of $4.7 million from FY 2012), $72.0 

million in PHS Evaluation funds (an increase of $44.6 million from FY 2012), and $40.0 million 

in ACA Prevention Funds (an increase of $22.0 million from FY 2012). Also included in the FY 

2013 Total Program Level is $1.5 million from user fees to be collected for extraordinary data 

and publications user requests not otherwise able to be fulfilled within existing resources. The 

FY 2013 Budget Request includes the following: 

Health Surveillance and Program Support: (-$3.2 million)

The FY 2013 request for Health Surveillance and Program Support activities is $121.2 million. 

This is a decrease of $3.2 million from the FY 2012 Enacted Level. This net decrease includes a 
162

reduction of $4.7 million and an increase of $1.5 million for new user fees supporting new costs . 

This funding supports personnel costs, building and facilities, equipment, supplies, 

administrative costs and associated overhead to support SAMHSA programmatic activities 

(collectively called Program Support) as well as providing funding for SAMHSA national data 

collection, reporting, and survey systems, funding to help support the behavioral health portions 

of the CDC NHIS Survey, and the SAMHSA data archive (collectively called Health 

Surveillance).

Agency-Wide Initiatives: (+$36.5 million) 

The FY 2013 request for Agency-Wide Initiatives is $40.0 million. This is an increase of $36.5 

million from the FY 2012 Enacted Level. This request is for the Behavioral Health – Tribal 

Prevention Grant, requested from ACA Prevention Fund to provide a formula-based grant 

program for Tribes to plan and deliver substance abuse and suicide prevention services for Tribal 

communities.
163

Health Surveillance and Program Support

(Dollars in thousands)

FY 2011

Actual

FY 2012

Enacted

FY 2013

Request

Program Le ve l.......................................................... 

Budget Authority (non-add).................................... 

PHS Evaluation Funds (non-add)........................... 

ACA Prevention Fund (non-add)............................ 

Data Request & Publications User Fees (non-add)

$119,789

79,039

22,750

18,000

---

$124,319

78,891

27,428

18,000

---

$121,157

74,229

45,428

---

1,500

Total FTEs................................................................ 547 574 574

Authorizing Legislation .............................................Section 501 of the Public Health Service Act 

FY 2013 Authorization ...................................................................................................... Indefinite 

Allocation Method ....................................................... Direct Federal/Intramural, Contracts, Other 

Program Description and Accomplishments

The Health Surveillance budget supports many of the critical behavioral health data systems, 

national surveys, and surveillance activities for DHHS undertaken by SAMHSA/CBHSQ to 

support SAMHSA grantees, the field, and the public. The National Survey on Drug Use and 

Health (NSDUH) serves as the nation’s primary source for information on the incidence and 

prevalence of substance use and mental disorders and related health conditions. The Drug 

Abuse Warning Network (DAWN) is a national public health surveillance system that monitors 

emergency room visits for drug and mental illness-related problems. This activity represents a 

partnership with the National Center for Health Statistics/CDC which is expected both to 

increase response rates and improve the quality of behavioral health data available to help inform 

public policy and prevention and treatment initiatives. The Drug Abuse Services Information 

System (DASIS) is the primary source for data on treatment and treatment admissions. Other 

data collection efforts in SAMHSA collect similar data with a focus on mental disorders.

In 2012, SAMHSA Center for Behavioral Health Statistics and Quality (CBHSQ), working with 

CSAP, plans to fund a transition data collection system (with ACA funding) in preparation for 

the full implementation of the Common Data Platform (see PQIS narrative). CBHSQ, working 

with CMHS, also plans to fund a modification to the DASIS contract. This modification provides 

for the continued expansion and maintenance of the mental health portion of the Inventory of 

Behavioral Health Services (I-BHS, formerly the Inventory of Substance Abuse Treatment 

Services), as well as to put into full operation a Mental Health Treatment Facility Locator on par 

and in conjunction with the existing Substance Abuse Treatment Facility Locator. This 

modification will allow for collection of both substance abuse and mental health facilities 

information and client level data. In addition, CBHSQ will continue to insource positions for 

analytic work and will be fully staffed by the end of FY 2012. 
CBHSQ, working with CMHS, CSAP and CSAT, plans to fund a modification to the Drug and 

Alcohol Services Information System (DASIS) contract in FY 2012 to collect both substance 

abuse and mental health facilities information and client level data. A new DASIS-type contract 

will be awarded in FY 2013 to capture client level data collection and reporting capability for 

both Block Grants. Support for MHBG and SAPT BG grantees to support data collection efforts 

is being considered through a new cohort of Data Infrastructure Grants (DIG) or through a 

mechanism related to the new data collection contract. This effort will enhance data reporting 

for the MHBG and SAPT BG in the future. 

The Program Support budget supports the majority of SAMHSA staff who plan, direct, and 

administers SAMHSA programs and who provide technical assistance and program guidance to 

States, mental health and substance abuse professionals, clients, and the general public. 

SAMHSA staffing represents a critical component of the budget. Staff not financed directly 

through the Health Surveillance and Program Support account provide direct State technical 

assistance and are funded through the five percent Block Grant set-asides or are financed from 

other budget lines to perform services previously contracted out. In addition, this budget 

supports the Unified Financial Management System, administrative activities such as human 

resources, information technology and the centralized services provided by HHS’s Program 

Support Center and the Department. 

In 2012, SAMHSA will continue to in source positions for activities that are central to 

SAMHSA’s mission, represent critical skills for the agency, and result in overall savings 

consistent with Office of Federal Procurement Policy guidelines. A total of 98 positions will be 

added and fully staffed by the end of FY 2012. These positions are allocated across SAMHSA’s 

four appropriations to reflect the provision of direct program support or to reflect the proration of 

overhead and indirect costs. An additional 13 positions have been added to provide support and 

presence in the ten HHS regions and at central headquarters. These positions are allocated across 

three appropriations to reflect the provision of technical assistance to the states as well as linking 

SAMHSA with its sister operating divisions in the regions. The additional positions are fiscally 

neutral.

Health Surveillance

(Dollars in Thousands)

PHS Evaluation Funds FY 2011 

Actual 

FY 2012 

Enacted

FY 2013 

Request

CBHSQ Data Collection Activities $21,750 $25,779 $43,779 

NSDUH Mental Health 1,000 1,000 1,000 

Data Archive – Restricted Use 0 649 649 

Total, PHS Evaluation Funds 22,750 27,428 45,428 

Budget Authority

CDC National Health Interview Survey 2,000 2,000 2,000 

Total, Budget Authority 2,000 2,000 2,000 

164 
165

Funding History

FY Amount FTEs

2008 $93,131,000 544

2009 $100,131,000 528

2010 $101,947,000 537

2011 $119,789,000 547

2012 $124,319,000 574

Health Surveillance and Program Support Budget Request

The FY 2013 Budget Request is $121.2 million, a net budget decrease of $3.2 million from the 

FY 2012 Enacted Level. Funding for PHS evaluation increases by $18.0 million and funding for 

ACA decreases by $18.0 million.

A total of $47.4 million is requested for Health Surveillance, the same as the FY 2012 Enacted

Level. This includes an increase of $18.0 million in PHS Evaluation Funds and a decrease of 

$18 million from the ACA Prevention Fund. The increase in PHS evaluation funds will help to 

maintain Center legacy data systems as the Common Data Platform is phased in during FY 2013. 

The decrease in ACA funding reflects completion of one-year surveillance activities completed 

in FY 2012. 

A total of $73.7 million is requested for Program Support, which reflects a decrease of $4.7 

million from the FY 2012 Enacted Level. This decrease reflects targeted reductions in overhead 

and administrative activities in areas such as travel, training, supplies and other costs, as well as 

efficiencies from consolidated contract activities and the implementation of controls for more 

efficient spending. This amount should provide sufficient funding to maintain staff at slightly 

higher attrition levels. The request includes an estimated $1.5 million for User Fees, which will 

be collected to offset increased costs for data request special analysis and materials publication 

requested by the field. SAMHSA has been carrying out special data runs and analyses, and 

materials publication and distribution for outside interests that are not critical to the 

accomplishment of SAMHSA’s mission but do assist various members of the field or the public 

understand behavioral health needs. Regulations would be developed clearly delineating what 

are considered services non-critical to SAMHSA’s mission and what the costs would be for those 

services before any user fee were established for such special data analyses or materials 

publication. By collecting these fees SAMHSA will be able to expand the service it provides to 

the general public.
166

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Public Awareness and Support

(Dollars in thousands) 

FY 2011 

Actual

FY 2012 

Enacted

FY 2013 

Request

Program Level................................................... $14,029 $13,545 $13,571 

PHS Evaluation Funds (non-add).................................. --- --- 13,571 

Authorizing Legislation ........................................Section 501, 509, 516 and 520A of the PHS Act 

FY 2013 Authorization ......................................................................................................... Expired 

Allocation Method ............................................................................................................. Contracts 

Program Description and Accomplishments

The rapidly changing health care environment, critical role behavioral health plays in achieving 

national health status objectives, and advances in communications technology provide new 

opportunities to change the way behavioral health is viewed and services are delivered in 

America. 

The unmet need for prevention, treatment and recovery support services provides a vast untapped 

market for SAMHSA products and services. Today in America opportunities to prevent or 

intervene early to reduce disability and death associated with mental and substance use disorders 

are often missed. Over 60 percent of people who experience mental health problems and 90 

percent of people who need substance abuse treatment do not receive care. 

By learning to recognize the signs and symptoms of mental illness and substance abuse friends 

and family members can help their loved ones take action and seek care. Trained health 

professionals can work with patients and families to identify problems early. 

By confronting fear and misunderstanding with facts, raising awareness about the effectiveness 

of prevention and treatment, and improving knowledge about when and where to seek help, 

SAMHSA can help the Nation achieve the full potential of prevention and treat mental illness 

and substance abuse with the same urgency as any other health condition, and make recovery the 

expectation. 

The SAMHSA Office of Communications, through the Communications Governance Council 

(CGC) is charged with setting the strategic direction and policy for SAMHSA’s public 

communication activities. The CGC is working to assure research based approaches are used to 

influence behavior change for the sake of improving health, preventing injuries, protecting the 

environment, or contributing to the community. Individual behavior change involves 5 basic 

steps - changes in knowledge, approval, intention, practice, and advocacy. 

To employ best-in-class communication practices and technologies that focus on creating and 

sustaining behavior change, SAMHSA is putting into place a new science based life cycle 

approach for public education communication efforts. The lifecycle provides a 5 step process for 

167 
168

planning, creating, disseminating, promoting and evaluating educational information produced 

and disseminated by SAMHSA.

SAMHSA’s Public Engagement Platform and Web program are funded through the Public 

Awareness and Support budget line. These two programs provide the SAMHSA wide 

infrastructure required to advance SAMHSA’s Strategic Initiatives by engaging audiences in a 

meaningful way. 

The Web is the primary way people engage with the government. SAMHSA has prioritized the 

Web as a strategic business and communications asset and launched project Evolve. Evolve is 

an employee driven solution to multiple uncoordinated and undermanaged websites at 

SAMHSA. Consistent with the Federal Web Strategy, the project is working to support the 

development of quality content, effective communications governance and the use of modern 

communications platforms and to reduce redundancy in SAMHSA’s web based communication 

efforts with the long term goals of improving customer satisfaction and achieving cost savings to 

the agency. 

SAMHSA’s Public Engagement Platform provides the agency’s programs a customer oriented 

fulfillment system. SAMHSA’s on-line store (http://store.samhsa.gov) is SAMHSA’s most 

highly visible customer interface and works in concert with a call-in contact center, warehouse, 

email updates, exhibit program and strategic partnerships to fulfill public and health services 

provider publication needs. These multiple communications channels managed by the Office of 

Communications generated 25 million customer interactions last year and enables SAMHSA to 

gather data that illuminate the “voice” of SAMHSA customers and how well they are being 

served by the Agency. 

SAMHSA integrates through its Knowledge Management System content, operations, and data 

collection and analytics on 430,000 inquiries to the contact center per year, 161,000 publication 

orders per year, 13,300,000 publications shipped each year, 1,700,000 SAMHSA Store visitors 

per year, email updates read by 8.2 million readers each year, 134,000 email update subscribers, 

more than 40,000 print subscribers and more than 337,000 online visits per year of the quarterly 

newsletter SAMHSA News, and 55,000 exhibit booth visitors per year. A new customer service 

launched in 2012 is SAMHSA Headlines. SAMHSA Headlines provides the behavioral health

field with a sustained, systematic and predictable source of new information from SAMHSA.

Just as Americans are aware of the connection between hypertension, stroke and heart disease 

and take action to monitor their blood pressure, they can become aware of the connection 

between mental and substance use disorders and health and take action to prevent and treat these

conditions. SAMHSA’s Public Engagement Platform and new Web Program provides 

prevention, treatment and recovery support programs the communication channels needed to 

reach public and professional audiences with critical behavioral health information. 

The Public Awareness and Support Initiative continues to be driven by research with SAMHSA 

stakeholders, including web-based public engagement strategies/platforms, and applies the 

communications and marketing principles of customer research and audience segmentation, 

message development and evaluation. Because it is based on customer needs and input, the 
169

Public Awareness and Support Initiative is dynamic and evolving based on the shifting landscape 

of communications technologies and government involvement with the public. 

Budget Request

The FY 2013 Budget request is $13.6 million, slightly less than the comparable FY 2012 

Enacted Level. This funding level reflects the continued consolidation of funding sources for 

product development and dissemination contracts from across SAMHSA to support SAMHSAwide professional training and public education activities. It also reflects ongoing efforts to 

consolidate multiple web sites resulting in more streamlined operations with improved 

capabilities.

Outcomes and Outputs

Program: Public Awareness Activities1

Measure Year and Most

Recent Result /

Target for

Recent Result /

(Summary of

Result)

FY 2011

Actual

Target

FY 2012

Enacted

Target

FY 2013

PB 

Target

FY 2013

PB Target

+/-

FY 2012

Enacted

Target

2.3.76 Number of persons receiving 

prevention information indirectly from 

advertising, broadcast, or website 

(Output)

FY 2010:

1,136,172 

Target:

906,707 

(Target

Exceeded) 

1,250,0002 1,250,0003 250,0004 -1,000,0005

4.4.06 Percentage of persons reporting 

knowledge of how to find treatment 

services for mental and substance use 

disorders (Outcome)

N/A N/A N/A N/A N/A 

4.4.07 Percentage of persons indicating 

they were screened by a health care 

provider for mental and substance use 

disorder (Outcome)

N/A N/A N/A N/A N/A 

1 There is no delay between fiscal year funding and the performance year. 2 This is the FY 2012 target that is associated with the FY 2011 actual budget because there is a delay between fiscal year funding and the 

performance year. 3 This is the FY 2013 target that is associated with the FY 2012 enacted budget because there is a delay between fiscal year fu nding and the

performance year. 4 This is the FY 2014 target that is associated with the FY 2013 President’s Budget because there is a delay between fiscal year funding and the 

performance year. 5 This is the difference between the FY 2013 PB Associated Target (FY 2014) and the FY 2012 Enacted Associated Target (FY 2013).
170

Measure Year and Most

Recent Result /

Target for

Recent Result /

(Summary of

Result)

FY 2011

Actual

Target

FY 2012

Enacted

Target

FY 2013

PB 

Target

FY 2013

PB Target

+/-

FY 2012

Enacted

Target

4.4.09 Percentage of children reporting 

their parents have talked to them about 

alcohol and drugs (Outcome)

FY 2010: 

58.2% 

Target:

58.2% 

(Baseline)

N/A 58.2% 58.2% Maintain 
Performance & Quality Information Systems

(Dollars in thousands) 

FY 2011

Actual

FY 2012

Enacted

FY 2013 

Request

Program Level............................................................ $37,362 $12,940 $12,996 

PHS Evaluation Funds (non-add)............................................. 12,996 

Authorizing Legislation .......................................Section 501, 509, 516, and 520A of the PHS Act 

FY 2013 Authorization......................................................................................................... Expired 

Allocation Method ...............................................................................................................Contract 

Program Description and Accomplishments

In January 2010, SAMHSA launched a new initiative focusing on data, outcomes, and quality. 

The goal of this initiative is to strengthen the integration of data begun with the previous data 

strategy. This new initiative will allow SAMHSA to meet the Administration’s expectations for 

high quality and accessible data and create new opportunities to meet the information needs of 

individuals, families, and communities. A guiding principle of this new data strategy is that the 

data be meaningful and useful for decision-making and policy development. Central to this 

strategy is improving the balance in the collection of prevention and treatment data for substance 

use and mental disorders, providing clarity in how performance measures are collected and used, 

developing new mechanisms for coordinating across systems, and then disseminating quality 

information in a readily accessible format.

Integrating both performance data and information on the quality and effectiveness of 

interventions better serves State and community needs and promotes quality improvement efforts 

consistent with the President’s health care reform goals. The Common Data Platform (CDP) 

initiative will coordinate the performance measurement efforts with quality improvement 

activities and promote greater efficiencies in the collection, analysis, and reporting of data and 

other information. It will also facilitate accountability and improve the quality and accessibility 

of data and other information for use by program staff, grantees, and the public. An important 

function of these activities will be its capacity to collect and disseminate data across prevention 

and mental health and substance abuse programs that share goals and funding lines; something 

extremely difficult to accomplish with the current idiosyncratic systems.

In FY 2011, SAMHSA began a process to modify the Substance Abuse Information System 

(SAIS), Prevention Management Reporting and Training Tool (PMRT) and the Transformation 

Accountability S ystem (TRAC). SAMHSA also began the process of consolidating the data 

from the discretionary grants supported throughout SAMHSA into a CDP while maintaining the 

data currently available in the three systems for future analysis. The platform and warehouse 

were to be implemented in FY 2013. As the specifications and deliverables were developed for 

the new system, it became evident that further work on the contract was necessary to ensure that 

the system would meet the needs and expectations of SAMHSA and of each of the four Centers.

171 
172

As a result, CBHSQ, working with CSAP, CSAT and CMHS, plans to fund a transitional data 

collection system in FY 2013 from a combination of funding from HSPS and PQIS in 

preparation for the full implementation of the Common Data Platform.

Concurrent with this effort, SAMHSA has taken steps to improve the activities of the National 

Registry of Evidence-based Programs and Practices (NREPP). Information on effective 

interventions will be more readily available to agency staff and stakeholders to inform decisions 

that can lead to improved service activities and outcomes for individuals who suffer from or who 

are at risk for mental and substance use disorders. Dissemination activities under this initiative 

will be further guided by the results of the ARRA-CER funded study on effective dissemination 

practices to be completed by 2012. 

Funding History

FY Amount

2008 $0

2009 $0

2010 $0

2011 $37,362,000

2012 $12,996,000

Budget Request

The FY 2013 Budget request is $13.0 million, a slight increase from the FY 2012 Enacted Level. 

Of the $13.0 million, $10.9 million is projected for the new Common Data Platform and $2.1 

million is projected for the NREPP program. SAMHSA will be finalizing an acquisition 

proposal for an integrated performance measurement and management platform and anticipates 

an early FY 2013 contract award. CBHSQ, working with CSAP, CSAT and CMHS, will fund a 

transitional data collection system in FY 2013 from HSPS and PQIS as the Common Data 

Platform becomes fully operational.
173

Outcomes and Outputs

Program: Performance and Quality Information Systems

Measure Year and Most

Recent Result /

Target for

Recent Result /

(Summary of

Result)

FY 2011

Actual

Target

FY 2012

Enacted

Target

FY 2013

PB Target

FY 2013

PB Target

+/-

FY 2012

Enacted

Target

4.4.10 Combined count of webpage 

hits, hits to the locator, and hits to 

SAMHDA for SAMHSA-supported 

data sets (Output)

FY 2011: 

3,864,940 

Target:

5,585,000 

(Target Not 

Met)

5,585,000 6,000,300 3,981,414 -2,018,886 

4.4.11 Number of evidence-based 

programs or practicesin review 

(Output)

FY 2011: 52 

Target:

42

(Target

Exceeded) 

42 44 46 N/A 
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Agency-Wide Initiatives

(Dollars in Thousands) 

FY 2011 

Actual

FY 2012 

Enacted

FY 2013 

Request 

Agency-Wide Initiatives.......................................... $5,250 $3,493 $40,000 

Behavioral Health Information Technology (non-add). 5,250 --- ---

Military Families Initiative (non-add)......................... --- 3,493 ---

Behavioral Health – Tribal Prevention Grant (non-add) --- --- 40,000 

ACA Prevention Fund (non-add)............................... --- --- 40,000

Authorizing Legislation ........................................................Section 516 and 520A of the PHS Act 

FY 2013 Authorization ...............................................................................................................N/A 

Allocation Method ........................................................................................... Discretionary Grants 

Program Descriptions and Accomplishments

Military Families

In FY 2012, SAMHSA will conduct at least two Service Members, Veterans, and their Families 

(SMVF) Policy Academies for the remaining 27 states that have not yet participated, as well as 

for the Virgin Islands and Guam. SAMHSA’s Policy Academies help states and territories 

strengthen their behavioral health care systems and services for SMVF through the development 

of interagency strategic plans and the provision of technical assistance to facilitate 

implementation of those plans. The strategic plans developed by the Policy Academies will be 

able to be implemented immediately; thereby assuring the maximum impact will be felt in a 

short time. SAMHSA will also provide intensive technical assistance to those states and 

territories to ensure implementation of evidence-based behavioral health prevention, treatment, 

and recovery support services that advance and sustain the interagency approach to their strategic 

plan, and that meet the behavioral health needs of service members (especially National Guard 

and Reserves), veterans, and their families. The intensive technical assistance provided will 

greatly assist in the building of linkages between evidence-based services and recovery support 

services. As the Policy Academies are designed to be stand-alone programs that will be tailored 

to each State and Territory, the program can be quickly brought to scale in additional states 

without the need for annual support.

Behavioral Health – Tribal Prevention Grant Budget Request

The FY 2013 Budget Request is $40.0 million, a $36.507 million increase over the comparable 

FY 2012 Enacted Level. This funding is requested through the Prevention and Public Health 

Fund of the ACA. The final distribution of $40.0 million will be determined by a formula that 

will be developed in consultation with Tribes.

175 
176

SAMHSA recognizes that Tribes currently receive different levels of mental health and 

substance abuse prevention services. Through the Behavioral Health - Tribal Prevention Grant 

(BH-TPG), all Tribes would be eligible for a base funding amount, with the remaining funds 

distributed to best serve the Tribal populations. SAMHSA has held consultations consistent with 

SAMHSA’s Tribal Consultation Policy and will utilize the outcome of these consultations to 

determine how these funds would be best distributed to address as many of the needs of the 

Tribes as possible. The BH-TPG provides enhanced substance abuse (including alcohol) and 

suicide prevention funding to the Tribes to assure that their pressing needs are being met. This 

effort follows the lead of the President and Congress who have emphasized the importance of 

emotional health, prevention, and health promotion, and who have shown a commitment to the 

trust relationship of the Federal government with and for Federally-recognized Tribes.

The program will provide formula-based funds to Tribes who choose to apply. This will enable 

Tribes to develop a comprehensive plan to address the most pressing need based on treatment 

data as well as in consultation with SAMHSA. The plan would address the prevention of 

substance abuse and suicide, and will provide for coordinated services. This planning activity is 

one of the basic components of the Tribal Law and Order Act (TLOA) and the Indian Alcohol 

and Substance Abuse Act, which SAMHSA is charged by statute to coordinate. Tribes will 

continue to be eligible for these funds beyond the three-year time frame so long as they meet the 

requirements of renewal applications, provide the necessary annual reports, and show continued 

movement toward implementing their approved plans. 

The plan will reflect the results of an assessment of need, a review of the resources and capacity 

within the Tribal communities, a plan for carrying out the strategy, a monitoring of the strategy 

as implemented, and an evaluation of the strategy to identify strengths and weaknesses. 

SAMHSA will review and approve the plans. 

Tribes will be allowed to use a set percentage (determined based on consultations with the 

Tribes) of the funds for a combination of service and service-related activities, development and 

dissemination of prevention messages, and provider development and linkage building to support 

the Tribes in achieving outcomes. Funding for infrastructure activities will enable the Tribe to 

build service capacity. The Tribe will present data to support how the allocation will support 

infrastructure and/or provision of services. In carrying out these activities, the Tribe will be 

required to use comprehensive, evidence-based programming, and/or proven successful 

programming, based on either mainstream science or proven Tribal traditions. Up to 20 percent 

of the grant funds may be used to fund key support and development activities, such as operation 

of a Tribal prevention advisory group, support for a Tribal community coalition, access to an 

epidemiological work group, training and technical assistance to communities, data collection 

and evaluation, and oversight and monitoring of activities.

Approximately 75 percent of Federally-recognized tribes have a total enrollment of 2,000 or 

fewer persons and a greater percentage of these tribes have limited internal capacity or 

infrastructure in place to implement and support needed behavioral health services. Smaller 

Tribes will have the opportunity to work in collaboration with other small Tribes to maximize 

the impact of the resources. SAMHSA will continue to consult with the smaller Tribes to ensure 

that their needs are being met while reducing service overlap. 
177

To ensure that providers in both the mental health and substance abuse fields are trained in both 

substance abuse and mental illness prevention and emotional health concepts and practices, 

Tribes will be able to use funds for coordinated workforce development, training in evidencebased practices, and the development of coordinated infrastructure and service delivery systems.
178

Outcomes and Outputs

Program: Military Families Initiative

Measure Year and

Most Recent

Result /

Target for 

Recent 

Result /

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

3.4.26 The number of 

behavioral health outcomes for 

military personnel and their 

families served through 

SAMHSA supported programs 

(Outcome)

N/A N/A N/A N/A N/A

3.4.27 Percentage of adults 

receiving services who report 

improved functioning 

(Outcome)

N/A N/A N/A N/A N/A

3.4.28 Percentage of children 

receiving services who report 

improved functioning 

(Outcome)

N/A N/A N/A N/A N/A

3.4.29 Percentage of adults 

receiving services who had a 

permanent place to live in the 

community (Outcome)

N/A N/A N/A N/A N/A
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Program: Behavioral Health-Tribal Prevention Grants

Measure Year and

Most Recent

Result /

Target for

Recent Result

/

(Summary of

Result)

FY 2011

Actual 

Associated 

Target

(FY 2012)

FY 2012

Enacted 

Associated 

Target

(FY 2013)

FY 2013

PB 

Associated 

Target

(FY 2014)

FY 2013

PB 

Associated 

Target

(FY 2014)

+/-

FY 2012

Enacted 

Associated 

Target

(FY 2013)

2.3.92 Number of persons 

served (Output)

N/A N/A N/A Baseline

August 2014 

N/A

2.3.93 Percentage of youth

age 12-20 who report 

drinking in the past month 

(Outcome)

N/A N/A N/A Baseline

August 2014 

N/A

2.3.98 Percentage of 

persons aged 12 and older 

who report suicide 

ideation (Outcome)

N/A N/A N/A Baseline

August 2014 

N/A
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DEPARTMENT OF HEALTH AND HUMAN SERVICES 

Substance Abuse and Mental Health Services Administration

RESOURCE SUMMARY

Drug Re s ource s by Function

FY 2011 FY 2012 FY 2013

Actual Enacte d Pre s . B udge t

P revention 562,349 561,041 539,923 

Treatment 2,014,495 2,004,787 1,930,948 

Total, Drug Re s ource s by Function 2,576,844 2,565,828 2,470,871

Drug Re s ource s by De cis ion Unit

Subs tance Abus e Pre ve ntion 1/

P rograms of Regional and National Significance 75,956 76,202 65,877 

Substance Abuse- State Prevention Grant 451,107 453,980 404,501 

Total, Subs tance Abus e Pre ve ntion 527,063 530,182 470,378

Subs tance Abus e Tre atme nt 1/

P rograms of Regional and National Significance 431,389 425,243 364,139 

Substance Abuse Block Grant 1,441,962 1,456,106 1,448,630 

Total, Subs tance Abus e Tre atme nt 1,873,351 1,881,349 1,812,769

He alth Surve illance and Program Support

P revention 35,286 30,859 69,545 

Treatment 141,144 123,438 118,179 

Total, He alth Surve illance and Program Support 176,430 154,297 187,724

Total, Drug Re s ource s by De cis ion Unit 2,576,844 2,565,828 2,470,871

Drug Re s ource s Pe rs onne l Summary

Total FTEs (direct only) 547 574 574

Drug Re s ource s as a Pe rce nt of B udge t

Total Agency Budget $3,599,081 $3,564,687 $3,422,766

Drug Resources Percentage 71.6% 72.0% 72.2%

Footnotes 1 A detailed breakout of programs within the Programs of Regional and National Significances can be found on the 

follo wing page; does not include Mental Health Pro grams . 
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183

Drug Budge t Split betwee n Prevention and Treatment FY 2011-FY 2013

(Dollars in Thousands)

Substance Abuse Prevention

FY 2011

Actual

FY 2012

Enacted

FY 2013

Pres. Budget

Substance Abuse Prevention PRNS

Manadatory Drug Testing 

Minority AIDS Initiative 

STOP Act 

ACA Prevention Fund (non-add)

Fetal Acohol Syndrome 

Center for the Application of Prevention Technologies 

Science and Service Program Coordination 

Minority Fellowship Program 

Total, Substance Abuse Prevention PRNS

Subs tance Abus e - State Prevention Grant

Strategic Prevention Framework (non-add)

Total, Substance Abuse -State Prevention Grant

Total, Substance Abuse Preve ntion

Health Surveillance and Program Support 

Health Surveillance and Program Support 

Public Awareness and Support

PHS Evaluation Funds (non-add)

Performance and Quality Information Systems 

PHS Evaluation Funds (non-add)

Behavioral Health IT 

Military Families 

Tribal Prevention Grants 

ACA Prevention Fund (non-add)

Total, Substance Abuse Prevention HSPS

Total, Substance Abuse Preve ntion

$4,906

41,385

7,000

---

9,821

8,074

4,789

71

75,956

451,107

110,417

451,107

527,063

23,958

2,806

---

7,472

---

1,050

---

---

---

35,286

$562,349

$5,196

41,307

6,987

---

9,802

8,059

4,780

71

76,202

453,980

109,754

453,980

530,182

24,864

2,709

---

2,588

---

---

699

---

---

30,859

$561,041

$4,906

41,307

7,000

7,000

1,000

7,511

4,082

71

65,877

404,501

60,275

404,501

470,378

24,231

2,714

1,900

2,599

2,599

---

---

40,000

40,000

69,545

$539,923
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Drug Budget Split between Prevention and Treatment FY 2011-FY 2013

(Dollars in Thousands)

Substance Abuse Treatment

FY2011

Actual 

FY2012

Enacted

FY2013

Pres. Budget

Substance Abuse Treatment PRNS

Co-occurring State Incentive Grants (S!Gs) 

Opioid Treatment Programs/Regulatory Activities 

Screening, Brief Intervention and Referral to Treatment 

ACA Prevention Fund (non-add) 

PHS Evaluation Funds (non-add)

ICE - General

Pregnant & Postpartum Women

Strengthening Treatment Access and Retention 

Recovery Community Services Program 

Access to Recovery 

Children and Family Programs 

Treatment Systems for Homeless 

Minority AIDS 

Criminal Justice Activities 

Addiction Technology Transfer Centers 

Minority Fellowship Program 

Special Initiatives/Outreach

Total, Substance Abuse Treatment PRNS

Substance Abuse Block Grant

PHS Evaluation Funds (non-add)

Total, Substance Abuse Block Grant

Health Surveillance and Program Support 

Health Surveillance and Program Support 

Public Awareness and Support 

PHS Evaluation Funds (non-add)

Performance and Quality Information Systems

PHS Evaluation Funds (non-add)

Behavioral Health IT 

Military Families

Tribal Prevention Grants 

Total, Substance Abuse Prevention HSPS

Total, Substance Abuse Treatment

4,173

8,553

51,662

25,000

2,000

28,033

15,878

1,775

5,236

98,954

30,670

41,650

65,988

65,188

9,081

547

2,000

431,389

$1,441,962

79,200

1,441,962

95,831

11,223

---

29,890

6,596

4,200

---

---

141,144

$2,014,495

---

8,886

51,187

25,000

2,000

27,980

15,970

1,672

2,445

98,268

30,620

41,571

65,863

66,903

9,064

546

2,267

425,243

$1,456,106

79,200

1,456,106

99,455

10,836

---

10,352

---

---

2,794

---

123,438

$2,004,787

---

8,886

30,000

30,000

---

13,256

15,970

1,000

2,445

93,776

29,678

41,571

52,359

65,135

8,081

546

1,436

364,139

$1,448,630

71,724

1,448,630

96,926

10,857

10,857

10,397

10,397

---

---

---

118,179

$1,930,948
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MISSION

The Substance Abuse and Mental Health Services Administration’s (SAMHSA) mission is to 

reduce the impact of substance abuse and mental illness on America’s communities. SAMHSA 

supports the President’s National Drug Control Strategy through a broad range of programs 

focusing on prevention, treatment and recovery from substance abuse. Major programs for 

FY 2013 will include the Substance Abuse Block Grant, the new Substance Abuse – State 

Prevention Grant program, competitive grant programs reflecting Programs of Regional and 

National Significance (PRNS) and Health Surveillance and Program Support. These programs 

are administered through SAMHSA’s Centers for Substance Abuse Prevention (CSAP) and 

Substance Abuse Treatment (CSAT) as well as through SAMHSA’s Center for Behavioral 

Health Statistics and Quality (CBHSQ) and the Office of Communications.

METHODOLOGY

SAMHSA distributes drug control funding into two functions: prevention and treatment. 

Included in prevention are SAMHSA/CSAP funds supporting the new Substance Abuse – State 

Prevention Grant program, competitive grant programs, programs funded through the Prevention 

and Public Health Fund of the ACA Prevention Fund (including the new Behavioral Health – 

Tribal Prevention Grant program), and 20 percent of SAMHSA Program Management funds. 

Included in treatment are SAMHSA/CSAT funds supporting Programs of Regional and National 

Significance (PRNS), 100 percent of the Substance Abuse Prevention and Treatment Block 

Grant (SABG) funds, and 80 percent of SAMHSA Program Management funds. 

The above methodology was the original methodology as approved by ONDCP. From time to 

time it is prudent to revisit the methodology as restructurings occur and programs change. In 

light of the restructuring proposed in the FY 2012 President’s Budget and the appropriations 

account changes in the FY 2012 Consolidated Appropriations Act, SAMHSA is now considering 

a new methodology for calculating the drug budget under the new budget structure. Under the 

new methodology, all funding for the Substance Abuse Prevention and funding for the Substance 

Abuse Treatment activities are included in the drug budget. Most of the funding for Health 

Surveillance and Program Support would be included in the drug budget. Since the new PAS and 

PQIS represent the consolidation of funding from existing CSAT, CSAP and CMHS programs,

70 percent of funding for these activities would be included in the drug budget which represents 

the split between mental health and substance abuse for the entire agency. New agency-wide 

programs, such as Military Families and Behavioral Health-Tribal Prevention grants would be 

evenly split between mental health and substance abuse. 
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SAMHSA distributes drug control funding into two functions: prevention and treatment. 

Included in prevention are the funds in the new Substance Abuse Prevention appropriation, 

including the Substance Abuse Prevention Programs of Regional and National Significance and 

the Substance Abuse – State Prevention Grant program. Also included in prevention are 20 

percent of the Performance and Quality Information Systems and Public Awareness and Support 

programs, a portion of the Agency-wide Initiatives including the new Behavioral Health – Tribal 

Prevention Grant program funded through the Prevention and Public Health Fund of the ACA, 

and 20 percent of the remaining funding in Health Surveillance and Program Support. Included 

in treatment are the funds in the new Substance Abuse Treatment appropriation, including the 

Substance Abuse Treatment Programs of Regional and National Significance and 100 percent of 

the Substance Abuse Block Grant funds. Also included in treatment are 80 percent of the 

Performance and Quality Information Systems and Public Awareness and Support programs, a 

portion of the Agency-wide Initiatives, and 80 percent of the remaining funding in Health 

Surveillance and Program Support.

BUDGET SUMMARY

In FY 2013, SAMHSA requests a total of $2,470,871 million for drug control activities, which 

is a decrease of $95.0 million from the FY 2012 level. The Budget directs resources to activities 

that have demonstrated improved health outcomes and that increase service capacity. SAMHSA 

has three major drug-related decision units: Substance Abuse Prevention, Substance Abuse 

Treatment, and Health Surveillance and Program Support. Each decision unit is discussed 

below:
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Substance Abuse Prevention

Substance Abuse Prevention Programs of Regional and National Significance

Total FY 2013 Request: $65.9 million

(Reflects $10.2 million decrease from FY 2012)

The Substance Abuse Prevention Programs of Regional and National Significance (PRNS) 

support States and communities in carrying out an array of activities to improve the quality and 

availability of services in priority areas.

The FY 2013 President’s Budget request for SAMHSA Substance Abuse Prevention PRNS 

includes $65.9 million which covers seven programmatic activities, a decrease of $10.2 million 

from the FY 2012 level. The request includes: $41.3 million for Minority AIDS; $; $1.0 million 

for the Fetal Alcohol Spectrum Disorders (FASD) contract; $7.5 million to continue provision of 

technical assistance to maximize effectiveness through the Centers for the Application of 

Prevention Technologies; $4.9 million for Mandatory Drug Testing and $4.1 million for other 

PRNS activities such as Science and Service Program Coordination, and Minority Fellowship

Program.

Minority AIDS Initiative

Total FY 2013 Request: $41.3 million

(Reflects same level as FY 2012)

SAMHSA/CSAP’s Minority AIDS Program, implemented in FY 1999, supports efforts to reduce 

health disparities in minority communities by delivering and sustaining high quality and

accessible substance abuse and HIV prevention services. The program strategies include 

implementing evidence-based prevention practices targeting subpopulations, conducting HIV 

testing and referral for treatment, and preventing/reducing the risk of substance use disorders 

and/or HIV. Grantees are required to target one or more high-risk populations such as African 

American women, adolescents, or individuals who have been released from prisons and jails 

within the past two years. 

In addition to the existing MAI cohorts, SAMHSA awarded grants for the FY 2011 Minority 

AIDS Initiative Targeted Capacity Expansion Integrated Behavioral Health/Primary Care 

Network Cooperative Agreements. This grant program will facilitate the development and 

expansion of culturally competent and effective integrated behavioral health and primary care 

networks, which include HIV services and medical treatment, within racial and ethnic minority 

communities in the 12 Metropolitan Statistical Areas and Metropolitan Divisions most impacted 

by HIV/AIDS. Expected outcomes include: reducing the impact of behavioral health problems, 

HIV risk and incidence, and HIV-related health disparities in these areas.
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The FY 2013 Request supports 67 continuations and 16 new grants. 

Fetal Alcohol Center of Excellence

Total FY 2013 Request: $1.0 million

(Reflects $8.8 million decrease from FY 2012)

SAMHSA’s Fetal Alcohol Spectrum Disorder programming has focused on identifying and 

disseminating information about innovative techniques and effective evidence-based strategies 

for preventing Fetal Alcohol Spectrum Disorder and increasing functioning and quality of life for 

individuals and their families impacted by these disorders. In FY 2012, SAMSHA’s will 

emphasize and expand prevention strategies to prevent alcohol use among women of 

childbearing age and will provide funding to support a new Contract.

The FY 2013 request will provide $1.0 million in continuation funding for the FASD contract.

Center for the Application of Prevention Technologies

Total FY 2013 Request: $7.5 million

(Reflects a $0.5 million decrease from FY 2012)

The Center for the Application of Prevention Technologies (CAPT) promotes state-of-the-art 

prevention technologies through three core strategies: 1) establishment of technical assistance 

networks using local experts from each of their five regions; 2) development of training 

activities; and 3) innovative use of communication media such as teleconference and video 

conferencing, online events, and Web-based support. These training and technical assistance 

activities are designed to build the capacity of SAMHSA grantees and develop the skills, 

knowledge, and expertise of their prevention workforce. These activities will help support the 

delivery of effective prevention programs and practices and the development of accountability 

systems for performance measurement and management. 

During FY 2012, the CAPT expects to deliver approximately 1,400 capacity‐ building technical

assistance services to more than 7,000 people and orchestrated 400 events for 10,000 people.

Topics include the use of evidence-based environmental strategies to reduce underage drinking, 

the application of behavioral health indicators for substance abuse prevention planning, the use 

of traditional and cultural practices as prevention strategies within indigenous populations, and 

the diffusion of state-of-the-art methods to guide intra-State training and technical assistance 

(T/TA) prevention systems. In addition, the CAPT will develop workforce development 

products, including skills training, fact sheets, and a web-based toolkit; and will provide 

evaluation capacity-building technical assistance to 53 community-based prevention programs 

and to 24 Science-to-Service programs. They also will plan and facilitate a program for special 

populations including Pacific Islanders and Tribal grantees. Finally, the CAPT will develop 

training and materials for SAMHSA special issues, including webinars on best practices, 

epidemiological data, evidence- programs, and evaluation techniques.
189

The FY 2013 request provides $7.5 million in funding for a new CAPT contract to continue to 

promote prevention technologies.

Other PRNS Activities

Total FY 2013 Request: $4.1 million

(Reflects $0.7 million decrease from FY 2012)

In FY 2012, $4.8 million in funding will support contracts that provide technical assistance and 

training to States, Tribes, communities, and grantees around substance abuse prevention. In 

addition, $0.071 million funding will be provided for continuation of the Minority Fellowship 

Grants. 

The FY 2013 request includes resources of $4.1 million for other PRNS activities such as 

Science and Service Program Coordination, and Minority Fellowship Program.

Substance Abuse –State Prevention Grant 

Total FY 2013 Request: $404.5 million 

(Reflects $49.5 million decrease from FY 2012)

The SA-SPGs draw upon the strengths of both Block Grant and discretionary approaches. First, 

through the 20 percent prevention set-aside of the current formula-based Substance Abuse 

Prevention and Treatment Block Grant (SABG) program, SAMHSA will ensure funding 

availability and decision-making authority for prevention at the State level. At the same time, 

SAMHSA has guided the development of data-driven, needs-based, evidence-proven methods 

for facilitating substance abuse prevention through its discretionary programs, including the SPFSIG. The new SA-SPG program integrates key aspects of both approaches in a systematic and 

logical approach designed to avoid duplication, improve coordination, increase accountability, 

prioritize high-need communities, focus exclusively on substance abuse prevention and require 

States and Territories to support communities in achieving outcomes. The SA-SPG program will 

build on the success of the planning approach promoted through the SPF-SIG, bringing it to scale 

nationwide and shepherding successes into the next step of development. 

The SA-SPG will provide formula-based prevention funding to ensure that every State and 

Territory is able to make prevention of substance abuse a priority. The SA-SPG will allow 

States and Territories to address substance abuse prevention at three levels: universal prevention, 

which addresses populations at large; selected prevention, which targets subgroups of the 

population that share common risks of developing substance use disorders (such as children with 

a family history of substance abuse or schools in high poverty areas); and indicated prevention, 

which addresses individuals with multiple risk factors, early symptoms, or behaviors that are 

precursors for substance abuse, but who do not require treatment for substance abuse. 

States/Territories and communities will be able to utilize environmental and individual 

prevention approaches to achieve measurable results. This new program supports SAMHSA’s 

Prevention of Substance Abuse and Mental Illness Strategic Initiative, which aims to support 
190

individuals, families, schools, workplaces, communities and States and Territories take action to 

strengthen protective factors and reduce risk factors for substance abuse (including tobacco) and 

to create environmental changes that support community living without the use of substances of 

abuse 

The FY 2013 Budget request is $404.501 million, a $49.479 million decrease from the 

comparable FY 2012 Enacted Level. The amount includes funding from the 20 percent 

prevention set-aside requirement of the SABG, and fully funding the $60.275 million of FY 2013 

continuation grants under the current Strategic Prevention Framework program. The final 

allocation for this program will be determined by a formula that will be developed after 

discussion with State and Territory representatives and based on amounts appropriated by 

Congress.
191

Substance Abuse Treatment

Substance Abuse Treatment Programs of Regional and National Significance

Total FY 2013 Request: $364.1 million

(Reflects $61.1 million decrease from FY 2012)

The Substance Abuse Treatment Programs of Regional and National Significance (PRNS) 

support States and communities in carrying out an array of activities to improve the quality and 

availability of services in priority areas.

The FY 2013President’s Budget request for SAMHSA Substance Abuse Treatment PRNS 

includes $364.1 million which covers fifteen programmatic activities, a decrease of $61.1 million 

from the FY 2012 level. The request includes: $93.8 million for Access to Recovery; $30.0 

million for Screening, Brief Intervention and Referral to Treatment; $41.6 million for Treatment 

Systems for Homeless; $65.1 million for Criminal Justice Activities of which $42.9 million will

fund Drug Courts and $18.5 million for Ex- Offender Reentry.

Access to Recovery

FY 2013 Request: $93.8 million

(Reflects $4.5 million decrease from FY 2012)

FY 2013 resources for ATR reflect $93.8 million to support continuations for the third cohort 

(approximately 30 grants). ATR is designed to: (1) allow recovery to be pursued through 

personal choice and many pathways; (2) require grantees to manage performance based 

outcomes that demonstrate client successes; and, (3) expand capacity by increasing the number 

and types of providers who deliver clinical treatment and/or recovery support services. The 

program is administered through recognized Tribal Organizations or through the Single State 

Authority overseeing substance abuse activities. ATR uses vouchers, coupled with state 

flexibility and executive discretion, to offer an opportunity to create positive change in substance 

use disorder treatment and recovery service delivery across the Nation. 

ATR was launched in 2004 when 15 three-year grants were awarded, which provided services to 

almost 200,000 clients. A second cohort of 24 three-year ATR grants was awarded in September 

2007. The second ATR cohort was projected to serve a target number of 30,000 clients in its 

first year (FY 2008); however, the actual number served was more than 50,000. The number 

served in FY 2009 was approximately 89,600 which exceeded the target of 65,000 clients. 

The third cohort of ATR, which began in FY 2010, was expanded to a four-year program. 

FY 2010 program outcome data show that 82.9 percent of the clients had success achieving and 

maintaining no past month substance use. In addition, by six month follow-up, 47 percent 

reported being housed; 96 percent had no involvement in the criminal justice system; and 91 

percent reported being socially connected. The recommended target is 225,000 clients for this 

third cohort, with approximately 33,500 to be served in the first year, 70,750 clients to be served 
192

in the two subsequent years, and 50,000 to be served in the final year. In its first year of 

operation, this cohort of ATR has exceeded its target of 33,500 having served over 47,000 

clients. 

In FY 2012,SAMHSA will fund the continuation of 30 grants and 1 contract. The FY 2013 

Request supports 30 grant continuations. 

Treatment Drug Courts

FY 2013 Request: $42.9 million

(Reflects $1.8 million decrease from FY 2012)

Drug courts are problem-solving courts which help reduce recidivism and substance abuse 

among offenders and increase an offender’s likelihood of successful rehabilitation through early, 

continuous, and intense judicially supervised treatment, mandatory periodic drug testing, 

community supervision, and appropriate sanctions and other habilitation services. In FY 2010, 

SAMHSA funded 17 new adult Problem Solving Court grants and 8 new juvenile Problem 

Solving Court grants for three years at an average cost of $325,000 per year. There were also 3 

new juvenile Problem Solving Court grants that were funded in collaboration with the Office of 

Juvenile Justice and Delinquency Prevention (OJJDP) within the Department of Justice for four 

years at an average cost of $200,000 per year. These funds will provide services to support 

substance abuse treatment, assessment, case management, and program coordination for those in 

need of treatment drug court services. Priority for the use of funding will be given to address 

gaps in the continuum of treatment. 

In FY 2010, SAMHSA and the Office of Justice Programs /Bureau of Justice Affairs (BJA) 

developed a joint program to enhance court services, coordination, and substance abuse 

treatment capacity of adult drug courts. The purpose of this joint initiative is for applicants to 

submit one application that outlines a comprehensive strategy for enhancing drug court capacity. 

SAMHSA and BJA jointly funded 28 new adult Problem Solving Court grants. Each grantee was 

awarded one separate grant from each agency, representing an innovative braided funding 

opportunity. This collaboration was modeled after a successful collaborative grant program 

initiated in FY 2009 between SAMHSA and the Office of Juvenile Justice and Delinquency 

Prevention (OJJDP) to support juvenile drug courts.

In FY 2012, SAMHSA will continue to provide technical assistance and support States and 

communities in implementing flexible solutions to address the burdensome problems of 

substance abuse, mental illnesses, and co-occurring disorders in the criminal justice system 

through collaboration between the Center for Substance Abuse Treatment and the Center for 

Mental Health Services. This approach helps local courts find the model that best meets their 

needs and capacities. It also encourages partnership with the behavioral health system to allocate 

treatment and recovery support services effectively and efficiently. 
193

The FY 2013 Request supports 93 continuation and 22 new grants 

Ex-Offender Re-Entry Program 

FY 2013 Request: 16.4 million 

(Reflects same level as FY 2012)

SAMHSA recognizes the need to continue efforts to return and reintegrate offenders back into 

the community by providing substance abuse treatment and other related re-entry services while 

also ensuring public safety for the community and family. The ex-offender re-entry grants 

provide screening, assessment and comprehensive treatment and recovery support services to 

offenders reentering the community, as well as offenders who are currently on or being released 

from probation or parole. 

SAMHSA and DOJ/Bureau of Justice Assistance share a mutual interest in supporting and 

shaping offender re-entry-treatment services, as both agencies fund “offender re-entry” 

programs. These two Agencies have a longstanding partnership regarding criminal justicesubstance abuse treatment issues. SAMHSA and DOJ/Bureau of Justice Assistance have 

developed formal agreements to further encourage and engage in mutual interests and activities 

related to criminal justice-treatment issues. SAMHSA and DOJ/Bureau of Justice Assistance 

will continue to plan and coordinate relevant activities. Offender Re-entry Program grantees are 

expected to seek out and coordinate with local Federally-funded offender re-entry initiatives, 

including DOJ/Bureau of Justice Assistance’s Prisoner Re-entry Initiative or “Second Chance 

Act” offender re-entry programs, as appropriate.

In FY 2012, SAMHSA will fund the continuation of 29 grants and 3 contracts as well as 9 new 

grants. The FY 2013 Request supports 20 continuation and 18 new grants. 
194

Treatment Systems for Homeless Programs

FY 2013 Request: $41.6 million

(Reflects same level as FY 2012)

SAMHSA/CSAT manages two grant portfolios under its Grants for the Benefit of Homeless 

Individuals (GBHI) program, both of which provide focused services to individuals with a 

substance use disorder or who have co-occurring disorders. Through a recovery and public 

health oriented system of care, grantees are encouraged to address gender, age, race, ethnicity, 

sexual orientation, disability status, veteran’s status, and criminal justice status as these issues 

relate to both substance use disorder services and co-occurring disorder services for homeless 

individuals. . 

The FY 2013 Budget request for this program is aligned with “Opening Doors: the Federal 

Strategic Plan to Prevent and End Homelessness” which was released in June 2010 by the U.S. 

Interagency Council on Homelessness. It is aligned with Objective 4: Provide permanent 

supportive housing to prevent and end chronic homelessness and Objective 7: Integrate primary 

and behavioral health care services with homeless assistance programs and housing to reduce 

people’s vulnerability to and the impacts of homelessness. The GBHI program is an essential 

piece to accomplishing the goals of the Plan. 

In FY 2012, SAMHSA will fund the continuation of 95 grants and 2 contracts. The FY 2013 

Request supports the continuation of 72 grants and 2 contracts as well as 23 new grants 

Other PRNS Treatment Programs

FY 2013 Request: $163.7 million

(Reflects $54.3 million decrease from 2012)

The FY 2013 Budget includes resources of $163.7 million for several other Treatment Capacity 

programs including:; Strengthening Treatment Access and Retention; the Minority AIDS 

Initiative; Children and Family Programs; Pregnant and Post-Partum Women (PPW); Recovery 

Community Services Program (RCSP); Minority Fellowship Program; Special 

Initiatives/Outreach; Addiction Technology Transfer Centers; Military Families, Health 

Information Technology; and Targeted Capacity Expansion (TCE) General. The FY 2012 

Budget includes funds for continuing grants and contracts in the various programs, and reflects 

discontinuation of one-time Congressional projects. Grant funding will be used to enhance 

overall drug treatment quality by incentivizing treatment providers to achieve specific 

performance targets. Examples of grant awards could include supplements for treatment 

providers who are able to connect higher proportions of detoxified patients with continuing 

recovery-oriented treatment; or for outpatient providers who are able to successfully retain 

greater proportions of patients in active treatment participation for longer time periods. 
195

In FY 2012, SAMHSA will fund the continuation of 210 grants and 37 contracts as well as 103 

new grants. The FY 2013 request supports the continuation of 194 grants and 21 contracts as 

well as 79 new grants and 7 new contracts.

Substance Abuse Block Grant

FY 2013 Request: $1.449 billion

(Reflects $7.5 million decrease from 2012)

The overall goal of the SABG is to support and expand substance abuse treatment services, while 

providing maximum flexibility to states. States and territories may expend their funds only for 

the purpose of planning, carrying out, and evaluating activities related to these services. States 

may provide SABG funds to community and faith-based organizations to provide services. Of 

the amounts appropriated for the SABG, 95 percent are distributed to states through a formula 

prescribed by the authorizing legislation. Factors used to calculate the allotments include total 

personal income; state population data by age groups (total population data for territories); total 

taxable resources; and a cost of services index factor. Remaining funds are used for data 

collection, technical assistance, and program evaluation, which are retained by SAMHSA for 

these purposes. The set-aside is distributed among CSAP, CSAT, and CBHSQ for purposes of 

carrying out the functions prescribed by the SABG legislation. The FY 2010 resources of $1.455 

billion provided grant awards to 60 jurisdictions: states, territories, the District of Columbia, and 

the Red Lake Band of Chippewa Indians in Minnesota. These resources will support 

approximately 2 million treatment episodes. The SABG program in FY 2011 is funded at the 

same level as FY 2010, and will provide support to the current 60 jurisdictions for a similar level 

of prevention and treatment services. The FY 2012 request of $1.499 billion will provide support 

to the current 60 jurisdictions for a similar level of treatment services.
196

Health Surveillance and Program Support

The FY 2013 Request of $187.7 million, supports staffing and activities to administer SAMHSA 

programs. This includes:

Health Surveillance and Program Support

FY 2013 Request: $121.2 million

(Reflects $3. 2 million decrease from 2012)

Health Surveillance and Program Support provides funding for personnel costs, building and 

facilities, equipment, supplies, administrative costs and associated overhead to support 

SAMHSA programmatic activities as well as providing funding for SAMHSA national data 

collection and survey systems, funding to support the CDC NHIS Survey, and the data archive. 

This represents 100% of the total funding available for these activities which is which is split 

80/20 between Treatment and Prevention. 

Public Awareness and Support

FY 2013 Request: $13.6 million

(Reflects $0.03 million increase from 2012)

Public Awareness and Support provides funding to support the unified communications approach 

to increase awareness of behavioral health, mental disorders and substance abuse issues. . This 

represents 100% of the total funding available for these activities which is split 80/20 between 

Treatment and Prevention. 

Performance and Quality Information Systems

FY 2013 Request: $13.0 million

(Reflects $0.06million increase from 2012)

Performance and Quality Information Systems provides funding to support the Consolidated 

Data Platform as well as the transition from legacy systems. This represents 100% of the total 

funding available for these activities which is split 80/20 between Treatment and Prevention. 

Behavioral Health – Tribal Prevention Grant

FY 2013 Request: $40.0million

(New for FY 2013)

Behavioral Health – Tribal Prevention Grant, requested from ACA Prevention Fund to provide a 

formula-based grant program to deliver behavioral health services specifically to Tribal 

populations. This represents 100% of the total available for this activity, consistent with our 

Drug Budget methodology and of which 100% is allocated to Prevention. 
197

SAMHSA

Affordable Care Act Prevention and Public Health Fund

Table of Contents

SAMHSA/Mental Health Page

1. Summary of Programs ........................................................................................................ 199 

2. Behavioral Health – Tribal Prevention Grants.................................................................... 197 

3. Primary and Behavioral Health Care Integration................................................................ 200 

4. Screening, Brief Intervention, & Referral to Treatment ..................................................... 202 

5. STOP UAD Act .................................................................................................................. 205 
198

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199

SAMHSA

Affordable Care Act Prevention and Public Health Fund

Summary of Programs

(Dollars in Thousands)

ACA Prevention Fund

FY 2011

Enacted

FY 2012

President's

Budget

FY 2013

OMB Re 

quest

FY 2013

+/- FY

2012

Behavioral Health - Tribal Prevention Grants.................

Primary and Behavioral Health Care Integration............

Screening, Brief Intervention, & Referral to Treatment..

Garrett Lee Smith Youth Suicide Prevention Activities... 

STOP UAD Act.......................................................... 

Health Surveillance........................................................

Total, ACA Prevention Fund

---

35,000

25,000

10,000

---

18,000

---

35,000

25,000

10,000

---

18,000

$40,000

28,000

30,000

---

7,000

---

+$40,000

-7,000

+5,000

-10,000

+7,000

-18,000

$88,000 $88,000 $105,000 +$17,000

The FY 2013 President’s Budget Request for Affordable Care Act (ACA) Prevention and Public 

Health Funds is $105 million, an increase of $17 million from the FY 2012 Enacted Level. The 

Budget Request includes $40 million for the new Behavioral Health-Tribal Prevention Grants 

(new for FY 2013), $28 million for the Primary and Behavioral Health Care Integration program 

(a decrease of $7 million from FY 2012), $30 million for Screening, Brief Intervention, & 

Referral to Treatment (an increase of $5 million from FY 2012), and $7 million for STOP UAD 

Act program (an increase of $7 million from FY 2012). 

The FY 2013 ACA Prevention Fund Budget Request includes the following increases: 

Behavioral Health-Tribal Prevention Grants: (+$40.0 million)

$40 million for Agency-Wide Initiatives for the Behavioral Health – Tribal Prevention Grant, 

from the ACA Prevention Fund to provide a formula-based grant program to deliver behavioral 

health services specifically to Tribal populations. 

Sober Truth on Preventing Underage Drinking Act (STOP UAD Act): (+$7.0 million)

$7 million requested from the ACA Prevention Fund (an increase of $7.0 million from FY 2012 

ACA Prevention Funds). The activity level is funded at the Program Level.

Screening, Brief Intervention and Referral to Treatment: (+$5.0 million) 

$30 million, requested from the ACA Prevention Fund (an increase of $5 million from the FY 

2012 ACA Prevention Funds). When accounting for discretionary funds, the Budget includes a 

total reduction of -$23.2 million for the program. 
200

The FY 2013 ACA Prevention Fund Budget Request includes the following decreases:

Primary and Behavioral Health Care Integration: (-$17.0 million) 

$28.0 million, requested from the ACA Prevention Fund (a decrease of -$17.0 million from the 

FY 2012 ACA Prevention Funds). When accounting for discretionary funds, the Budget includes 

a total reduction of -$39.7 million for the program. 

The FY 2013 Budget Request does not include funding for the following: 

Garrett Lee Smith Youth Suicide Prevention Activities:

No ACA Prevention Funds are being requested for FY 2013. A total of $44.7 million is being 

requested from Discretionary Budget Authority for these programs. Additional details can be 

found in the Mental Health Chapter of this Congressional Justification. 

Health Surveillance Activities:

No ACA Prevention Funds are being requested for FY 2013. A total of $74.2 million is being 

requested from Discretionary Budget Authority for Health Surveillance and Program Support 

activities. Additional details can be found in the Health Surveillance and Program Support 

Chapter of this Congressional Justification. 
201

Behavioral Health - Tribal Prevention Grants

(Dollars in Thousands)

FY 2011

Actuals

FY 2012

Enacted

FY 2013

Pre s ide nt's

Budget

FY 2013

+/-

FY 2012

Program Level............................................

ACA Prevention Fund (non-add) .............

---

---

---

---

$40,000

(40,000)

+$40,000

(+40,000)

Authorizing Legislation ........................................................Section 516 and 520A of the PHS Act 

and Section 4002 of the Patient Protection and Affordable Care Act 

FY 2013 Authorization ...............................................................................................................N/A 

Allocation Method ........................................................................................... Discretionary Grants 

BH – TPG Budget Request

The FY 2013 Budget Request is $40.0 million, a $36.5 million increase over the comparable FY 

2012 Enacted Level. This funding is requested through the Prevention and Public Health Fund of 

the ACA. The final distribution of $40.0 million will be determined by a formula that will be 

developed in consultation with Tribes.

SAMHSA recognizes that Tribes currently receive different levels of mental health and 

substance abuse prevention services. Through the Behavioral Health - Tribal Prevention Grant 

(BH-TPG), all Tribes would be eligible for a base funding amount, with the remaining funds 

distributed to best serve the Tribal populations. SAMHSA has held consultations consistent with 

SAMHSA’s Tribal Consultation Policy and will utilize the outcome of these consultations to 

determine how these funds would be best distributed to address as many of the needs of the 

Tribes as possible. The BH-TPG provides enhanced substance abuse (including alcohol) and 

suicide prevention funding to the Tribes to assure that their pressing needs are being met. This 

effort follows the lead of the President and Congress who have emphasized the importance of 

emotional health, prevention, and health promotion, and who have shown a commitment to the 

trust relationship of the Federal government with and for Federally-recognized Tribes.

The program will provide formula-based funds to Tribes who choose to apply. This will enable 

Tribes to develop a comprehensive plan to address the most pressing need based on treatment 

data as well as in consultation with SAMHSA. The plan would address the prevention of 

substance abuse and suicide, and will provide for coordinated services. This planning activity is 

one of the basic components of the Tribal Law and Order Act (TLOA) and the Indian Alcohol 

and Substance Abuse Act, which SAMHSA is charged by statute to coordinate. Tribes will 

continue to be eligible for these funds beyond the three-year time frame so long as they meet the 

requirements of renewal applications, provide the necessary annual reports, and show continued 

movement toward implementing their approved plans. 

The plan will reflect the results of an assessment of need, a review of the resources and capacity 

within the Tribal communities, a plan for carrying out the strategy, a monitoring of the strategy 
202

as implemented, and an evaluation of the strategy to identify strengths and weaknesses. 

SAMHSA will review and approve the plans. 

Tribes will be allowed to use a set percentage (determined based on consultations with the 

Tribes) of the funds for a combination of service and service-related activities, development and 

dissemination of prevention messages, and provider development and linkage building to support 

the Tribes in achieving outcomes. Funding for infrastructure activities will enable the Tribe to 

build service capacity. The Tribe will present data to support how the allocation will support 

infrastructure and/or provision of services. In carrying out these activities, the Tribe will be 

required to use comprehensive, evidence-based programming, and/or proven successful 

programming, based on either mainstream science or proven Tribal traditions. Up to 20 percent 

of the grant funds may be used to fund key support and development activities, such as operation 

of a Tribal prevention advisory group, support for a Tribal community coalition, access to an 

epidemiological work group, training and technical assistance to communities, data collection 

and evaluation, and oversight and monitoring of activities.

Approximately 75 percent of Federally-recognized tribes have a total enrollment of 2,000 or 

fewer persons and a greater percentage of these tribes have limited internal capacity or 

infrastructure in place to implement and support needed behavioral health services. Smaller 

Tribes will have the opportunity to work in collaboration with other small Tribes to maximize 

the impact of the resources. SAMHSA will continue to consult with the smaller Tribes to ensure 

that their needs are being met while reducing service overlap. 

To ensure that providers in both the mental health and substance abuse fields are trained in both 

substance abuse and mental illness prevention and emotional health concepts and practices, 

Tribes will be able to use funds for coordinated workforce development, training in evidencebased practices, and the development of coordinated infrastructure and service delivery systems.
203 

Outcomes and Outputs 

Key Performance Indicators for Behavioral Health-Tribal Prevention Grants 

Measure Year and Most 

Recent Result /

Target for 

Recent Result /

(Summary of 

Result)

FY 2011 

Actual 

Associated 

Target

(FY 2012)

FY 2012 

Enacted 

Associated 

Target

(FY 2013)

FY 2013 

PB

Associated 

Target 

(FY 2014)

FY 2013 

PB Associated 

Target 

(FY 2014)

+/-

FY 2012 

Enacted 

Associated 

Target 

(FY 2013)

2.3.92 Number of persons 

served (Output)

N/A N/A N/A TBD

N/A

2.3.93 Percentage of youth 

age 12-20 who report 

drinking in the past month 

(Outcome)

N/A N/A N/A TBD

N/A

2.3.98 Percentage of 

persons aged 12 and older 

who report suicide ideation 

(Outcome)

N/A N/A N/A TBD

N/A
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Primary & Behavioral Health Care Integration

(Dollars in Thousands)

FY 2011 

Actuals

FY 2012 

Enacted

FY 2013 

President’s 

Budget

FY 2013 

+/- 

FY 2012

Program Level $62,790 $65,749 $28,000 -$37,749

 ACA Prevention Funds (non-add) (35,000) (35,000) (28,000) (-7,000)

Authorizing Legislation 

Sections 520A and 520K of the Public Health Service Act and Section 

4002 of the Patient Protection and Affordable Care Act

FY 2013 Authorization $50,000,000

Allocation Method Competitive Grants

Program Description and Accomplishments

Physical health problems among people with mental illnesses impact quality of life and 

contribute to premature deaths, where these individuals die much earlier than the general 

population. While several factors contribute to this disparity, empirical findings indicate that 

early mortality among people with serious mental illnesses (SMI) is clearly linked to the lack of 

access to primary care services.

The PBHCI program supports the coordination and integration of primary care services into 

publicly-funded community behavioral health settings. The expected outcome of improved 

health status for people with serious mental illness will be achieved by encouraging grantees to 

engage in necessary partnerships, expand infrastructure, and increase the availability of primary 

health care and wellness services to individuals with mental illness. Partnerships between 

primary care and behavioral health organizations as well as information technology are deemed 

crucial to the success of this program. The population of focus for this grant program is 

individuals with serious mental illness and/or persons with co-occurring disorders served in the 

public mental health system. 

In FY 2010, SAMHSA awarded 43 additional grants, mostly funded with the Affordable Care 

Act’s Prevention Fund and awarded another 8 grants in FY 2011 (also with funds from the ACA 

Prevention Fund). In FY 2011, SAMHSA utilized $35.0 million in Affordable Care Act 

Prevention Fund for PBHCI to promote more integrated services between primary care services 

and mental health services. These funds were used to facilitate screening and referral for 

necessary primary care prevention and treatment needs. In total, SAMHSA has awarded 64 

PBHCI grants to date.

In FY 2012, SAMHSA plans to continue support to 56 existing grants, and may fully fund a 

number of new grants from both Budget Authority and the ACA Prevention Fund under Section 

520K. SAMHSA will continue to support the PBHCI-TTA center at a reduced level.

205 
206 

PBHCI Budget Request 

The PBHCI program request is $28.0 million from the ACA Prevention Fund, -$17.0 million 

below FY 2012 ACA Prevention Fund Level. The Program Level funding includes a decrease of 

-$30.749 million in Budget Authority from FY 2012, which is partially offset by the $28.000 

million requested in ACA Prevention Funds. The FY 2011 and FY 2012 funding from the ACA 

Prevention Fund allowed SAMHSA to strategically fully fund multi-year grants and monitor 

them in FY 2013. The FY 2013 requested level of funding will support 9 continuation grants 

originally awarded from Discretionary Budget Authority and 34 continuation grants originally 

awarded from ACA Prevention funds as well as the PBHCI-TA center at a reduced level. 
Screening, Brief Intervention, & Referral to Treatment

(SBIRT)

(Dollars in Thousands)

FY 2011 

Actuals

FY 2012 

Enacted

FY 2013 

President’s 

Budget

FY 2013 

+/- 

FY 2012

Program Level $51,662 $51,187 $30,000 -$21,187

 ACA Prevention Funds (non-add) (25,000) (25,000) (30,000) (+5,000)

 1/PHS is included in this amount

Authorizing Legislation 

Sections 520A and 520K of the Public Health Service Act and Section 

4002 of the Patient Protection and Affordable Care Act

FY 2013 Authorization $50,000,000

Allocation Method Competitive Grants

Program Description and Accomplishments

Screening, Brief Intervention and Referral to Treatment (SBIRT) was initiated in 

SAMHSA/CSAT in FY 2003, using cooperative agreements to expand and enhance the State or 

Tribal organization’s continuum of care. The purpose of the program is to integrate screening, 

brief intervention, referral, and treatment services within general medical and primary care 

settings. According to SAMHSA’s National Survey on Drug Use and Health (NSDUH), in 2009 

approximately 21 million people who needed treatment for a substance use disorder did not 

receive it. Of those people, 95 percent did not feel they needed treatment. Therefore, most 

people with or at risk for a substance use disorder are unlikely to seek help from the specialty 

treatment system.

The SBIRT cooperative agreements require grant recipients to effect practice change throughout 

the spectrum of medical practice. This is achieved through implementation of SBIRT programs 

in all levels of primary care, including hospitals, trauma centers, health clinics, nursing home, 

employee assistance programs, and school systems. Practice change is also envisioned as 

altering the educational structure of medical schools by developing and implementing SBIRT 

curriculum as standard and permanent practice. 

Substance abuse is one of our Nation’s most significant public health challenges, and the SBIRT 

approach can intervene early in the disease process before individuals achieve dependency, and 

can motivate the addicted client to engage in substance abuse treatment. Research and clinical 

experience supports the use of the SBIRT approach to provide effective early identification and 

interventions in primary care and general medical settings. Early identification can decrease 

total healthcare costs by arresting progression toward addiction. SBIRT also can identify 

persons with more serious problems and encourage them to obtain appropriate specialty 

treatment services.

207 
208 

Since the beginning of this program, more than 1.4 million individuals have been screened. Of 

those, 19 percent required a brief intervention, brief treatment, or referral to specialty treatment 

programs. In 2008, in an effort to incorporate SBIRT into general health care practice, 11 grants 

were awarded to embed SBIRT training and practice in medical residency programs. In 2009, an 

additional six grants were awarded, increasing the number of medical residency programs to 17. 

In FY 2010, SAMHSA/CSAT supported continuation of eight State SBIRT grants and seventeen 

Medical Residency SBIRT Training grants. In 2011, over 213,000 clients were served by the 

SBIRT Program. The percentage of clients reporting abstinence at follow-up tripled compared to 

the percentage reporting abstinence at baseline. 

SBIRT has great future potential for promoting changes to the entire primary care medical 

service delivery system. In FY 2012, SAMHSA will continue to diversify settings in which the 

SBIRT program would be expected to make an impact on health outcomes to include dentistry, 

pediatrics and adolescent care organizations, community health and mental health agencies, and 

other locations where primary care services are offered. As funding for new grants is reduced, 

efforts are underway to identify other funding streams to take this practice to scale. For example, 

new diagnostic codes have been adopted by 16 U.S. States, making it easier for doctors to get 

reimbursed for screening Medicaid patients. Likewise, alcohol screening is now available to 

Medicare beneficiaries as a preventive service without cost. In FY 2012, SAMHSA will fund 

the continuation of 27 SBIRT grants and two contracts as well as three new multi-year grants 

funded out of the ACA Prevention Fund and will continue to monitor the progress of the three 

FY 2011 multi-year ACA Prevention Fund grants. 

SBIRT Budget Request 

The SBIRT program request is $30.000 million from the ACA Prevention Fund. This reflects a 

decrease of $23.187 million in Budget Authority from FY 2012, partially offset by the $5.000 

million increase in ACA Prevention Funds. This level of funding will support the continuation of 

12 grants and 2 contracts as well as 22 new grants. The FY 2011 and FY 2012 funding from the 

ACA Prevention Fund allowed SAMHSA to strategically fully fund multi-year grants and 

monitor them in FY 201. 
209 

Outcomes and Outputs 

Key Performance Indicators for Screening, Brief Intervention, and Referral to Treatment

Measure Year and Most 

Recent Result /

Target for 

Recent Result /

(Summary of 

Result)

FY 2011 

Actual 

Associated 

Target

(FY 2012)

FY 2012 

Enacted 

Associated 

Target

(FY 2013)

FY 2013 

PB

Associated 

Target 

(FY 2014)

FY 2013 

PB 

Associated 

Target 

(FY 2014)

+/-

FY 2012 

Enacted 

Associated 

Target 

(FY 2013)

1.2.40 Number of clients 

served (Output)

FY 2011: 

213,250

Target:

139,650

(Target 

Exceeded)

139,650 139,650 75,015 -64,635

1.2.41 Percentage of clients 

receiving services who had 

no past month substance use 

(Outcome)

FY 2011: 36%

Target:

50%

(Target Not Met 

but Improved)

36% 36% 36% Maintain
210 

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Sober Truth on Preventing Underage Drinking (STOP) Act

(Dollars in thousands) 

FY 2011 

Actuals

FY 2012 

Enacted

FY 2013 

President’s 

Budget

FY 2013 

+/- 

FY 2012

Program Level $7,009 $6,987 $7,000 $13

 ACA Prevention Funds (non-add) --- --- (7,000) (+7,000)

Authorizing Legislation 

Sections 520A and 520K of the Public Health Service Act and Section 

4002 of the Patient Protection and Affordable Care Act

FY 2013 Authorization $50,000,000

Allocation Method Competitive Grants

Program Description and Accomplishments

The Sober Truth on Preventing Underage Drinking Act (STOP Act) of 2006 is the nation’s first 

comprehensive legislation on underage drinking. The Act recognizes underage drinking 

prevention as a public health priority and, as a result, authorizes a number of efforts that all aim 

to reduce the national prevalence of underage drinking. One of the primary components of the 

Act is the STOP Act grant program that provides additional funds to organizations that receive or 

have received grant funds under the Drug Free Communities Act of 1997. Through the STOP 

Act grant program, organizations are able to supplement their current prevention efforts, as well 

as strengthen collaboration and coordination among stakeholders in order to achieve a reduction 

in underage drinking in their communities. The initial program, funded in FY 2008, provided 79 

four year grants to local communities with up to $50,000 per community per year. In FY 2011, a 

total of 99 grants received funding under this initiative. The FY 2012 level of funding supports

78 new grants for up to $50,000 per grant per year for up to four years. 

Another component of the STOP Act is the National Adult-Oriented Media Public Service 

Campaign, with funding up to $1.0 million in FY 2012. The Underage Drinking Prevention 

campaign educates and urges parents to speak with their children, age 11-15, about underage 

drinking in order to delay the onset of, and ultimately reduce, underage drinking. Nationwide, 

38.9 percent of the estimated 10 million underage drinkers were provided free alcohol by adults 

21 or older—representing a slight increase from 2009 (2010 NSDUH). Further, research 

continues to show that parents of teens generally underestimate the extent of alcohol used by 

youth and its negative consequences--with the vast majority viewing underage drinking as 

―inevitable.‖ Many parents also find it difficult to know how or when to start a conversation 

with their children about underage drinking. Through TV, radio, print, and outdoor activities, 

SAMHSA’s multicultural campaign seeks to overcome parents’ misperceptions about underage 

drinking by creating a greater urgency around the issue and encourages them to communicate 

with their children at an early age about alcohol. Parents and viewers are encouraged to visit 

www.stopalcoholabuse.gov, funded through the media campaign, to get information about teens 

and alcohol, as well as tips on how to initiate conversations with their children about underage 

drinking. 

211 
212 

The third important component of the STOP Act is the Federal Interagency Coordinating 

Committee on the Prevention of Underage Drinking (ICCPUD), which includes representatives 

from 15 Federal agencies and is funded at $1.0 million in FY 2012. The ICCPUD provides 

ongoing, high-level leadership on the issue of underage drinking and serves as a mechanism for 

coordinating Federal efforts aimed at preventing and reducing underage drinking. The ICCPUD 

also produces an Annual Report summarizing all programs and policies of Federal agencies 

designed to prevent and reduce underage drinking as well as the State-level activities pertaining 

to underage drinking prevention programs, policies, enforcement efforts, and expenditures. In 

FY 2012, the ICCPUD will work with the Surgeon General’s office to draft a new National 

Strategy for Preventing Underage Drinking, updating and expanding the 2007 Surgeon General’s 

Call to Action to Prevent Underage Drinking. 

Performance data show that, for two consecutive fiscal years, the STOP Act grant program has 

exceeded targets of increasing the percentage of grantees that show a 5 percent or more reduction 

in past 30-day use of alcohol in at least two grade levels. This accomplishment is significant as 

reducing the prevalence of underage drinking is the primary legislative goal of the STOP Act. 

Additional performance data suggest that the program has demonstrated improvement in the 

percentage of grantees that report increases in levels of parental disapproval of substance use—

showing a nearly 6 percentage point increase from FY 2009. However, the program has not met 

or improved on increasing youth perception of risk of harm—a key predictor to substance use. 

Likewise, the number of deaths as a result of underage drinking remains unchanged at 

approximately 5,000 annually. As part of SAMHSA’s Strategic Initiative around Data, 

Outcomes, and Quality, Government Project Officers (GPOs) of all prevention programs have 

been working closely with analysts to identify and discuss challenges and barriers reported by 

grantees. Using a combination of qualitative and quantitative data, GPOs are gaining better 

insight into the needs of grantees and are providing the necessary technical assistance and 

guidance to improve program performance in these areas. 

STOP Act Budget Request 

The FY 2013 Budget Request is $7.0 million in the ACA Prevention Fund. This reflects a 

decrease of $6.987 million in Budget Authority offset by the $7.0 million increase in the ACA 

Prevention Fund. This level of funding will support 78 continuation grants, 22 new grants, 1 

continuation contract, and 1 new contract. 
213 

Outcomes and Outputs 

Key Performance Indicators for Sober Truth on Preventing Underage Drinking (STOP 

Act)1

Measure Year and 

Most Recent 

Result /

Target for 

Recent 

Result /

(Summary of 

Result)

FY 2011 

Actual 

Associated 

Target

(FY 2012)

FY 2012 

Enacted 

Associated 

Target

(FY 2013)

FY 2013 

PB

Associated 

Target 

(FY 2014)

FY 2013 

PB 

Associated 

Target 

(FY 2014)

+/-

FY 2012 

Enacted 

Associated 

Target 

(FY 2013)

3.3.01 Increase the percentage of 

coalitions that report at least 5% 

improvement in the past 30-day 

use of alcohol in at least two 

grades (Outcome)

FY 2010: 

67.3%

Target:

41%

(Target 

Exceeded)

46.7% 40%240%3 Maintain

3.3.02 Percentage of coalitions 

that report improvement in youth 

perception of risk from alcohol in 

at least two grades (Outcome)

FY 2010: 

45.5%

Target:

63.4%

(Target Not 

Met)

63.4% 60.9%460.9%5 Maintain

1

The STOP Act program provides additional funds to current or prior Drug Free Community Program (DFC) grantees to support activities 

targeting underage alcohol. As is the case with the DFC grantees, STOP ACT Grantees collect performance data using a variety of school and 

community surveys and report them online through the COMET (Coalition Online Management and Evaluation Tool) system every two years - 

thereby affecting the ability to make accurate comparisons of performance from year to year. Lastly, Cohort I of STOP Act will close-out at the 

end of FY 2013 and Cohort II will close-out at the end of FY 2013. As a result, targets for performance measures have been decreased to reflect 

cohort effects.

2

Target has been changed from previously reported. The target has been decreased due to cohort effects. Now, the target reflects close–out of 

Cohort I and start of Cohort III.

3

Target reflects close–out of Cohort II and the start up of future cohorts.

4

Target has been changed from previously reported. Target has been decreased due to cohort effect. This target now reflects the close–out of 

Cohort I and start of Cohort III.

5

Target reflects close–out of Chort II and start up of future cohorts.
214 

Measure Year and 

Most Recent 

Result /

Target for 

Recent 

Result /

(Summary of 

Result)

FY 2011 

Actual 

Associated 

Target

(FY 2012)

FY 2012 

Enacted 

Associated 

Target

(FY 2013)

FY 2013 

PB

Associated 

Target 

(FY 2014)

FY 2013 

PB 

Associated 

Target 

(FY 2014)

+/-

FY 2012 

Enacted 

Associated 

Target 

(FY 2013)

3.3.03 Percentage of coalitions 

that report improvement in youth 

perception of parental disapproval 

on the use of alcohol in at least 

two grades (Outcome)

FY 2010: 

48.8%

Target:

56.7%

(Target Not 

Met but 

Improved)

56.7% 54.5%654.5%7 Maintain

6

Target has been changed from previously reported. Target has been decreased due to cohort effect. Now, the target reflects close–out of Cohort I 

and start of Cohort III. 

7

Target reflects the close–out of Cohort II and the start up of future cohorts.
215 

Substance Abuse and Mental Health Services Administration

Object Classification Tables – Mental Health (Dollars in Thousands) 

Object Class-Direct Budget Authority FY 2012 Estimate FY 2013 Estimate FY 2013 +/- FY 2012

Direct Obligations:

Personnel Compensation:

Full Time Permanent (11.1) $1,200 $1,676 + $476

Other than Full-Time Permanent (11.3) 58 81 + 23

Other Personnel Compensation (11.5) 28 39 +11

Military Personnel Compensation (11.7) 100 143 +43

Special personal services payments (11.8) 1 1 -----

Subtotal Personnel Compensation: 1,387 1,940 + 553

Civilian Personnel Benefits (12.1) 333 465 +132

Military Personnel Benefits (12.2) 50 72 +22

Benefits for Former Personnel (13.1) ----- ----- -----

Subtotal Pay Costs: 1,770 2,477 + 707

Travel (21.0) 49 37 -12

Transportation of Things (22. 0) ----- ----- -----

Rental Payments to GSA (23.1) ----- ----- -----

Rental Payments to Others (23.2) ----- ----- -----

Communications, Utilities and Misc. Charges (23.3) 6 4 -2

Printing and Reproduction (24.0) 190 142 - 48

Other Contractual Services:

Advisory and Assistance Services (25.1) 6950 5211 -1739

Other Services (25.2) 39645 29725 -9920

Other Purchases of Goods & Svc from Govt. Accts (25.3) 38549 28903 -9646

Operation & Maintenance of Facilities (25.4) 558 418 -140

Medical Care (25.6) ----- ----- -----

Operation and Maintenance of Equipment (25.7) ----- ----- -----

Subtotal Other Contractual Services: 85947 64441 -21507

Supplies and Materials (26.0) 81 60 -21

Equipment (31.0) ----- ----- -----

Grants, Subsidies, and Contributions (41.0) 844991 835855 9136

Insurance Claims & Indemnities (42.0) 31 23 -8

Interest & Dividends (43.0) ----- ----- -----

Subtotal Non-Pay Costs 931050 900379 -30671

Total Budget Authority: 932820 902856 -29964
216 

Substance Abuse and Mental Health Services Administration

Object Classification Tables – Substance Abuse Prevention (Dollars in Thousands) 

Object Class-Direct Budget Authority FY 2012 Estimate FY 2013 Estimate FY 2013 +/- FY 2012

Direct Obligations:

Personnel Compensation:

Full Time Permanent (11.1) $92 $93 + $1

Other than Full-Time Permanent (11.3) 4 5 + 1

Other Personnel Compensation (11.5) 2 2 -----

Military Personnel Compensation (11.7) 8 8 -----

Special personal services payments (11.8) ----- ----- -----

Subtotal Personnel Compensation: 106 108 + 2

Civilian Personnel Benefits (12.1) 26 26 -----

Military Personnel Benefits (12.2) 4 4 -----

Benefits for Former Personnel (13.1) ----- ----- -----

Subtotal Pay Costs: 136 138 + 2

Travel (21.0) ----- ----- -----

Transportation of Things (22. 0) ----- ----- -----

Rental Payments to GSA (23.1) ----- ----- -----

Rental Payments to Others (23.2) ----- ----- -----

Communications, Utilities and Misc. Charges (23.3) ----- ----- -----

Printing and Reproduction (24.0) 264 81 - 183

Other Contractual Services:

Advisory and Assistance Services (25.1) 4160 1275 - 2885

Other Services (25.2) 43350 13281 - 30069

Other Purchases of Goods & Svc from Govt. Accts (25.3) 4109 1259 - 2850

Operation & Maintenance of Facilities (25.4) ----- ----- -----

Medical Care (25.6) ----- ----- -----

Operation and Maintenance of Equipment (25.7) 89 27 - 62

Subtotal Other Contractual Services: 51972 15923 - 36049

Supplies and Materials (26.0) ----- ----- -----

Equipment (31.0) ----- ----- -----

Grants, Subsidies, and Contributions (41.0) 477953 447280 - 30673

Insurance Claims & Indemnities (42.0). 121 37 - 84

Interest & Dividends (43.0) ----- ----- -----

Subtotal Non-Pay Costs 530046 463240 - 66806

Total Budget Authority: 530182 463378 - 66804
217 

Substance Abuse and Mental Health Services Administration

Object Classification Tables – Substance Abuse Treatment (Dollars in Thousands) 

Object Class-Direct Budget Authority FY 2012 Estimate FY 2013 Estimate FY 2013 +/- FY 2012

Direct Obligations:

Personnel Compensation:

Full Time Permanent (11.1) $5163 $5959 +$796

Other than Full-Time Permanent (11.3) 250 288 +38

Other Personnel Compensation (11.5) 120 138 +18

Military Personnel Compensation (11.7) 437 510 +73

Special personal services payments (11.8) 5 5 -----

Subtotal Personnel Compensation: 5975 6900 +925

Civilian Personnel Benefits (12.1) 1432 1652 +220

Military Personnel Benefits (12.2) 218 255 +37

Benefits for Former Personnel (13.1) ----- ----- -----

Subtotal Pay Costs: 7625 8807 +1182

Travel (21.0) 46 37 -9

Transportation of Things (22. 0) ----- ----- -----

Rental Payments to GSA (23.1) ----- ----- -----

Rental Payments to Others (23.2) ----- ----- -----

Communications, Utilities and Misc. Charges (23.3) 145 116 -29

Printing and Reproduction (24.0) 511 407 -104

Other Contractual Services:

Advisory and Assistance Services (25.1) 2857 2275 -582

Other Services (25.2) 21350 16994 4356

Other Purchases of Goods & Svc from Govt. Accts (25.3) 1866 1486 -380

Operation & Maintenance of Facilities (25.4) 51 40 -11

Medical Care (25.6) ----- ----- -----

Operation and Maintenance of Equipment (25.7) 52 41 -11

Subtotal Other Contractual Services: 26878 21396 +18597

Supplies and Materials (26.0) 95 76 -19

Equipment (31.0) 13 11 -2

Grants, Subsidies, and Contributions (41.0) 1740538 1680755 -59783

Insurance Claims & Indemnities (42.0) ----- ----- -----

Interest & Dividends (43.0) ----- ----- -----

Subtotal Non-Pay Costs 1767524 1702238 -65286

Total Budget Authority: 1775149 1711045 -64104
218 

Substance Abuse and Mental Health Services Administration

Object Classification Tables – Health Surveillance and Program Support (Dollars in Thousands) 

Object Class-Direct Budget Authority FY 2012 Estimate FY 2013 Estimate FY 2013 +/- FY 2012

Direct Obligations:

Personnel Compensation:

Full Time Permanent (11.1) $42518 $41618 +$900

Other than Full-Time Permanent (11.3) 2058 2014 -44

Other Personnel Compensation (11.5) 984 964 -20

Military Personnel Compensation (11.7) 3594 3561 -33

Special personal services payments (11.8) 38 37 -1

Subtotal Personnel Compensation: 49192 48194 -998

Civilian Personnel Benefits (12.1) 11786 11537 -249

Military Personnel Benefits (12.2) 1794 1778 -16

Benefits for Former Personnel (13.1) ----- ----- -----

Subtotal Pay Costs: 62772 61509 -1263

Travel (21.0) 1050 715 -335

Transportation of Things (22. 0) 44 31 -13

Rental Payments to GSA (23.1) 6487 6551 +65

Rental Payments to Others (23.2) ----- ----- -----

Communications, Utilities and Misc. Charges (23.3) 2 1 -1

Printing and Reproduction (24.0) 328 90 -238

Other Contractual Services:

Advisory and Assistance Services (25.1) ----- ----- -----

Other Services (25.2) 14080 1116 -12964

Other Purchases of Goods & Svc from Govt. Accts (25.3) 21408 3024 -18384

Operation & Maintenance of Facilities (25.4) 620 171 -449

Medical Care (25.6) ----- ----- -----

Operation and Maintenance of Equipment (25.7) 63 17 -46

Subtotal Other Contractual Services: 44082 11716 -32365

Supplies and Materials (26.0) 330 231 -99

Equipment (31.0) 35 24 -11

Grants, Subsidies, and Contributions (41.0) ----- ----- ------

Insurance Claims & Indemnities (42.0) 1650 750 -900

Interest & Dividends (43.0) ----- ----- -----

Subtotal Non-Pay Costs 46097 12721 -33375

Total Budget Authority: 108869 74229 -34640
219 

Substance Abuse and Mental Health Services Administration

Salaries and Expenses (Dollars in Thousands) 

Salary and Expenses FY 2011

Actuals

FY 2012 

Enacted

FY 2013 

Pres. Budget

FY 2013 +/-

FY 2012

Direct Obligations:

Personnel Compensation:

Full Time Permanent (11.1) $46702 $48973 $49346 +$373

Other than Full-Time Permanent (11.3) 2259 2370 2388 +18

Other Personnel Compensation (11.5) 1081 1134 1143 +9

Military Personnel Compensation (11.7) 3686 4139 4222 +83

Special personal services payments (11.8) 41 44 43 -1

Subtotal Personnel Compensation: 53769 56660 57142 +482

Civilian Personnel Benefits (12.1) 12946 13577 13680 +103

Military Personnel Benefits (12.2) 1840 2066 2109 +43

Subtotal Pay Costs: 68555 72303 72931 +628

Travel (21.0) 1444 1145 789 -356

Transportation of Things (22. 0) 53 44 31 -13

Rental Payments to Others (23.2) ----- ----- ----- -----

Communications, Utilities and Misc. Charges (23.3) 560 153 121 -32

Printing and Reproduction (24.0) 2746 1293 720 -573

Other Contractual Services:

Advisory and Assistance Services (25.1) 16778 8115 5090 -3025

Other Services (25.2) 207101 116293 60016 -56277

Other Purchases of Goods & Svc from Govt. Accts (25.3) 23336 16650 8756 -7894

Operation & Maintenance of Facilities (25.4) 1530 1229 629 -600

Operation and Maintenance of Equipment (25.7) 330 204 85 -119

Subtotal Other Contractual Services: 249074 142491 74576 -67915

Supplies and Materials (26.0) 890 506 367 -139

Subtotal Non-Pay Costs 254767 145632 76604 -69028

Total, Salaries and Expenses 323322 217935 149535 68400

Rental Payments to GSA (23.1) 6422 6487 6551 +65

Grand Total, Salaries, Expenses, and Rent 329745 224422 156086 -68335

Direct FTE: 497 524 524 -----
220 

Substance Abuse and Mental Health Services Administration 

Detail of Full Time Equivalent (FTE)

2011 

Act. 

Civilian

2011 

Act. 

Military

2011 

Act. 

Total

2012 

Act. 

Civilian

2012 

Act. 

Military

2012 

Act.

Total

2013 

Act. 

Civilian

2013 

Act. 

Military

2013 

Act. 

Total

CMHS

Direct: 101 15 116 100 16 116 97 16 113

Reimbursable: 2 1 3 2 1 3 2 1 3

Total: 103 16 119 102 17 119 99 17 116

CSAP

Direct: 81 12 93 74 13 87 67 13 80

Reimbursable: 7 4 11 7 4 11 7 4 11

Total: 88 16 104 81 17 98 74 17 91

CSAT

Direct: 97 9 106 97 11 108 94 11 105

Reimbursable: 2 ----- 2 2 ----- 2 2 ----- 2

Total: 99 9 108 99 11 110 96 11 107

OC

Direct: 13 1 14 13 1 14 13 1 14

Reimbursable: ----- ----- ----- ----- ----- ----- ----- ----- -----

Total: 13 1 14 13 1 14 13 1 14

IOA

Direct: 7 ----- 7 8 ----- 8 8 1 9

Reimbursable: ----- ----- ----- ----- ----- ----- ----- ----- -----

Total: 7 ----- 7 8 ----- 8 8 1 9

OFR

Direct: 62 2 64 64 3 67 63 3 66

Reimbursable: 7 1 8 7 1 8 7 1 8

Total: 69 3 72 75 4 75 70 4 74

CBHSQ

Direct: 30 4 34 47 6 53 60 5 65

Reimbursable: 1 ----- 1 ----- ----- ----- ----- ----- -----

Total: 31 4 35 47 6 53 60 5 65

OPPI

Direct: 29 ----- 29 42 1 43 48 1 49

Reimbursable: ----- ----- ----- ----- ----- ----- ----- ----- -----

Total: 29 ----- 29 42 1 43 48 1 49

OMTO

Direct: 52 1 53 51 1 52 46 1 47

Reimbursable: ----- ----- ----- ----- ----- ----- ----- ----- -----

Total: 52 1 53 51 1 52 46 1 47

St. Elizabeths 

Direct: ----- ----- ----- ----- ----- ----- ----- ----- -----

Reimbursable: ----- 6 6 ----- 3 3 ----- 3 3

Total: ----- 6 6 ----- 3 3 ----- 3 3

SAMHSA 

FTE Total: 491 56 547 513 61 574 513 61 574

Total Direct 472 44 516 495 52 547 495 52 547

Total 

Reimbursable 19 12 31 18 9 27 18 9 27
221

Substance Abuse and Mental Health Services Administration 

Detail of Positions 

2011 

Actual

2012 

Estimate

2013 

Estimate

Executive Level I 0 0 0

Executive Level II 0 0 0

Executive Level III 0 0 0

Executive Level IV 1 1 1

Executive Level V 0 0 0

Subtotal 1 1 1

Total - Exe c Level Salaries $157 $157,169 $157,169

SES 12 14 14

Subtotal 13 15 15

Total, SES salaries $1,855 $2,170,196 $2,170,196

GM/GS-15/EE 71 71 71

GM/GS-14 138 138 138

GM/GS-13 145 146 146

GS-12 37 40 40

GS-11 16 20 20

GS-10 2 3 3

GS-09 21 22 22

GS-08 17 17 17

GS-07 13 18 18

GS-06 13 10 10

GS-05 4 9 9

GS-04 1 2 2

GS-03 0 1 1

GS-02 0 1 1

GS-01 0 0 0

Subtotal 478 498 498

Total, GS salaries $51,169,991 $52,867,091 $52,867,091

CC-08/09 1 0 0

CC-07 1 1 1

CC-06 11 13 13

CC-05 14 16 16

CC-04 17 19 19

CC-03 9 10 10

CC-02 2 2 2

CC-01 0 0 0

Subtotal 56 61 61

Total, CC salaries $6,635,143 $7,298,164 $7,414,935

Total Positions 547 574 574

ES ES ES

Ave rage ES salary $157,169 $157,169 $157,169

Ave rage SES level SES SES SES

Ave rage SES salary $154,593 $155,014 $155,014

Ave rage GS grade 12.6 12.4 12.4

Ave rage GS salary $107,050 $106,159 $106,159

Ave rage CC level 4.5 4.6 4.6

Ave rage CC salaries $117,902 $119,642 $121,556
222 

Substance Abuse and Mental Health Services Administration

Statement of Personnel Resources 

Total Full-Time Equivalents (Workyears)

FY 2011 Actual FY 2012 Estimate FY 2013 Estimate

Direct:

Program, Project or Activity:

Health Surveillance & Program Support 458 475 471

Mental Health Services 0 13 18

Substance Abuse Prevention 0 1 1

Substance Abuse Treatment 0 12 18

Normalized Attrition 1/ 0 -29 -39

SAMHSA Regional Staff 1 13 13

b. Substance Abuse Services and Prevention BG 40 44 46

c. PEPFAR 2 2 2

Total, Direct Ceiling FTE 501 531 530

Reimbursable:

Program, Project or Activity:

a. Program Management 10 6 6

b. Mental Health Block Grant (PHS Evaluation Funds) 15 16 17

c. Drug Free Communities 21 21 21

Total, Reimbursable Ceiling FTE 46 43 44

Total, Ceiling FTE 547 574 574

Total, Civilian FTE 491 513 513

Total, Military FTE 56 61 61
223

FY 2013 HHS Enterprise Information Technology and 

Government-Wide E-Gov Initiatives 

OPDIV Allocation Statement: 

The SAMHSA will use $269,021.00 of its FY 2013 budget to support Department-wide 

enterprise information technology and government-wide E-Government initiatives. Operating 

Divisions help to finance specific HHS enterprise information technology programs and 

initiatives, identified through the HHS Information Technology Capital Planning and Investment 

Control process, and the government-wide E-Government initiatives. The HHS enterprise 

initiatives meet cross-functional criteria and are approved by the HHS IT Investment Review 

Board based on funding availability and business case benefits. Development is collaborative in 

nature and achieves HHS enterprise-wide goals that produce common technology, promote 

common standards, and enable data and system interoperability.

Of the amount specified above, $55,957.00 is allocated to developmental government-wide EGovernment initiatives for FY 2013. This amount supports these government-wide EGovernment initiatives as follows:

FY 2013 Developmental E-Gov Initiatives*

 Line of Business - Human Resources $1,000.00

 Line of Business - Grants Management $1,866.00

 Line of Business - Financial $6,021.00

 Line of Business - Budget Formulation and Execution $4,421.00

 Disaster Assistance Improvement Plan $6,782.00

 Federal Health Architecture (FHA) $0.00

35,867.00

 Line of Business - Geospatial $0.00

FY 2013 Developmental E-Gov Initiatives Total $55,957.00 

* Specific levels presented here are subject to change, as redistributions to meet changes in resource demands are 

assessed.

Prospective benefits from these initiatives are: 

Lines of Business-Human Resources Management: Provides standardized and interoperable 

HR solutions utilizing common core functionality to support the strategic management of Human 

Capital 

Lines of Business-Grants Management: Supports end-to-end grants management activities 

promoting improved customer service; decision making; financial management processes; 

efficiency of reporting procedure; and, post-award closeout actions. The Administration for 

Children and Families (ACF), is a GMLOB consortia lead, which has allowed ACF to take on 

customers external to HHS. These additional agency users have allowed HHS to reduce overhead 

costs for internal HHS users. Additionally, 
224

NIH is an internally HHS-designated Center of Excellence. This effort has allowed HHS 

agencies using the NIH system to reduce grants management costs. Both efforts have allowed 

HHS to achieve economies of scale and efficiencies, as well as streamlining and standardization 

of grants processes, thus reducing overall HHS costs for grants management systems and 

processes. 

Lines of Business –Financial Management: Supports efficient and improved business 

performance while ensuring integrity in accountability, financial controls and mission 

effectiveness by enhancing process improvements; achieving cost savings; standardizing 

business processes and data models; promoting seamless data exchanges between Federal 

agencies; and, strengthening internal controls. 

Lines of Business-Budget Formulation and Execution: Allows sharing across the Federal 

government of common budget formulation and execution practices and processes resulting in 

improved practices within HHS. 

Disaster Assistance Improvement Plan (DAIP): The DAIP, managed by Department of 

Homeland Security, assists agencies with active disaster assistance programs such as HHS to 

reduce the burden on other federal agencies which routinely provide logistical help and other 

critical management or organizational support during disasters. 

In addition, $213,064.00 is allocated to ongoing government-wide E-Government initiatives for 

FY 2013. This amount supports these government-wide E-Government initiatives as follows:

FY 2013 Ongoing E-Gov Initiatives*

 E-Rule Making $11,912.00

 Integrated Acquisition Environment $41,047.00

 GovBenefits $20,744.00

 Grants.Gov $139,361.00

FY 2013 Ongoing E-Gov Initiatives Total $213,064.00 

* Specific levels presented here are subject to change, as redistributions to meet changes in resource demands are 

assessed.
225 

Mental Health Programs of Regional and National Significance

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands) 

Programs of Regional & 

National Significance

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

CAPACITY:

Co-Occurring SIG

Grants

 Continuations ----- $ ----- ----- $ ----- ----- $ -----

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal ----- ----- ----- ----- ----- -----

Contracts

 Continuations ----- ----- ----- ----- ----- -----

 New/Competing 1 2168 ----- ----- ----- -----

 Subtotal 1 2168 ----- ----- ----- -----

Total, Co-Occurring SIG 1 2168 ----- ----- ----- -----

Seclusion & Restraint

Grants

 Continuations ----- ----- ----- ----- ----- -----

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal ----- ----- ----- ----- ----- -----

Contracts

 Continuations 1 2449 1 2444 ----- -----

 New/Competing ----- ----- ----- ----- 1 1149

 Subtotal 1 2449 1 2444 1 1149

Total, Seclusion & Restraint 1 2449 1 2444 1 1149

Youth Violence Prevention

Grants

 Continuations 1 6000 22 8035 26 5424

 New/Competing ----- ----- 5 3385 13 9039

 Subtotal 1 6000 27 11420 39 14463

Contracts

 Continuations 5 70967 4 11736 2 7393

 New/Competing 1 708 ----- ----- 1 1300

 Subtotal 6 71675 4 11736 3 8693

Total, Youth Violence Prevention 7 77675 31 23156 42 23156

National Traumatic Stress Network

Grants

 Continuations 47 25953 3 1792 71 39500

 New/Competing ----- ----- 71 39500 2 1595

 Suupplements 15 7997

 Subtotal 47 33950 74 41292 73 41095

Contracts

 Continuations 1 6427 1 3963 1 3907

 New/Competing 1 338 ----- 458 1 711

 Subtotal 1 6765 1 4421 2 4618

Total, National Traumatic Stress Network 49 40715 75 45713 75 45713

Children and Family Programs

Grants

 Continuations 7 4107 14 5722 14 5722

 New/Competing 7 2141 ----- ----- ----- -----

 Subtotal 14 6248 14 5722 14 5722

Contracts

 Continuations 2 2079 2 752 2 752

 New/Competing ----- 867 ----- ----- ----- -----

 Subtotal 2 2946 2 752 2 752

Total, Children and Family Programs 16 9194 16 6474 16 6474
226 

Mental Health Programs of Regional and National Significance

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands) 

Programs of Regional & 

National Significance

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

CAPACITY:

Consumer and Family Network Grants 

Grants

 Continuations 73 $5027 56 $3858 16 $1087

 New/Competing ----- ----- 16 1087 38 2670

 Subtotal 73 5027 72 4945 54 3757

Contracts

 Continuations 1 1209 1 1279 1 1209

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal 1 1209 1 1279 1 1209

Total, Consumer & Family Network Grants 74 6236 73 6224 55 4966

MH System Transformation and Health Reform

Grants

 Continuations 41 16339 31 8621 31 8621

 New/Competing 11 2150 ----- ----- ----- -----

 Subtotal 52 18489 31 8621 31 8621

Contracts

 Continuations 3 7298 2 1982 2 1982

 New/Competing 1 728 ----- ----- ----- -----

 Subtotal 4 8026 2 1982 2 1982

Total, MHSTHR 56 26515 33 10603 33 10603

Primary and Behavioral Health Care Integration

Grants

 Continuations 58 32207 56 27250 43 20757

 New/Competing 8 15035 22 35958 12 4977

 Supplements 56 13789 ----- ----- ----- -----

 Subtotal 122 61031 78 63208 55 25734

Contracts

 Continuations 1 1759 ----- 2541 ----- 270

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal 1 1759 ----- 2541 ----- 270

Total, PBHCI 123 62790 78 65749 55 26004

Community Resilience and Recovery Initiative

Grants

 Continuations 3 4163 ----- ----- ----- -----

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal 3 4163 ----- ----- ----- -----

Contracts

 Continuations 1 747 ----- ----- ----- -----

 New/Competing ----- 90 ----- ----- ----- -----

 Subtotal 1 837 ----- ----- ----- -----

Total, CRRI 4 5000 ----- ----- ----- -----

Suicide Lifeline

Grants

 Continuations 7 3720 12 726 7 4059

 New/Competing 7 2065 2 5405 6 360

 Subtotal 14 5785 14 6131 13 4419

Contracts

 Continuations 1 1290 ----- 1086 ----- 1093

 New/Competing 1 152 ----- ----- ----- -----

 Subtotal 2 1442 ----- 1086 ----- 1093

Total, Suicide Lifeline 16 7227 14 7217 13 5512
227 

Mental Health Programs of Regional and National Significance 

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands) 

Programs of Regional & 

National Significance

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

CAPACITY:

GLS - Youth Suicide Prevention - States

Grants

 Continuations 18 $8896 38 $21665 51 $23825

 New/Competing 38 21677 17 8231 ----- -----

 Subtotal 56 30573 55 29896 51 23825

Contracts

 Continuations 1 4151 2 5546 2 5549

 New/Competing 1 515 ----- ----- ----- -----

 Subtotal 2 4666 2 5546 2 5549

Total, GLS - YSP - States 58 35239 57 35442 53 29374

Youth Suicide Prevention - Campus 

Grants

 Continuations 22 2159 21 3079 37 3777

 New/Competing 21 3120 23 2498 ----- -----

 Subtotal 43 5279 44 5577 37 3777

Contracts

 Continuations 1 899 1 919 1 1081

 New/Competing ----- 221 ----- ----- ----- -----

 Subtotal 1 1120 1 919 1 1081

Total, YSP - Campus 44 6399 45 6496 38 4858

AI/AN Suicide Prevention Initiative 

Grants

 Continuations ----- ----- ----- ----- ----- -----

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal ----- ----- ----- ----- ----- -----

Contracts

 Continuations 2 2944 2 2283 ----- 885

 New/Competing ----- ----- ----- 655 2 2053

 Subtotal 2 2944 2 2938 2 2938

Total, AI/AN Suicide Prevention Initiative 2 2944 2 2938 2 2938

Homelessness Prevention Programs

Grants

 Continuations 61 23371 74 20308 50 19124

 New/Competing 23 805 10 3892 10 4260

 Subtotal 84 24176 84 24200 60 23384

Contracts

 Continuations 3 4993 3 6572 3 7388

 New/Competing 2 1661 ----- ----- ----- -----

 Subtotal 5 6654 3 6572 3 7388

Total, Homelessness Prevention Programs 89 30830 87 30772 63 30772

Older Adult Programs 

Grants

 Continuations ----- ----- ----- ----- ----- -----

 New/Competing 5 1781 ----- ----- ----- -----

 Subtotal 5 1781 ----- ----- ----- -----

Contracts

 Continuations ----- 235 ----- ----- ----- -----

 New/Competing 1 799 ----- ----- ----- -----

 Subtotal 1 1034 ----- ----- ----- -----

Total, Older Adult Programs 6 2815 ----- ----- ----- -----

Minority AIDS 

Grants

 Continuations ----- ----- 12 8150 12 8017

 New/Competing 12 8162 ----- ----- 13 13000

 Subtotal 12 8162 12 8150 25 21017

Contracts

 Continuations ----- 170 2 1115 2 1136

 New/Competing 2 951 ----- ----- 1 617

 Subtotal 2 1121 2 1115 3 1753

Total, Minority AIDS 14 9283 14 9265 28 22770
228 

Mental Health Programs of Regional and National Significance 

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands) 

Programs of Regional & 

National Significance

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

Adult Trauma Screening and Brief Intervention

Grants

 Continuations ----- $ ----- ----- $ ----- ----- $ -----

 New/Competing ----- ----- ----- ----- 3 2896

 Subtotal ----- ----- ----- ----- ----- -----

Contracts

 Continuations ----- ----- ----- ----- ----- -----

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal ----- ----- ----- ----- ----- -----

Total, GATSBI ----- ----- ----- ----- 3 2896

Criminal/Juvenile Justice Programs

Grants

 Continuations 13 5219 13 5231 7 2754

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal 13 5219 13 5231 7 2754

Contracts

 Continuations 1 925 2 1441 1 1370

 New/Competing 1 539 ----- ----- ----- 157

 Subtotal 2 1464 2 1441 1 1527

Total, Criminal/Juvenile Justice Programs 15 6683 15 6672 8 4281

Subtotal, CAPACITY 575 334162 541 259165 485 221466

SCIENCE AND SERVICE:

GLS - Suicide Prevention Resource Center

Grants

 Continuations 1 4471 1 4471 1 4471

 New/Competing 1 1000 1 1000 ----- -----

 Subtotal 2 5471 2 5471 1 4471

Contracts

 Continuations ----- 486 ----- 477 ----- 477

 New/Competing ----- 5 ----- 5 ----- -----

 Subtotal ----- 491 ----- 482 ----- 477

Total, GLS - SP Resource Center 2 5962 2 5953 1 4948

Practice Improvement and Training 

Grants

 Continuations ----- ----- 1 243 1 243

 New/Competing 1 243 ----- ----- ----- -----

 Subtotal 1 243 1 243 1 243

Contracts

 Continuations 7 6749 7 7320 7 7194

 New/Competing 2 1065 1 300 ----- -----

 Subtotal 9 7814 8 7620 7 7194

Total, Info. Dissemination & Training 10 8057 9 7863 8 7437

Consumer and Consumer Support Technical Assistance Centers

Grants

 Continuations 5 1774 5 1775 5 1775

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal 5 1774 5 1775 5 1775

Contracts

 Continuations ----- 153 ----- 148 ----- 148

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal ----- 153 ----- 148 ----- 148

Total, Consumer/Cons. Support TA Ctrs 5 1927 5 1923 5 1923
229 

Mental Health Programs of Regional and National Significance 

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands) 

Programs of Regional & 

National Significance

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

Primary and Behavioral Health Care Integration TA

Grants

 Continuations ----- $ ----- ----- $ ----- ----- $ -----

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal ----- ----- ----- ----- ----- -----

Contracts

 Continuations ----- ----- ----- ----- 2 1996

 New/Competing ----- ----- 2 1996 ----- -----

 Subtotal ----- ----- 2 1996 2 1996

Total, PBHCI TA ----- ----- 2 1996 2 1996

Minority Fellowship Program

Grants

 Continuations ----- ----- 5 3455 6 3465

 New/Competing 5 3455 1 810 ----- -----

 Subtotal 5 3455 6 4265 6 3465

Contracts

 Continuations 1 824 ----- 824 ----- 290

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal 1 824 ----- 824 ----- 290

Total, Minority Fellowship Program 6 4279 6 5089 6 3755

Disaster Response

Grants

 Continuations ----- ----- ----- ----- ----- -----

 New/Competing ----- ----- ----- ----- 1 2100

 Subtotal ----- ----- ----- ----- 1 2100

Contracts

 Continuations 1 904 1 1052 1 850

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal 1 904 1 1052 1 850

Total, Disaster Response 1 904 1 1052 2 2950

Homelessness

Grants

 Continuations ----- ----- ----- ----- ----- -----

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal ----- ----- ----- ----- ----- -----

Contracts

 Continuations 1 1118 2 2302 2 2302

 New/Competing 1 1188 ----- ----- ----- -----

 Subtotal 2 2306 2 2302 2 2302

Total, Homelessness 2 2306 2 2302 2 2302

HIV/AIDS Education

Grants

 Continuations ----- ----- ----- ----- ----- -----

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal ----- ----- ----- ----- ----- -----

Contracts

 Continuations 3 487 3 749 3 773

 New/Competing ----- ----- ----- ----- ----- -----

 Supplements ----- 487 ----- 24 ----- -----

 Subtotal 3 974 3 773 3 773

Total, HIV/AIDS Education 3 974 3 773 3 773

Subtotal, SCIENCE AND SERVICE 29 24409 30 26951 29 26084

TOTAL, PRNS 604 358571 571 286116 514 247550
230 

Children’s Mental Health Services

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands) 

Children's Mental Health Services

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

Grants/Cooperative Agreements:

 Continuations 58 $83205 61 $77416 64 $76603

 New/Competing 24 14013 18 18007 ----- -----

 Supplements ----- ----- ----- ----- ----- -----

 Subtotal 76 97218 79 95423 64 76603

Contracts:

 Continuations 3 8530 3 10158 2 5988

 New/Competing ----- ----- ----- ----- ----- -----

 Supplements ----- ----- ----- ----- ----- -----

 Subtotal 3 8530 3 10158 2 5988

Technical Assistance Grants:

 Continuations 1 2503 1 2503 1 2503

 New/Competing ----- ----- ----- ----- ----- -----

 Supplements ----- ----- ----- ----- ----- -----

 Subtotal 1 2503 1 2503 1 2503

Technical Assistance Contracts:

 Continuations 3 9132 2 8811 2 3463

 New/Competing ----- ----- ----- ----- ----- -----

 Supplements ----- ----- ----- ----- ----- -----

 Subtotal 3 9132 2 8811 2 3463

Report to Congress: ----- 420 ----- 420 ----- -----

Total, Children's Mental Health 83 117803 85 117315 69 88557

Project LAUNCH

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands) 

Project LAUNCH

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

Grants/Cooperative Agreements:

 Continuations 23 $21300 25 $21300 28 $22800

 New/Competing ----- ----- 10 8700 ----- -----

 Supplements ----- ----- ----- ----- ----- -----

 Subtotal 23 21300 35 30000 28 22800

Contracts:

 Continuations 1 3206 1 4456 ----- 1950

 New/Competing ----- 200 ----- 184 ----- -----

 Supplements ----- ----- ----- ----- ----- -----

 Subtotal 1 3406 1 4640 ----- 1950

Total, LAUNCH 24 24706 36 34640 28 24750
231 

Substance Abuse Prevention Programs of Regional and National Significance

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands) 

Programs of Regional & 

National Significance

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

CAPACITY:

Mandatory Drug Testing

Contracts

 Continuations 4 $3816 5 $4835 3 $2128

 New 1 1039 ----- 361 2 2778

 Subtotal 5 4855 5 5196 5 4906

Total, Mandatory Drug Testing 5 4855 5 5196 5 4906

Minority AIDS

Grants

 Continuations 122 38562 133 39573 78 21048

 New/Competing 11 1112 ----- ----- 16 16660

 Subtotal 133 39674 133 39573 94 37708

Contracts

 Continuations ----- ----- 1 1734 2 2599

 New 1 1717 ----- ----- 1 1000

 Subtotal 1 1717 1 1734 3 3599

Total, Minority AIDS 134 41391 134 41307 97 41307

STOP Act

Grants

 Continuations 99 4912 22 1100 78 3900

 New/Competing ----- ----- 78 3887 22 1100

 Subtotal 99 4912 100 4987 100 5000

Contracts

 Continuations 2 2097 2 2000 1 1000

 New ----- ----- ----- ----- 1 1000

 Subtotal 2 2097 2 2000 2 2000

Total, STOP Act 101 7009 102 6987 102 7000

Subtotal, CAPACITY 240 53255 241 53490 204 53213
232 

Substance Abuse Prevention Programs of Regional and National Significance

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands) 

Programs of Regional & 

National Significance

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

SCIENCE AND SERVICE:

Fetal Alcohol Center of Excellence

Contracts

 Continuations 1 $9830 ----- $ ----- 1 $1000

 New ----- ----- 1 9802 ----- -----

 Subtotal 1 9830 1 9802 1 1000

Total, Fetal Alcohol Center of Excellence 1 9830 1 9802 1 1000

Center for the Application of Prevention Technologies

Grants

 Continuations ----- ----- ----- ----- ----- -----

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal ----- ----- ----- ----- ----- -----

Contracts

 Continuations 2 8074 1 8059 ----- -----

 New ----- ----- ----- ----- 1 7511

 Subtotal 2 8074 1 8059 1 7511

Total, Center for the Application of 

Prevention Technologies 2 8074 1 8059 1 7511

Science & Service Program Coordination

Contracts

 Continuations 5 4399 13 4780 2 4082

 New 1 327 ----- ----- ----- -----

 Subtotal 6 4726 13 4780 2 4082

Total, Science & Service Program 

Coordination 6 4726 13 4780 2 4082

Minority Fellowship Programs

Grants

 Continuations 1 71 1 71 1 71

 New/Competing ----- ----- ----- ----- ----- -----

 Subtotal 1 71 1 71 1 71

Total, Minority Fellowship Programs 1 71 1 71 1 71

Subtotal, SCIENCE AND SERVICE 10 22701 16 22712 5 12664

Total, PRNS 250 75956 257 76202 209 65877
233 

Substance Abuse Treatment Programs of Regional and National Significance

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands)

Programs of Regional & 

National Significance

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

CAPACITY:

Co-occurring State Incentive Grants (SIGs)

Grants

 Continuations 2 $1100 0 $0 0 $0

 New/Competing 0 0 0 0 0 0

 Subtotal 2 1100 0 0 0 0

Contracts

 Continuations 0 718 0 0 0 0

 New/Competing 1 2355 0 0 0 0

 Subtotal 1 3073 0 0 0 0

Total, Co-occurring St. Incentive Grants (SIGs) 3 4173 0 0 0 0

Opioid Treatment Programs/Regulatory Activities

Grants

 Continuations 1 494 2 998 1 499

 New/Competing 1 500 0 0 1 499

 Subtotal 2 994 2 998 2 998

Contracts

 Continuations 6 3224 12 7888 6 5533

 New/Competing 2 4335 0 0 3 2355

 Subtotal 8 7559 12 7888 9 7888

Total, Opioid Treatment Programs/Regulatory 

Activities 10 8553 14 8886 11 8886

Screening, Brief Intervention and Referral to Treatment 

Grants

 Continuations 21 15325 27 25293 12 12210

 New/Competing 9 34968 3 25000 22 15925

 Subtotal 30 50293 30 50293 34 28135

Contracts

 Continuations 2 2570 2 2894 2 1865

 New/Competing 0 799 0 0 0 0

 Subtotal 2 3369 2 2894 2 1865

Total, Screening, Brief Intervention and 

Referral to Treatment 32 53662 32 53187 36 30000

TCE - General 

Grants

 Continuations 31 11770 46 14727 30 8083

 New/Competing 29 8033 3 2520 0 0

 Subtotal 60 19803 49 17247 30 8083

Contracts

 Continuations 6 8230 6 10733 2 5173

 New/Competing 0 0 0 0 0 0

 Subtotal 6 8230 6 10733 2 5173

Total, TCE - General 66 28033 55 27980 32 13256

Pregnant & Postpartum Women

Grants

 Continuations 11 4681 20 9678 26 12764

 New/Competing 20 9696 6 3082 0 0

 Subtotal 31 14377 26 12760 26 12764

Contracts

 Continuations 1 1501 1 3210 1 3206

 New/Competing 0 0 0 0 0 0

 Subtotal 1 1501 1 3210 1 3206

Total, Pregnant & Postpartum Women 32 15878 27 15970 27 15970
234 

Substance Abuse Treatment Programs of Regional and National Significance 

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands) 

Programs of Regional & 

National Significance

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

Strengthening Treatment Access and Retention

Grants

 Continuations 0 $0 0 $0 0 $0

 New/Competing 0 0 0 0 0 0

 Subtotal 0 0 0 0 0 0

Contracts

 Continuations 1 1400 1 1672 0 0

 New/Competing 0 375 0 0 1 1000

 Subtotal 1 1775 1 1672 1 1000

Total, Strengthening Treatment 1 1775 1 1672 1 1000

Recovery Community Services Program

Grants

 Continuations 5 1728 6 2146 6 1725

 New/Competing 8 2200 0 0 2 421

 Supplements 4 600 ----- ----- ----- -----

 Subtotal 13 4528 6 2146 8 2146

Contracts

 Continuations 2 708 1 299 0 0

 New/Competing 0 0 0 0 1 299

 Subtotal 2 708 1 299 1 299

Total, Recovery Community Services Program 15 5236 7 2445 9 2445

Access to Recovery

Grants

 Continuations 30 94739 30 96771 30 91943

 New/Competing 0 0 0 0 0 0

 Subtotal 30 94739 30 96771 30 91943

Contracts

 Continuations 1 2685 1 1497 1 1833

 New/Competing 0 1530 0 0 0 0

 Subtotal 1 4215 1 1497 1 1833

Total, Access to Recovery 31 98954 31 98268 31 93776

Children and Family Programs

Grants

 Continuations 48 14332 34 10555 12 4291

 New/Competing 0 ----- 12 4283 38 11338

 Subtotal 48 14332 46 14838 50 15629

Contracts

 Continuations 4 13509 3 15782 3 12769

 New/Competing 1 2829 0 0 2 1280

 Subtotal 5 16338 3 15782 5 14049

Total, Children and Family Programs 53 30670 49 30620 55 29678

Treatment Systems for Homeless

Grants

 Continuations 72 26082 95 35878 72 26884

 New/Competing 23 9864 0 0 23 8985

 Subtotal 95 35946 95 35878 95 35869

Contracts

 Continuations ----- 2796 2 5693 2 5702

 New/Competing 2 2908 0 0 0 0

 Subtotal 2 5704 2 5693 2 5702

Treatment Systems for Homeless 97 41650 97 41571 97 41571
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Substance Abuse Treatment Programs of Regional and National Significance

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands) 

Programs of Regional & 

National Significance

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

Minority AIDS

Grants

 Continuations 127 $57134 74 $28557 91 $38556

 New/Competing 11 1800 64 30267 16 6776

 Subtotal 138 58934 138 58824 107 45332

Contracts

 Continuations 3 6017 5 7039 5 7027

 New/Competing 2 1037 0 0 0 0

 Subtotal 5 7054 5 7039 5 7027

Total, Minority AIDS 143 65988 143 65863 112 52359

Criminal Justice Activities

Grants

 Continuations 156 49134 82 26228 123 41158

 New/Competing 21 5356 90 31594 40 13822

 Subtotal 177 54490 172 57822 163 54980

Contracts

 Continuations 4 8586 6 9081 3 9160

 New/Competing 2 2112 0 0 1 995

 Subtotal 6 10698 6 9081 4 10155

Total, Criminal Justice Activities 183 65188 178 66903 167 65135

Services Accountability

Contracts

 Continuations 0 21079 0 ----- 0 -----

 New/Competing 0 0 0 0 0 0

 Subtotal 0 21079 0 0 0 0

Total, Services Accountability 0 21079 0 0 0 0

Subtotal, Capacity 666 440839 634 413365 578 354076
236 

Substance Abuse Treatment Programs of Regional and National Significance

Mechanism by Summary Listing of Activity Tables (Dollars in Thousands) 

Programs of Regional & 

National Significance

FY 2011 Actual FY 2012 Enacted FY 2013 Pres. Budget

No. Amount No. Amount No. Amount

SCIENCE AND SERVICE:

Addiction Technology Transfer Centers

Grants

 Continuations 15 $7800 0 $0 15 $7831

 New/Competing 0 0 15 8814 0 0

 Supplements 3 250 0 0 0 0

 Subtotal 15 8050 15 8814 15 7831

Contracts

 Continuations 0 0 1 250 1 250

 New/Competing 0 1031 0 0 0 0

 Subtotal 0 1031 1 250 1 250

Total, Addiction Technology Transfer Centers 15 9081 16 9064 16 8081

Minority Fellowship Program

Grants

 Continuations 0 547 0 546 0 546

 New/Competing 0 0 0 0 0 0

 Subtotal 0 547 0 546 0 546

Total, Minority Fellowship Program 0 547 0 546 0 546

Special Initiatives/Outreach

Grants

 Continuations 1 300 1 300 1 300

 New/Competing 0 0 0 0 0 0

 Subtotal 1 300 1 300 1 300

Contracts

 Continuations 2 1700 1 1967 1 1136

 New/Competing 0 0 0 0 0 0

 Subtotal 2 1700 1 1967 1 1136

Total, Special Initiatives/Outreach 3 2000 2 2267 2 1436

Subtotal, Science and Service 18 11628 18 11877 18 10063

Total, CSAT 684 431389 652 425243 596 364139
Physicians’ Comparability Allowance (PCA) Worksheet

SAMHSA

Table 1

PY 2011

(Actual)

CY 2012

(Estimates)

BY 2013*

(Estimates)

1) Number of Physicians Receiving PCAs 3 2 2

2) Number of Physicians with One-Year PCA Agreements 3 2 2

3) Number of Physicians with Multi-Year PCA Agreements 0 0 0

4) Average Annual PCA Physician Pay (without PCA payment) $143,238 $143,238 $145,387

5) Average Annual PCA Payment $19,333 $19,333 $19,623

6) Number of Physicians Receiving PCAs by Category (non-add)

 Category I Clinical Position 0 0 0

 Category II Research Position 0 0 0

 Category III Occupational Health 0 0 0

 Category IV-A Disability Evaluation 0 0 0

 Category IV-B Health and Medical Admin. 3 2 2

*FY 2013 data will be approved during the FY 2014 Budget cycle. 

7) If applicable, list and explain the necessity of any additional physician categories designated by your 

agency (for categories other than I through IV-B). Provide the number of PCA agreements per additional 

category for the PY, CY and BY.

N/A 

8) Provide the maximum annual PCA amount paid to each category of physician in your agency and explain 

the reasoning for these amounts by category. 

The maximum annual PCA amount paid was $30,000.00 to Category IV-B physician who was determined to 

qualify for priority mission by the SAMHSA Administrator. The approved allowance is based on years of service 

and retention allowance is based on number of years contract is signed. 

9) Explain the recruitment and retention problem(s) for each category of physician in your agency (this should 

demonstrate that a current need continues to persist).

SAMHSA has continually requested applicant certifications for qualified physicians from HHS, looked at PHS 

Commissioned Corps Officers, and have advertised number positions that were unsuccessfully filled in the past. 

10) Explain the degree to which recruitment and retention problems were alleviated in your agency through the 

use of PCAs in the prior fiscal year. 

Of the three medical officers employed at SAMHSA in FY 2012, SAMHSA was only able to retain two while the 

third resigned to return to the private sector. 

11) Provide any additional information that may be useful in planning PCA staffing levels and amounts in your 

agency. 

N/A

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FY 2012 Consolidated Appropriation Act and Senate Report Language 

(H.R. 2055/ P.L.112-74) 

General Items 

Item

Project LAUNCH - The Committee recommendation includes $34,706,000 for the Project 

LAUNCH program, which funds mental health prevention and promotion strategies for young 

children aged zero to eight. The Committee notes that many prevention interventions that reduce 

risk factors and increase resilience are funded in other agencies such as HRSA and the 

Administration for Children and Families. The Committee intends that funds provided to Project 

LAUNCH not duplicate activities eligible for funding elsewhere in the Department. The 

Committee requests a list of all grant awards made under this program, along with a description 

of the activities undertaken by grantees. 

Action taken or to be taken

The following are a list of the grantees and description of activities for each: 

RHODE ISLAND STATE DEPT OF HEALTH: Build on the RI Successful Start Initiative to 

ensure that all children (birth to 8) succeed in school by building social-behavioral capacities into 

community based early childhood systems of care that promote and integrate physical and 

behavioral health wellness. RI LAUNCH targets Providence, RI, the main urban core of the 

state.

The goals of RI LAUNCH at the State level are to: 1) Implement early childhood systems 

building activities as described in the Successful Start strategic plan focused on aligning state 

policies, reducing redundancies in service deliveries, and securing sustainable funding for 

needed programs; 2) Develop and support an organizational structure that facilitates the 

implementation of all components of Rhode Island's Early Childhood Systems plan goals and 

intervention; 3) Evaluate the implementation of RI LAUNCH activities as conducted at the local 

level to inform expansion of the program statewide. 

The goals of RI LAUNCH at the Local level are to use mental health consultation to improve the 

quality of care delivered within pediatric and child care arenas, and strengthen their protective 

capacity in the context risk related to poverty. This will be accomplished by 1) Building mental 

health consultation (MHC) into primary care medical; 2) Linking parent support and education 

within the context of the medical home; and 3) Expanding MHC in child care settings. 

NEW MEXICO STATE DEPARTMENT OF HEALTH: Develop and implement a 

demonstration project in the County of Santa Fe to promote wellness of children ages zero to 

eight years by coordinating key child-serving systems and integrating behavioral and physical 

health services. The project expects to significantly improve the outcomes of children from Santa 
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Fe County's lowest-income highest-risk neighborhoods and advance the seven strategic goals of 

New Mexico's Early Childhood Action Network: 1. FAMILY ENGAGEMENT: Strengthen the 

leadership of families with young children in policy development and implementation 2. 

HEALTH: All children, their parents, and all pregnant women have access to continuous 

preventative, acute, and chronic health care, including behavioral and oral health. 3. 

DEVELOPMENT: All developmental concerns of young children and their families are 

addressed prior to kindergarten. 4. EARLY LEARNING: High quality early learning and care 

meets the needs of all families and promotes optimum development and school readiness for 

children.5. INVESTMENT: Invest in young children and their families to promote healthy 

development and school readiness to improve the quality of life for all New Mexicans. 6. 

FAMILY FRIENDLY COMMUNITIES AND SERVICES: Family friendly policies and 

practices are implemented in communities, in business, in service, and in education systems. 7. 

PUBLIC ENGAGEMENT: The public actively embraces the importance of early childhood 

development and is engaged in supporting policies and programs at all levels that support 

children and families to thrive. 

WASHINGTON STATE DEPARTMENT OF HEALTH: Work with state agencies, Yakima 

County, and other stakeholders to expand child wellness (physical, social, emotional, mental and 

behavioral health) efforts for children birth to eight and their families. A state Child Wellness 

Council will coordinate key child-serving systems. In Yakima County, a range of evidence-based 

services and programs will be provided to at-risk children and families. The goal of Project 

LAUNCH Washington is to create a shared vision for the wellness of young children that drives 

the development of state and local networks for the coordination of key-child serving systems 

and the integration of behavioral and physical health services. The expected result of Project 

LAUNCH is for children to be thriving in safe, supportive environments and entering school 

ready to learn and able to succeed. The target population for Project LAUNCH is children and 

families, who face multiple risk factors. 

A range of evidence-based practices will be provided, including behavioral health consultation, 

Incredible Years, Positive Behavior Support, Valley Intervention Program, Parents as Teachers, 

and SafeCare. This project will address the interconnected challenges facing young children and 

their families, including learning, behavior, and mental health problems; poverty; substance 

abuse; domestic violence; and child abuse and neglect. 

ARIZONA STATE DEPARTMENT OF HEALTH SERVICES: The Tapestry Project will 

support immediate and sustainable interventions to improve the wellbeing of young children in 

the South Mountain community in Phoenix by enhancing access to mental health and wellness 

services, promoting developmental screenings across a range of settings, coordinating integration 

of behavioral health with primary care, improving parenting skills of families with young 

children, and fostering early childhood social and emotional development. Individual, family and 
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community conditions in the South Mountain community, including economic and family 

instability, incarceration, involvement with Child Protective Services, patterns of antisocial 

behavior and criminality, and educational deficits, put children at extreme risk. 

We propose implementation of five evidenced-based programs at the local level: Incredible 

Years, Parents as Teachers, Strengthening Multi-Ethnic Families and Communities, Parenting 

Wisely and Healthy Steps. These curricula were selected because of their developmental 

appropriateness, their demonstrated cultural competence, and their research recognition for 

successfully addressing the identified risk and protective factors. 

With Project LAUNCH grant funds, Arizona will maximize partnerships recently established 

between state, city, and county agencies focused on youth development, positive family 

outcomes, and crime prevention. The families and children in the area will benefit from the 

additional application of resources that support early childhood development and by addressing 

the roots that lead to juvenile and adult criminal activity and incarceration. 

MAINE STATE DEPT/HEALTH/HUMAN SERVICES: The Community Caring 

Collaborative (CCC) is a grassroots coalition of 33 agencies and tribal entities serving high-risk, 

substance-exposed young children ages 0 through 8 and their families in rural Washington 

County, Maine. Through Project LAUNCH, the CCC and Maine CDC will partner to build a 

sustainable system of care that is strength-based, family driven, culturally competent and based 

on an integrated public health model. 

Tucked away in the northeastern coastal corner of Maine, Washington County is home to 2,000 

Passamaquoddy Tribal members on two reservations and approximately 31,000 additional 

residents. Washington County is the most impoverished county in Maine, with a child poverty 

rate of 28.4%. Due to large distances between towns and lack of service coordination among 

health care and other providers, these babies and their families often do not come to the attention 

of child-serving agencies until ages 3-5. In 2003, the state received an Early Childhood 

Comprehensive Systems (ECCS) grant and developed a plan for a comprehensive early 

investment in young children. Through Project LAUNCH, the state and the CCC will build on 

and enhance this plan. Locally, the CCC will deliver wraparound service planning, DC: 0-3R 

assessments, mental health consultation and other evidence-based practices to 125 families per 

year (600 over the project period), with ""all doors"" leading to integrated services. The Maine 

CDC and its partners will support the CCC through training, planning, service coordination, 

infrastructure development and evaluation. 

RED CLIFF BAND OF LAKE SUPERIOR CHIPPEWA: Through SAMHSA's Project 

LAUNCH, the Red Cliff Band of Lake Superior Chippewa, a federally recognized tribe, will 

create a supportive, family-driven accessible system of care comprised of a unique weaving of 

traditional values and evidence-based practices to enhance the social, emotional, physical and 

behavioral wellness of children aged 0 - 8 and their families 
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A Council on Young Child Wellness, with representation from families, the community, 

traditional healers, Early Childhood, Public School, Physical Health, Mental Health, Substance 

Abuse Treatment, Domestic Violence and Social Services will create a shared vision of child 

wellness. Harvard's Project on Effective Interventions School Readiness Pathway, coupled with 

local community knowledge, will identify existent service system gaps. To enhance cross-agency 

collaboration, increase knowledge of child development and engage families, 200 family-serving 

personnel will be trained in culturally-adapted Touchpoints. 

Project LAUNCH goals are 1) Our Children are Developmentally On-track; 2) Our Families are 

Strong, Nurturing and Connected; 3) Our System of Care is Connected, Informed and built upon 

Traditional Wisdom; and 4) Our Actions Today will Strengthen the next Seven Generations 

(Sustainability). Expected project outcomes include improved child health and school readiness; 

developmentally-appropriate screenings across settings; increased access to prevention and early 

intervention programs and pediatric and adult mental health services; increased connectedness 

between providers, families, and schools; increased integration of physical health, mental health 

and traditional wisdom and, by project end, a sustainable system of care. 

ILLINOIS STATE DEPARTMENT OF HUMAN SERVICES: The purpose of Illinois' 

Project LAUNCH initiative (IPL) is to integrate behavioral health and primary care to promote 

child health and wellness. This project will build upon Illinois' Children's Mental Health 

Partnership and on the innovative All Our Kids Early Childhood Networks. IPL will provide 

more preventive services for young children and improve the service delivery system and 

develop the early childhood workforce. At the state level, IPL will enhance the collaboration 

between the Illinois Department of Human Services and the Illinois Children's Mental Health 

Partnership in order to improve the ability of MCH programs to respond to the needs of children 

with emotional or behavioral problems. At the local level, IPL's goals are to ensure that children 

maintain physical and emotional health, that families are linked to the services that they need and 

that children enter school ready to learn. The project will serve 12,200 children each year and an 

estimated 19,100 children over the life of the project. 

DC DEPARTMENT OF HEALTH: Through Project LAUNCH, the District of Columbia 

(DC) Department of Health proposes to create a system of connected programs that will increase 

and improve services to children ages 0-8 and their families in the city's poorest neighborhoods. 

The target population for this project will be children residing in Wards 7 and 8 - areas that 

demonstrate alarming health and economic disparities and suffer disproportionately from 

elevated levels of indicators of ill health. Children living in these communities are largely poor, 

African-American and living in single-parent households, and they have limited access to 

primary and mental health services compared to their counterparts through the city. During year 

one, Project LAUNCH will serve 1440 children and families through a variety of evidence-based 

programs including 1.) Incredible Years (2-8 years and parents/caregivers); 2.) Primary Project 
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(children 5-8 years); 3.) Ages and Stages Questionnaire/ASQ; SE (children 6 months-5-years); 

4.) Parents as Teachers; Born to Learn (prenatal-2 years and parents); and 5.) Strengthening 

Families (children 3-8 years and parents). 

CALIFORNIA DEPARTMENT OF PUBLIC HEALTH: California Project LAUNCH (CPL) 

is a unique opportunity for the California Department of Public Health and the County of 

Alameda to leverage the tremendous systems and neighborhood level work already underway in 

Alameda County to create a continuum of age-appropriate developmental services in five years 

for over 4500 children ages 0-8 years. Through CPL, the State and local MCAH programs will 

partner with First 5 Alameda County (F5AC) to demonstrate the feasibility and impact of 

recommended policy changes intended to support local government efforts to establish and 

sustain more comprehensive developmental care continuums for children from birth through 8 

years of age. CPL programs and evidence-based practices will support young child wellness and 

anticipates that 919 unduplicated children will be served through CLP annually. 

NEW YORK STATE DEPARTMENT OF HEALTH - TITLE V: New York State's Project 

LAUNCH will expand and enhance existing programs to provide a complete range of 

developmentally supportive services to families with young children (pre-birth to age 8) in three 

targeted communities in Westchester County, New York: southwest Yonkers, Port Chester and 

Ossining. Health care, home visiting, parenting education, and early care and education 

programs will be expanded to locations where they are missing, strengthened where they exist, 

and integrated across disciplines to achieve the vision articulated in the State's Early Childhood 

Comprehensive Systems Plan (ECCS) and The Children's Plan. Universal screenings will be 

completed in an ecological setting, which could reach 3500 children over the course of the grant. 

Family Support Services designed for families of children with early identified behavioral issues 

will reach an estimated 250 families over the project period and home visiting programs will 

reach an estimated 225 families in the project period. 

NC STATE DEPT/HEALTH & HUMAN SERVICES: NC LAUNCH will implement a state 

and local collaborative effort, based in Guilford County, that will promote environments for 

children ages 0-8 that support each child's physical, emotional, cognitive and behavioral health 

and provide children the resilience they need to enter school ready to achieve and on their way to 

success in life. NC LAUNCH's goal will be achieved by implementing or enhancing evidencebased practices in the following areas: developmental assessments, integration of behavioral 

health care into primary care, home visiting programs, mental health consultation and family 

strengthening and parent skills training. Poverty is widespread in Guilford County; 

approximately 15.5 percent of the county residents live below federal poverty guidelines in 2007. 

Examples of measurable objectives include number of families receiving antenatal and postnatal 
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home visits, numbers of person receiving enhanced mental health consultation, parent 

satisfaction with services provided and fidelity of model implementation. 

MASSACHUSETTS STATE DEPARTMENT OF PUBLIC HEALTH: Mass LAUNCH, an 

initiative of the Massachusetts Department of Public Health (MDPH), will develop the state's 

early childhood service system for children from birth to age 8. The department has chosen the 

Boston Public Health Commission, working in partnership with the Boston Mayor's Thrive in 

Five (Ti5) Initiatives, as its local partner to enhance local systems of care for Boston children 

ages birth to 8. The project will focus on families experiencing child abuse or neglect, domestic 

violence, substance abuse, maternal depression or other parental mental health problems. The 

combined number of children birth-8 served by the project is 11,500. An additional 7,500 are 

served for years 3-5 for a total of 19,000 children. 

IOWA STATE DEPARTMENT OF PUBLIC HEALTH: Iowa's Project LAUNCH seeks to 

develop the necessary infrastructure and system integration to assure that Iowa children are 

thriving in safe, supportive environments and entering school ready to learn and able to succeed. 

Iowa's Project LAUNCH targets children ages 0-8 and their families in a seven-zip code area in 

inner city Des Moines (Polk County, Iowa) with a focus on low-income and minority 

populations who are traditionally underserved. Outreach, recruitment, and retention efforts will 

specifically target African American, Hispanic, Asian, Non/Limited English Speaking 

Immigrant/Refugee and low-income populations. Overall, project goals are to: 1.) Build state 

and local infrastructure to increase the capacity and integration of the children's mental health 

system into a comprehensive early childhood system of care; 2.) Deliver family-centered, fully 

integrated evidenced-based services for children living in a targeted community at-risk for poor 

social emotional outcomes; and 3.) Promote sustainability and statewide spread of best practices 

for system development. 

PUBLIC HEALTH SERVICES: Oregon LAUNCH's purpose is to create a shared vision for 

the wellness of young children that drives development of state and local coordinated childserving systems and the integration of behavioral and physical health services. Oregon 

LAUNCH will foster an integrated and holistic system of wellness, prevention and treatment 

services to assist 1,500 children, aged birth-8, and families in Deschutes County, Oregon over a 

five-year period. Many children experience risk factors for neglect and abuse due to poverty, 

substance abuse and multiple barriers to care such as lack of parent awareness of services, lack 

of insurance, and a "medical home." A number of evidence-based practices will be provided, 

including: universal screening using Ages and Stages Questionnaire (ASQ), ASQ-SocialEmotional, Parents Evaluation of Developmental Status, and Devereaux; mental health 

consultation; Promoting First Relationships; Parenting Wisely; Incredible Years; Parents as 

Teachers and Parent Child Interaction Therapy. 
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OHIO STATE DEPARTMENT OF HEALTH: The goal of Project LAUNCH for 

Appalachian Ohio is to create a shared vision for young child wellness that builds a solid 

foundation for sustaining effective, integrated services and systems to support and promote the 

wellness of young children and their families. To achieve that goal, Ohio has two objectives: 1.) 

To build infrastructure and 2.) To enhance and expand service delivery by coordinating physical 

and behavioral health services for young children across systems and develop and implement a 

model for coordination of physical and behavioral health services that is appropriate for Ohio's 

Appalachian region. Project LAUNCH for Appalachian Ohio will serve over 11,000 children 

birth to age 8 living in four counties of rural Appalachian Ohio: Athens, Hocking, Vinton, and 

Meigs. 

KANSAS STATE DEPT OF HEALTH AND ENVIRONMENT: The Kansas Project 

LAUNCH Initiative enhances the Kansas Early Childhood Comprehensive Systems (KECCS) 

and develops a parallel system in Finney County-a diverse rural community where 22 languages 

are spoken in the schools. The state/local focus utilizes a public health approach to address 

needs of at-risk populations and promote healthy child development. Over 605 families (121 

annually) will be served through Parents as Teachers, the Incredible Years, Healthy Families, 

and mental health consultation. Overall, the program will target 39,000 residents of Finney 

County. 

MICHIGAN STATE DEPARTMENT OF COMMUNITY HEALTH: The purpose of 

Project LAUNCH Michigan (MI) is to improve the comprehensive wellness of all young 

children 0-8 and their families by using the public health approach to expand and enhance early 

childhood systems of care. MI LAUNCH will increase the use of evidence-based practices such 

as Healthy Families America, Parents as Teachers, Incredible Years, Parenting Wisely, Mental 

Health Consultation and the Ages and Stages Questionnaire that promote comprehensive 

wellness as well as the integration of behavioral health into primary care. MI LAUNCH will 

partner with Saginaw County, population 205,000. Seventy percent of the population to be 

served by MI LAUNCH in Saginaw will be drawn from its largest city and 30% from its rural, 

isolated hamlets. MI LAUNCH will impact 1,000-1,500 children per year during its five year 

project period, resulting in up to 7,000 children receiving the direct benefit of the project. 

WISCONSIN DEPARTMENT OF HEALTH SERVICES: Wisconsin's Well-Child 

Connections (WCC) will provide primary prevention services in 8 central city zip codes in 

Milwaukee to promote health for infants and children from birth to age 8 years. The target 

neighborhoods of the WCC project are excessively burdened by issues associated with poor child 

health, including a high percentage of infants born at low birth weight, late entry of pregnant 

women into prenatal care, and childhood lead poisoning. Overall, project goals are to: 1) Build 
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on existing state level-infrastructure to support the work of the WCC project; 2) Develop a local 

Child Wellness Council for a comprehensive child wellness system; 3) Build upon/sustain 

evidence-based programming and increase the capacity of the community; and 4) Enhance and 

promote child wellness in all areas of development. 

MULTNOMAH EDUCATION SERVICE DISTRICT: The Multnomah LAUNCH project 

will assure that all young children, ages 0-8, in Multnomah County will thrive: 56,050 children 

will benefit from increased pediatric primary care use of developmental and behavioral 

screenings, and increased community coordination around service provision, and 1,200 children 

particularly at risk of negative outcomes will receive mental health consultation support and 

improved care environments. 

UNIVERSITY OF MISSOURI-COLUMBIA: Through the Boone County Project LAUNCH, 

the University of Missouri's Department of Psychiatry, Missouri Psychiatric Center (MUPC), in 

partnership with community agencies, families and state agency partners, will come together in a 

comprehensive county-wide approach to promote the healthy development of the county's 

youngest citizens. The project's purpose is to create a coordinated system to support children, 

ages 0-8, to thrive in safe, supportive environments and enter school ready to learn and able to 

succeed. 

Boone County, Missouri is the project site, capitalizing on the county's strong focus on the young 

child and rich cultural diversity. Through the proposed activities it is estimated that 1230 young 

children and their families will be served throughout the life time of the project with 30 served in 

year one and 300 served annually in years two through five. 

This project has four goals: 1) Create a coordinated system to improve the integration and 

efficiency of the child-serving system in promoting the wellness of young children in Boone 

County; 2) Enhance and expand the delivery of evidence-based programs and practices that 

promote the wellness of young children and their families; 3) Enhance the expertise of childserving agency personnel in young child wellness and healthy child development through 

workforce development activities; and 4) Increase public awareness and knowledge of child 

wellness. 

WHEELER CLINIC: Promising Starts: Early Childhood Wellness Consortium is designed to 

promote the positive development of at-risk children 0 to 8 years by (1) building a coordinated, 

community-based, enhanced capacity system of care, (2) providing universal behavioral health 

assessment in pediatric practices, (3) strengthening services through effective referral, 

collaboration, case management, and comprehensive pre-service and in-service training of 

providers, (4) implementing the evidence based Child FIRST parenting, mental health 

consultation, and home visiting model, and (5) building system-wide competency to address 

these needs. Promising Starts will serve over 300 high risk families with young children in the 
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city of New Britain, CT. Universal assessment in pediatrician offices, screening in day care and 

early learning environments, and engagement with adult obstetric, mental health, and substance 

abuse treatment centers will help to identify children at risk. Development of a compendium of 

referral resources, provision of case management and consultation services to pediatric practices, 

and culturally sensitive, family friendly support to connect families with services will facilitate 

successful engagement of families with resources. Using the Michigan Association of Infant 

Mental Health competencies guidelines, representatives from multiple stakeholder groups, 

including faculty from local colleges, will complete training leading to endorsement, increasing 

the community's capacity to provide services to high risk families and to train the next generation 

of service providers. 

NORTH COLORADO HEALTH ALLIANCE: Project LAUNCH will aid Weld County, 

Colorado, in implementing a community-wide systems navigation program to ensure young 

children (ages 0-8) and their families will receive a standardized screening package, referrals, 

and assistance navigating the system regardless of the point of access by professionals using 

evidence-based, culturally competent interventions. Over the course of the 5 years, 19,196 

children and parents will be served and 248 professionals trained. This will be accomplished 

through four primary goals. Goal 1) Establish Project Launch and Develop a Community Vision 

and Plan that will expand on the work of the Local Early Childhood Council which has a 

commitment to promote school readiness, quality child care and early intervention, and physical 

health. Goal 2) Expand Multi-Agency Screenings, Referrals and Intervention Systems to 

integrate universal screenings in medical clinics, human services, community organizations, 

early childhood settings, public health and behavioral health agencies. Goal 3) Improve 

Collaboration and Integration to increase the use of the existing inter-agency electronic health 

record to track data and progress that supports seamless coordination between all agencies. Goal 

4) Improve Children's Wellness by providing intervention at multiple agencies to promote school 

readiness, decrease impacts of trauma and increase protective factors and cooperative behaviors. 

FUND FOR PUBLIC HEALTH IN NEW YORK, INC: New York City's Project LAUNCH 

will support and expand existing partnerships among public and community stakeholders to redesign the early childhood system in Harlem and the South Bronx with the goal of improving 

wellness outcomes for 6276 children and their families. The Fund for Public Health in New York 

will serve as the applicant, and the New York City Department of Health and Mental Hygiene 

will be the critical implementation and policy development partner and provide direction to the 

Young Child Wellness Coordinator (YCW Coordinator). Utilizing the promulgated New York 

State Children's Plan, which serves as the policy framework for transformation of early 

childhood services statewide, the CYCW will work with national technical assistance resources 

to develop a common vision of a holistic system that supports children under 8 and their families 

in achieving healthy and productive lives in two of NYC's most distressed communities. 
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Evidence based practices to be implemented in early childhood and primary health care settings 

include: 1) Utilization of a validated instrument, the Ages and Stages Questionnaires SocialEmotional to conduct developmental assessments 2) Utilization of the SAMHSA identified 

Georgetown Early Childhood Mental Health Consultation model. 3) Co-location of mental health 

consultants in primary care as a mental health integration model 4) Enhancement of our NurseFamily Partnership Home Visiting Program with mental health consultation. 5) Expansion of the 

SAMHSA/CSAP promising program Strengthening Multi-Ethnic Families and Communities to 

assist parents and the SAMHSA/NREPP Incredible Years model to train child care workers and 

early childhood educators on positive approaches to meeting children's needs. The Project will 

serve 458 children and families in year 1; 1466 in year 2; 1459 in year 3; 1452 in year 4 and 

1441 in year 5. 

ALIVIANE, INC.: Aliviane, Inc. and its project partners, through "El Paso Project LAUNCH" 

will develop and implement a comprehensive Young Child Wellness System to serve the 

wellness needs of children in El Paso County, Texas ages birth through 8 years. In the first year 

of the project, a local Young Child Wellness Council will be formed, with the membership 

consisting of partner agencies, area stakeholders, parents representing the population of focus, 

and others committed to bringing about system change, developing strong and formal interagency collaboration and coordination, and forming a comprehensive network of young child 

wellness services. The youth to be served through El Paso Project LAUNCH consists of young 

children age 0 through 8. The overwhelming majority of the population to be served by this 

project will be Hispanic children living in a U.S./Mexico border community. It is projected that 

the majority of the clients to be served through the project will be living at or below poverty 

level. The project will serve at least 40 children and their families during the first project year, 

and 172 clients and families in each of the second through fifth years, for a total of 728 clients 

and families. Services will include developmental assessments in primary care and other settings, 

in home parent training and home visits, integration of mental health services into primary care, 

case management, mental health therapy, family strengthening, support service referrals, and 

"wraparound" support services. 
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Item

Addiction Services Workforce - The Committee notes the growing workforce crisis in the 

addictions field due to high turnover rates, worker shortages, an aging workforce, stigma and 

inadequate compensation. The Mental Health Parity and Addiction Equity Act and the Patient 

Protection and Affordable Care Act are anticipated to increase the number of individuals who 

will seek substance use disorder services and may exacerbate current workforce challenges. As 

the provision of quality substance use disorder services is dependent on an adequate qualified 

workforce and SAMHSA is the lead Federal agency charged with improving these services, the 

Committee expects SAMHSA to focus on developing the addiction workforce and identify ways 

to address the current and future workforce needs of the addiction field. The Committee directs 

SAMHSA to submit a report by March 31, 2012, on current workforce issues in the addiction 

field, as well as the status and funding of its substance use disorder services workforce 

initiatives. This report should also detail how SAMHSA is working with HRSA to address 

addiction service workforce needs and should identify the two agencies' specific roles, 

responsibilities, funding streams and action steps aimed at strengthening the addiction services 

workforce.

Action taken or to be taken

SAMHSA is developing the report in conjunction with its Health and Human Services 

Behavioral Health Coordinating Council members. It will include the current state of the 

behavioral health workforce, issues around data on the workforce and a description of 

SAMHSA's work with Health Resources and Services Administration. 
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Item

Underage Drinking - The Committee has provided $1,000,000 for the Interagency Coordinating 

Committee on the Prevention of Underage Drinking (ICCPUD) and expects this interagency 

group to explicitly address the issue of underage, high risk drinking on college campuses through 

an identification of best practices, strategies and policies currently being implemented on college 

campuses to deal with this persistent and pervasive public health issue. The Committee expects 

to see this specific information included in the next ICCPUD report. 

Action taken or to be taken

SAMHSA will address the issue of underage, high risk drinking on college campuses through an 

identification of best practices, strategies and policies currently being implemented on college 

campuses in the next ICCPUD report.
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Item

Health Surveillance and Program Support - The Committee is concerned by the reliance of 

SAMHSA on contractors for the provision of technical assistance. The Committee believes that 

dependence on contractors is detrimental to building and maintaining specific knowledge and 

expertise within SAMHSA's workforce. In addition, the Committee notes a recent report by the 

Project on Government Oversight showing that the Federal government pays billions more 

annually in taxpayer dollars to hire contractors than it would to hire Federal employees to 

perform comparable services. In this time of fiscal constraint, the Committee is concerned that 

overuse of contractors may not maximize the amount of agency funding going to service 

provision. The Committee requests a report no later than 3 months after enactment, detailing all 

agency technical assistance contracts issued with fiscal year 2011 funding. The report should 

include descriptions of each contract, the entities receiving contracts and the amount provided. 

Action taken or to be taken

SAMHSA will provide Congress with a report on all Agency technical assistance contracts 

issued with fiscal year 2011 funding no later than March 23rd, 2012.
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FY 2012 Senate Appropriation Committee Report Language (H.R. 2055) 

Item

Clinical Training - The Committee is aware that a new clinical accreditation program is being 

developed by the Psychological Clinical Science Accreditation System to ground training of 

practitioners in empirically supported treatments. SAMHSA is encouraged to continue its 

collaboration with relevant professional organizations regarding this program so that those 

seeking services are assured of receiving scientifically sound treatment. (p. 118-119) 

Action taken or to be taken

Subsequent to the release of the Senate Appropriations Committee Report, SAMHSA staff met 

with the Psychological Clinical Science Accreditation System (PCSAS) and the Association for 

Psychological Science (APS) on this subject. 

SAMHSA also promotes scientifically sound treatment for those seeking services through 

sponsoring the National Registry of Evidence-based Programs and Practices (NREPP) which is 

an online registry of mental health and substance abuse interventions that have been reviewed 

and rated by independent reviewers on the quality of the research supporting intervention 

outcomes and the quality and availability of training and implementation materials. The purpose 

of this registry is to assist in identifying scientifically based approaches to preventing and 

treating mental and/or substance use disorders that can be readily disseminated to the field. 

NREPP is one way that SAMHSA is working to improve access to information on tested 

interventions and thereby reduce the lag time between the creation of scientific knowledge and 

its practical application in the field. Additionally, SAMHSA also promotes the adoption of 

Evidence Based Practices through both its discretionary and Mental Health and Substance Abuse 

Prevention and Treatment Block Grants. 
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Item

Disabilities - The Committee recognizes the important role that SAMHSA plays relative to 

many Americans with disabilities. Emerging research indicates that persons with severe mental 

illness experience additional conditions that impact their ability to function within the 

community. These co-occurring or other functional disorders can include substance use disorder, 

hidden traumatic brain injury, chronic medical conditions, or other conditions. The Committee 

urges SAMHSA to continue making a substantial commitment to the development of new 

interventions and services for individuals with mental health conditions who have co-occurring 

or multiple disabilities. (p. 119) 

Action taken or to be taken

SAMHSA continues making a substantial commitment to the development of new interventions 

and services for individuals with mental health conditions who have co-occurring or multiple 

disabilities through its Primary and Behavioral Healthcare Integration program and Military 

Families Strategic Initiative. 
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Item

Primary and Behavioral Healthcare Integration - The Committee notes that adults with 

serious mental illness have chronic health conditions, such as heart disease, hypertension, 

diabetes and chronic respiratory conditions, at higher rates than adults in the general population. 

The Committee continues to believe aggressive action is necessary to eliminate this disparity and 

has continued funding for Primary and Behavioral Health Care Integration grants at SAMHSA. 

The Committee provides $62,807,000 for this program, which includes $27,807,000 provided in 

discretionary appropriations and $35,000,000 in transfers from the PPH Fund. This is the same 

as the comparable level for fiscal year 2011. The Committee directs SAMHSA to ensure that 

new grants awarded for fiscal year 2012 are funded under the authorities in section 520(k) of the 

PHS Act. (p. 119) 

Action taken or to be taken

SAMHSA intends to award all fiscal year 2012 grants under the authorities in section 520K of 

the Public Health Service Act. 
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Item

Suicide Prevention in Indian Populations - The Committee continues to be concerned about 

the high incidence of drug and alcohol abuse and suicide in American Indian populations. 

SAMHSA is encouraged to develop culturally competent suicide prevention training courses to 

be used with selected gatekeepers in Indian country. The Committee further urges SAMHSA to 

collaborate with the Indian Health Service to identify priority communities to pilot this 

gatekeeper initiative and to develop a plan to help insure the sustainability within American 

Indian and Alaska Native communities. (p. 119-120) 

Action taken or to be taken

SAMHSA has provided significant support for the provision of suicide prevention training in 

Indian Country to a broad array of gatekeepers. As of January 2012, Tribal Garrett Lee Smith 

grantees have conducted 774 trainings that have trained 16,710 people. Additionally, State 

Garrett Lee Smith grantees have trained an additional 14,389 people who are American Indian 

Alaska Native. In addition, SAMHSA has funded the adaptation of an evidenced based 

intervention in Emergency Departments for youth suicide attempters for tribal use in the White 

Mountain Apache community, has funded the development of a dissemination manual for a 

comprehensive youth suicide prevention program developed in Indian Country, and has created 

the resource; “To Live To See The Great Day That Dawns” to assist tribes in adapting culturally 

competent suicide prevention practices in their communities. 
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Item

Addiction Technology Transfer Centers [ATTCs] - The Committee directs SAMHSA to 

ensure that ATTCs continue to maintain a primary focus on addiction treatment and recovery 

services in order to strengthen the addiction workforce. As more individuals become eligible for 

substance abuse services through Medicaid and private insurance, the ATI'C network is critical 

to ensure there is a skilled workforce able to meet the demand in substance use disorder services. 

(p. 122) 

Action taken or to be taken

SAMHSA will continue supporting the ATTC Network national activities in response to the 

emerging challenges facing the substance use disorders treatment workforce. In fiscal year 2011, 

data shows that over 25,000 people were trained, exceeding the target of 20,516. In fiscal year 

2012, SAMHSA will fund a new cohort of grants. 
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Item

Drug Courts - The Committee directs SAMHSA to ensure that all funding appropriated to 

CSAT for drug treatment courts is allocated to serve people diagnosed with a substance use 

disorder as their primary condition. In addition, the Committee urges SAMHSA to ensure that 

State substance abuse agencies are eligible to apply for all drug treatment court grant programs 

in its portfolio. The Committee expects SAMHSA to ensure that non-State substance abuse 

agency applicants for these grants continue to demonstrate evidence of working directly and 

extensively with the corresponding State substance abuse agency in the planning, 

implementation and evaluation of the grant. (p. 122) 

Action taken or to be taken

SAMHSA will ensure all funding appropriated to Center for Substance Abuse Treatment 

(CSAT) for drug treatment courts will continue to support and provide technical assistance to 

State and community programs where substance abuse is the primary focus. In fiscal year 2012 

CSAT proposes to fund grants for the provision of services to populations where their primary 

condition is substance abuse related. 
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Item

Hepatitis Testing - The Committee continues to recognize the high incidence of hepatitis among 

substance abusers. The Committee encourages SAMHSA to develop a demonstration project on 

hepatitis education and testing for patients and providers. (p. 122-123) 

Action taken or to be taken

In fiscal year 2011, SAMHSA supported a program to serve 12 Opioid Treatment Program 

clinics promoting hepatitis education, screening, testing and vaccination for patience patients and 

providers.
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Item

Screening, Brief Intervention, and Referral to Treatment (SBIRT) - The Committee 

recommendation includes $53,237,999 for the SBIRT program, which includes $28,237,000 in 

discretionary and evaluation tap funding, along with $25,000,000 in transfers from the PPH 

Fund. The Committee directs SAMHSA to ensure that funds provided for SBIRT are used for 

existing evidence-based models of providing early intervention and treatment services to those at 

risk of developing substance abuse disorders. (p 123) 

Action taken or to be taken

All SBIRT funds will utilize the existing evidence base and provide funds to applicants who 

demonstrate the ability to provide early intervention and substance abuse treatment referral 

services to those in need. 
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Item

Substance Abuse Testing - The Committee notes the scientific progress that has been made on 

alternative means of substance abuse testing, including oral fluid testing, and encourages 

SAMHSA to continue to update its drug testing guidelines in order to take advantage of these 

new opportunities. (p. 123) 

Action taken or to be taken

SAMHSA will utilize fiscal year 2012 funds for Federal Workplace Drug Testing to include oral 

fluid as an alternative specimen to urine, and also to include additional Schedule II prescription 

medications (e.g., oxycodone, oxymorphone, hydrocodone and hydromorphone) in the drug 

testing protocol. These changes are based on recommendations from the Drug Testing National 

Advisory Council on July 13, 2011. SAMHSA continues to partner with National Institute of 

Health/National Institute on Drug Abuse to ascertain the scientific evidence needed to set 

standards for the Drug Testing Guidelines. 
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Item

Programs of Regional and National Significance - The Committee recognizes substance abuse 

prevention as a unique and distinct field and urges SAMHSA to promote programming 

consistent with this finding. The Committee intends that funds specifically appropriated for bona 

fide substance abuse and underage drinking prevention purposes shall not be consolidated with, 

reallocated to or used for any other programs or initiatives in SAMHSA which do not have youth 

drug and underage alcohol abuse as a primary purpose, even if it may have secondary effects on 

these goals. (p 124-125) 

Action taken or to be taken

SAMHSA only will use funds specifically appropriated for bone fide substance abuse and 

underage drinking prevention purposes for programs that have youth drug and underage alcohol 

abuse as a primary purpose. 
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FY 2012 Consolidated Appropriation Act Report Language (P.L.112-74) 

Item

The conferees expect that SAMHSA shall not make changes to any program, project, or activity 

as outlined by the budget tables included in this Statement of the Managers without prior 

notification to the House and Senate Committees on Appropriations. (p. 40) 

Action taken or to be taken

SAMHSA will not make changes to any program, project, or activity as outlined by the budget 

tables included in this Statement of the Managers without prior notification to the House and 

Senate Committees on Appropriations.
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Item

The conferees intend that funds provided to Project LAUNCH should not duplicate activities 

eligible for funding elsewhere in HHS. (p. 42) 

Action taken or to be taken

Project LAUNCH makes ongoing efforts at the national, state and local levels to ensure that 

grant activities expand and enhance other efforts and are not duplicative of them. This is why 

grantees are required to: (1) bring together a wide range of child-and-family-serving agencies as 

part of the LAUNCH Councils at the state and local levels so that they are integrating programs, 

funding, and policies rather than acting in duplicative silos; (2) conduct environmental scans of 

existing state and community resources so that they are aware of what programs exist and design 

their strategic plans and implementation approaches to address gaps in service; and (3) at the 

local level, focus on enhancing existing services and systems by training the workforce, 

increasing access to care, increasing the quality of care, and raising awareness and knowledge of 

healthy child development. 

Project LAUNCH leaders at the state level are integrally involved in work on other early 

childhood national initiatives such as the Maternal, Infant, and Early Childhood Home Visiting 

Initiative, Race to the Top Early Learning Challenge grants, Strengthening Families, and Help 

Me Grow. One important goal of this collaboration to ensure that the programs are coordinated 

and integrated, and lessons learned can be shared. 
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Item

The conferees direct SAMHSA to ensure that Addiction Technology Transfer Centers continue 

to maintain a primary focus on addiction treatment and recovery services in order to strengthen 

the addiction workforce. (p. 44) 

Action taken or to be taken

SAMHSA will ensure the ATTCs continue to maintain primary focus on developing and 

strengthening the addiction treatment workforce providing training and technical assistance to 

improve the delivery of substance abuse treatment and recovery support services. 
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Item

The conferees direct SAMHSA to ensure that all funding appropriated to the Center for 

Substance Abuse Treatment for drug treatment courts is allocated to serve people diagnosed with 

a substance use disorder as their primary condition. (p. 44) 

Action taken or to be taken

SAMHSA will ensure all funding appropriated to the Center for Substance Abuse Treatment 

(CSAT) for drug treatment courts, will continue to support and provide technical assistance to 

State and community programs were substance abuse is the primary focus. In fiscal year 2011, 

through a collaboration between the Center for Substance Abuse Treatment and the Center for 

Mental Health Services, SAMHSA awarded grants to Develop and Expand Behavioral Health 

Treatment Court Collaborative, supporting treatment and recovery support for people in the 

justice system. In fiscal year 2012 CSAT is proposing to fund grants for the provision of 

services to populations whom primary issues is substance abuse related. 
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Item

The conferees direct SAMHSA to ensure that funds provided for SBIRT are used for existing 

evidence-based models of providing early intervention and treatment services to those at risk 

of developing substance abuse disorders. (p. 44) 

Action taken or to be taken

All SBIRT funds will utilize the existing evidence base and provide funds to applicants who 

demonstrate the ability to provide early intervention and substance abuse treatment referral 

services to those in need. 
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Item

The conferees direct SAMHSA to fund the remaining cohort of Strategic Prevention Framework 

State Incentive Grant grantees at amounts not less than what they received in fiscal year 2011. (p. 

45) 

Action taken or to be taken

In fiscal year 2012, SAMHSA will full fund 35 SPF SIG continuations and 5 Partnerships for 

Success continuations at the same level as fiscal year 2011. 
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