Tribal Action Plan 

Guidelines 

2011

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Table of Contents 

Introduction ..................................................................................................................................... 3 

Background ..................................................................................................................................... 4 

Purpose of the Tribal Action Plan ................................................................................................... 4 

Tribal Coordinating Committee ...................................................................................................... 7 

Tribal Action Plan Components ...................................................................................................... 8 

Tribal Action Plan Model Frameworks ......................................................................................... 11 

Community Readiness Model ................................................................................................ 11 

Strategic Prevention Framework ............................................................................................ 15 

Sprectrum of Prevention ........................................................................................................ 18 

Comprehensive Assessment Process for Planning Strategies ................................................ 19 

Evaluation ...................................................................................................................................... 23 

Resources/Technical Assistance .................................................................................................... 24 

Appendices .................................................................................................................................... 25 

a. Sample Tribal Resolution ................................................................................................... 25 

b. SAMHSA / CSAP Resources......................................................................27 

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Introduction

The Tribal Law and Order Act of 2010 (Public Law 111-211) (“TLOA”) amends the Indian 

Alcohol and Substance Abuse Prevention and Treatment Act of 1986 (Public Law 99-570) (“the 

Act”) and mandates that the Secretary of Health and Human Services, the Secretary of the Interior, 

and the Attorney General develop and enter into a Memorandum of Agreement (“MOA”) to create 

and implement a coordinated effort for the prevention and treatment of alcohol and substance 

abuse at the local level. The amendments also requested Department of Health and Human 

Services (DHHS), Department of the Interior (DOI), and Department of Justice (DOJ) leadership 

to, among other things: (1) Determine the scope of the alcohol and substance abuse problems faced 

by Tribes; (2) Identify the resources and programs of each agency that would be relevant to a 

coordinated effort to combat alcohol and substance abuse among American Indians and Alaska 

Natives (AI/AN); and (3) Coordinate existing agency programs with those established under the 

Act.

The TLOA section § 2412 mandates that the DHHS’ Substance Abuse and Mental Health Services 

Administration (“SAMHSA”) and the Indian Health Service (“IHS”), DOI’s Bureau of Indian 

Affairs (“BIA”) and Bureau of Indian Education (“BIE”), and Department of Justice (DOJ) 

coordinate resources and programs to assist Indian Tribes, as defined at 25 U.S.C. § 2403(3), to 

achieve their goals in the prevention, intervention, and treatment of alcohol and substance abuse. It 

was determined that there is a need to align, leverage, and coordinate Federal efforts and resources 

at multiple levels within each agency to effectuate comprehensive alcohol and substance abuse 

services and programs for AI/AN individuals, families, and communities. 

Section 2412 of the Indian Alcohol and Substance Abuse Act of 1986, as amended by Section 241 

of TLOA (25 U.S.C. § 2412), states at subsection (a) that “the governing body of any Tribe may, 

at its discretion, adopt a resolution for the establishment of a Tribal Action Plan to coordinate 

available resources and programs, including programs and resources made available by this 

chapter, in an effort to combat alcohol and substance abuse among its members.” Further, 

subsection (b) requires Federal partners under section 2411 of this title to “cooperate with the 

Tribe in the development of a Tribal Action Plan to coordinate resources and programs relevant to 

alcohol and substance abuse prevention and treatment” and to “enter into an agreement with the 

Tribe for the implementation of the Tribal Action Plan...” Section 2412 provides for the 

establishment of a Tribal Coordinating Committee which, among other things, shall have primary 

responsibility for the implementation, ongoing review, and evaluation of the Tribal Action Plan. 

Section 2412 also requires that “if any Indian Tribe does not adopt a resolution pursuant to 

subsection (a) of this section within 90 days after the publication of the Memorandum of 

Agreement in the Federal Register...the Secretary of the Interior, the Attorney General, and the 

Secretary of Health and Human Services shall require” appropriate components within their 

respective department to “carry out the purposes of this chapter for such Tribe.” With this 

knowledge, the agencies have developed a Tribal Action Plan Work Group to establish the 

operating framework and guidelines of the Tribal Action Plan (TAP).

The coordination, inventory of current resources and proven strategies, and the response to Tribal 

entities seeking assistance, that IHS, BIA, BIE, SAMHSA, and DOJ will provide, can only benefit 

by the commitment of the AI/AN communities who take a proactive role in addressing alcoholism, 

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addiction, and alcohol and substance abuse across reservations, villages and urban Indian 

communities. AI/AN’s efforts coupled with IHS, BIA, BIE, SAMHSA, and DOJ staff, will help to 

further the prevention and reduction activities at the national, Tribal, state, and local levels. No one 

individual, community, or agency can do this alone. It will take all of us to prevent and reduce 

alcoholism, addiction, and alcohol and substance abuse across AI/AN communities, reservations, 

and urban areas. 

Alcoholism and substance abuse continues to impact American Indians and Alaska Natives. 

AI/AN people are taking proactive measures to minimize the alcohol and substance abuse 

morbidity and mortality among Tribes and urban Indian communities. AI/AN communities are 

solving their own problems through community partnerships, prevention activities, and 

collaborating with other agencies in prevention and treatment efforts. 

A holistic framework or approach can reinforce the belief that the mind, body, and spirit are all 

connected to health. It is the cultural strength, values, and resiliency among AI/ANs which have 

supported their survival. With the full weight of Tribal leadership, Federal agencies, individuals, 

and families working together, effective long-term strategic approaches to address behavioral 

health in Indian Country can be established and implemented.

Background

The Tribal Law and Order Act of 2010 stipulates that the governing body of any Federally 

Recognized Tribe may, at its discretion, adopt a resolution or other equivalent legal enactment of 

the Tribal Council or comparable governing body, authorizing the TAP on behalf of the Tribe. In 

the case of a Tribal consortium, current authorizing resolutions or other equivalent legal 

enactments should be submitted from each Tribe in the consortium, unless existing consortium 

bylaws allow action without support from all Tribes in the consortium. In this case, a copy of the 

bylaws should be submitted. 

If a Federally Recognized Tribe does not adopt such a resolution or other equivalent legal 

enactment within 90 days after publication of the Memorandum of Agreement in the Federal 

Register, the Secretary of Health and Human Services, Secretary of the Interior, and the Attorney 

General shall require the Bureau of Indian Affairs Agency and Bureau of Indian Education 

Superintendents, where appropriate, and the Indian Health Service Chief Executive Officer serving 

such Tribe(s) to enter into an agreement to identify and coordinate available programs and 

resources to carry out the purposes of the law for such Tribes. 

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Purpose of the Tribal Action Plan

We have had the opportunity to hear from persons who had originally assisted in the Tribal Action 

Plan efforts in the early 90s. These experiences have taught us some of the challenges in past 

efforts and that we need to continue this dialogue, to listen and learn about community’s 

challenges and successes, and share innovative cost-effective approaches. The TAP provides an 

opportunity for Federally Recognized Tribes to take a proactive role in the fight against alcohol 

and substance abuse in their communities by: 

• Identifying existing strengths and resources that has helped the Tribe overcome past 

challenges; 

• Assessing their needs and resources relative to alcoholism, addiction, and substance abuse 

prevention and treatment activities; 

• Coordinating available resources and programs in an effort to combat alcohol and substance 

abuse among its members;

• Identifying gaps in services; 

• Working with the community to identify urgent or emerging addiction issues; 

• Assisting in the development of a comprehensive strategy to prevent and reduce alcoholism, 

addiction, and alcohol and substance abuse in the community; 

• Updating TAP’s every two years; and

• Establishing a Tribal Coordinating Committee at the local level.

The Federal agencies will support communities in developing TAPs by:

• Communicating, coordinating, and cooperating fully with Tribes for the purpose of assisting in 

the development and implementation of the TAP and providing ongoing support (i.e., technical 

assistance, training, and guidance); 

• Assisting Tribes in identifying, coordinating existing, and searching for available resources 

and services to support and help sustain the development and implementation of TAP; 

• Entering into an agreement with the Tribe for the implementation of the TAP; 

• Developing an inventory of resources in Indian Country; 

• Analyzing the questions and requests for further information received from the Tribes; 

• Developing a response to the TAP; 

• Developing and maintaining a system of close and continuous communication with Tribes to 

identify available resources to maximize the benefits of intervention strategies and services to 

Tribes; and

• Facilitating and supporting Tribes in providing specific training and technical assistance to 

multi-disciplinary and multi-agency members, allied experts, and community members who 

are key to the efforts and programs in the TAP. 

The information enclosed in the TAP Guidelines is to offer a road map for individually Federally 

Recognized Tribes and Tribal program providers’ in their development of a TAP. The TAP

Guidelines is created and designed to assist AI/AN communities in taking a proactive role that 

addresses the alcoholism, addiction, and alcohol and substance abuse across their reservations, 

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villages, and urban communities in ways that are culturally responsive. These guidelines provide 

guidance on how Tribal entities can begin their efforts in developing a TAP. It is our hope that the 

information will serve as a useful tool and one that can be revised frequently to reflect the ongoing 

evolution of AI/AN communities and the legislation. These guidelines may be shared with Tribal 

leaders, health professionals, consumers, and anyone else interested in planning for and 

developing TAPs. 

The TAP is a strategy identified by the Tribal entity that is localized and specific to the 

community’s strengths and resources as well as needs and challenges, and supports the principle of 

Tribal self-determination. The TAP will provide a map for how the community will come together 

to share their history, culture, tradition, ideas, resources and their desires to improve the overall 

quality of health and wellness for the community residents. The development of the TAP should 

involve all members of the community (i.e., women, men, elders, and youth), local merchants, 

community organizations, religious and spiritual leaders, social service providers, educators, 

Tribal council, and reflect the cultural concepts of wellness and healing/service approaches that are 

particular to each specific Tribal community. 

Individual Tribes are given the flexibility to be creative, allowing them to establish the methods 

they choose to support prevention, intervention, treatment, rehabilitative, and aftercare activities 

within their communities. However, AI/AN communities are encouraged to highlight the 

following in their TAP:

• Identify and focus on existing programs and resources in implementing coordinated programs 

for the prevention and treatment of alcoholism, addiction, and alcohol and substance abuse in 

the community at the local levels. This should include formal “western” programs and also any 

informal community, peer, or culturally-based resources that address those concerns.

• Modify or supplement the existing programs and authorities in the areas of education, family 

and social services, law enforcement, judicial services, victim services, and health services to 

further the purpose of the TAP. 

It is recommended that TAPs be comprehensive and multidisciplinary in scope. A 

multidisciplinary “team” approach may work best in planning and implementing prevention and 

response principles and putting them into action. Based on research and anecdotal evidence, a 

team approach fosters holistic healing and recovery of individuals and their communities. 

Members of the “team” should not only include behavioral health professionals and program 

directors from across disciplines but also traditional helpers/healers, community members, 

consumers, family-members and youth who are recipients of services, or others who can represent 

the “voice” of the “grass roots” community. When individuals are heard and treated with respect 

by a committed, culturally sensitive multidisciplinary team, they are more likely to participate in 

the process and achieve more meaningful recovery. A core team of individuals working 

collaboratively to prevent, respond, and provide services and resources for the community by 

offering specialized prevention, intervention, and aftercare services may improve the 

communities’ capacity in addressing these issues across reservations, villages, and urban 

communities. This holistic approach aligns, leverages, and coordinates existing resources. Finding 

the right team of persons who represent the community’s concerns, can maintain the community’s 

interest and involvement, and is capable of gathering the resources needed to impact a 

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community’s problems is not easy. Therefore, it is important to identify the right team of people 

who are willing to hear the community members.

No single TAP will work for all communities; rather, the best fit for each community can be 

developed by examining the community’s strengths and weaknesses, and leveraging existing 

resources. Future TAPs may serve as a resource to help form future Tribal practice-based and 

evidence-based practices that may be replicated in communities across Indian Country. It is 

important that the TAP be precise in defining coordination goals and tasks. 

The resources, technical assistance, and suggested models identified in these guidelines are merely 

tools to help broaden the understanding of the community’s urgent or emerging addiction issues 

and the totality of circumstances, both cause and effect. Methods to combat these problems can 

affect individual Tribal members, families, children and elders, neighbors, victims of crime, and 

the community as a whole and impact future generations. These resources are provided to help 

facilitate a process to identify community strengths, gaps, needs, and concerns that will begin the 

path toward solutions and healing rather than remain problem oriented. Some of these models 

demonstrate that there are: 

• Multiple causes for addictive behavior; 

• Recognize that there are individual differences in susceptibility to alcohol problems; 

• Promote a balance of prevention and treatment; 

• Promote a strategy to target the individual, family, and community environment; and 

• Provide creative collaborative approaches that support co-location and sharing of resources 

among partnering agencies. 

It is the combined vision of IHS, BIA, BIE, SAMHSA, and DOJ to place quality at the forefront of 

health and wellbeing for all AI/ANs in our commitment to assist communities in their efforts to 

prevent and reduce alcoholism, addiction, and alcohol and substance abuse that honors, preserves, 

and protects our government-to-government relationship and AI/AN traditional governance, 

culture, and ways of life. It is the responsibility of the Federal partners to assist AI/AN 

communities in addressing alcoholism, addiction, and alcohol and substance abuse. These are 

public health and safety issues that impact AI/AN individuals, families, and communities, which 

have resulted in devastating social, economic, physical, mental, and spiritual consequences. IHS, 

BIA, BIE, SAMHSA, and DOJ will maximize the legislative intent of TLOA and its subsequent 

amendments to accomplish coordination of resources that will improve the overall health and 

wellbeing of AI/AN individuals, families, villages, communities, and Tribes. 

Tribal Coordinating Committee

The Tribal Coordinating Committee (TCC) will consist of a Tribal representative, who shall serve 

as TCC Chair, the Bureau of Indian Affairs Agency and Bureau of Indian Education 

Superintendents, where appropriate, and the Indian Health Service Chief Executive Officer, or 

their representative. Other important and interested persons may include members of the 

community and/or service providers such as:

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• Tribal Leaders

• Tribal Health Director

• Tribal Health Board Representatives

• Community Health Representative

• Tribal Behavioral Health Director

• Public Health Nurses

• Law Enforcement

• Tribal Judicial Services

• Consumer Representatives

• Spiritual Leaders/Clergy

• Elders

• Youth 

• School Personnel 

• Business Owners 

To be effective, these individuals are to be listed in a Tribal resolution or other equivalent legal 

enactment addressing the formation of the TCC. The Committee will have the primary 

responsibility for the implementation of the TAP, for on-going review and evaluation of, and 

making recommendations to the Tribe relating to the TAP; and for scheduling Federal, Tribal, or 

other personnel for training in the prevention and treatment of alcohol and substance abuse. As 

problems arise in the development of service coordination, it will be the responsibility of the 

Tribal Coordinating Committee to identify and address them. The Tribal Coordinating Committee 

will provide technical assistance where problems concerning coordination of services have 

developed. 

An organizational structure that will promote the most efficient and effective means of achieving

its basic goals and objectives is recommended. In addition, the Tribal Coordinating Committee 

may consider establishing a standing committee for each of the following target areas chosen to be 

included in the TAP: 

• Education 

• Family and Social Services

• Law Enforcement

• Judicial Services

• Health Services

• Youth Services 

In order to assign and accomplish specific tasks, it is suggested that subcommittees be appointed at 

least one liaison member from each standing committee. These subcommittees could include: 

• Community Needs Assessment 

• Service and Resource Inventory 

• Goals and Tasks Prioritization

• Performance Standards and Indicators

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• Data Collection and Data Analysis

• Quality Assessment and Improvement Management 

• Training and Evaluation 

• Cultural Integrity and Relevance

• Service Delivery Coordination 

Tribal Action Plan Components

A Tribal Action Plan is a Tribal specific version of what may also be known as a strategic plan. 

There are many models and processes that have been used by Tribal communities, some of which 

are borrowed from mainstream business practices and others that incorporate cultural adaptations. 

The section will outline some of the minimum components that should make up a Tribal Action 

Plan. Tribes may choose to further expand on these minimum components based on their own 

needs and capacity and they may also determine the best process to develop this plan. Ideally, the 

plan should be developed through an inclusive process of involving a wide variety of stakeholders, 

including community members and not an isolated exercise done by Tribal administrators or 

outside “professionals.” 

Tribal Action Plans may include the following elements: 

• Profile population needs; 

• Mobilize/build capacity to address needs; 

• Develop Comprehensive Strategic Plan; 

• Implement infrastructure development and evidence based prevention and/or treatment 

programs; and

• Monitor, evaluate, sustain, and improve processes. 

A Tribal Action Plan should be comprehensive and should provide a link between the broad “big 

picture” community assessment/goals and the “nuts and bolts” elements of who should do what 

specific activities in order achieve those stated goals. The Tribal Action Plan should be a “living 

document” that is used as a guide by line-staff, managers, administrators, and Tribal officials so 

that each level of accountability supports the other in a coordinated way. 

The following describes four broad components of a Tribal Action Plan that may also be viewed as 

a community level circular/relational assessment where the elements of Environment, 

Infrastructure, Resources, and Mission are interdependent on one another to form a holistic 

perspective. This framework is adapted from a strategic planning process developed by the 

National Indian Child Welfare Association (See graphic below). Suggestions and examples of 

those four components are provided: 

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Assessment of strengths and challenges within the environment:

• The physical, facility, and geographic elements of the community; 

• The politics (Tribal, state, and local) that impact the community; 

• The economics of the community; and

• The social environment, including cultural values assets as well as community attitudes about 

behavioral health and justice issues. 

Assessment of the strengths and challenges of the basic 

infrastructure/organization of services: 

• Policies, procedures, and protocols that are relevant; 

• Overall structure of services and programs including management; 

• Fiscal management and accounting structures; 

• Personnel management structures, policies, and procedures; 

• Inventory of available services and service models being used; and

• Previously existing strategic plans that may be specific to a particular area of need/interest. 

Assessment of the strengths and challenges in the area of resources: 

• Human resources and workforce resources including professionals, volunteers, and other 

natural helpers in the community; 

• Description of the leadership capacity of the community to implement the Tribal Action Plan. 

Identify both natural leaders as well as elected “official” leaders in community; 

• Identifying “champions” both in and outside of the community who may be able to provide 

resources and other support to the efforts; 

• Funding streams and other financial resources; and

• Partners and other potential collaborators. 

Assessment of the strengths and challenges in the area of Mission and Vision: 

• Any mandate(s) or other sanctioned authority that will add credibility/accountability to 

implementing the work of the Tribal Action Plan; 

• Overall “spirit” of the Tribal community and level of readiness to engage in the work 

described in the Tribal Action Plan;

• A description of the values of the community around behavioral health and justice and how 

those values are or are not reflected in the services and service structures; 

• Overall vision of the Tribe/Tribal community as it relates to the work of the TAP (include 

formal vision statement where applicable); and

• Mission statements of various organizations involved in the work of behavioral health and 

justice issues. 

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Once the elements of the strengths and challenges are identified, then the Tribal Action Planning 

process must “drill down” to actionable steps and realistic goals, objectives, and tasks. There are 

many models of these types of task plans, but at a minimum they should include: 

1. Specific measurable goal that is realistic and time limited; 

2. Specific objectives that are required to realize the above stated goal; 

3. Specific tasks or activities that will help achieve the objective; 

4. Time frames for each of the above; 

5. Assignment of people who are responsible for actionable steps; 

6. Process of progress review; and

7. Opportunities for “course correction” or adapting/adjusting based on unanticipated 

barriers/challenges.

Figure 1 Relational Worldview Organizational Level

Tribal Action Plan Model Frameworks

It is understood that there are several Model Frameworks that communities can use when planning 

and implementing their Tribal Action Plans. For the purposes of this section, four models will be 

discussed including the Community Readiness Model, the Strategic Prevention Framework, 

Spectrum of Prevention, and Comprehensive Assessment Process for Planning Strategies. As 

always, Tribes will select a Model Framework that best meets the community’s needs.

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Community Readiness Model (CRM)

The Community Readiness Model was developed 17 years ago at Colorado State University. 

Native communities assisted in the refinement and usability of the Model. It has been named as 

one of the Nine Best Practices in Indian Country by the First Nations Behavioral Health 

Association, a national Native organization. Over 1,800 communities have used the model on 

various issues, with approximately 210 Native communities and over 1,600 multi ethnic 

communities. It is community and issue specific and was designed to build cooperation between 

systems and individuals while incorporating the culture of the community into the resulting 

prevention and social marketing strategies. In a cost and resource effective manner, it helps 

mobilize communities to develop and implement culturally appropriate intervention strategies. The 

Community Readiness Model, a nine-stage multidimensional model, is designed to facilitate 

community change and engage and invest the community. The purpose of the model is to 

determine the level of readiness of a community to address a specific issue. This level of readiness 

will assist in selecting the most effective types of interventions to implement. The model can be 

used for most any issue that a community is facing: child abuse, substance abuse, domestic 

violence, HIV/AIDS, heart disease, childhood obesity, etc. 

The Community Readiness Model: 

1. Promotes community change while integrating the culture of the community and the existing 

resources while utilizing the level of readiness in order to more effectively address an issue;

2. Allows communities to define issues and strategies in their own context;

3. Builds cooperation among systems and individuals; 

4. Increases community capacity for prevention and intervention; 

5. Encourages and enhances community investment in an issue; 

6. Can be applied in any community (geographic, issue-based, organizational, etc.); 

7. Can be used to address a wide range of issues;

8. Serves as a step by step easy to use guide to the complex process of community change;

9. Has theoretical roots in psychological theory for treatment and community development with 

high levels of reliability and validity; and

10. Assists a community in making healthy and positive changes in the community. 

Process for Using the Community Readiness Model:

1. Identify the issue;

2. Define “Community”; 

3. Conduct key respondent interviews;

4. Score interviews to determine Readiness level;

5. Develop strategies and conduct workshops; and 

6. Implement the strategies for community change.

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Stages of Community Readiness:

1. No Awareness. The issue is not generally recognized by the community or the leaders as a 

problem. “It’s just the way things are.” Community climate may unknowingly encourage the 

behavior although the behavior may be expected of one group and not another (i.e., by gender, 

race, social class, age, etc.).

2. Denial/Resistance. There is usually some recognition by at least some members of the 

community that the behavior itself is or can be a problem, but there is little or no recognition 

that this might be a local problem. If there is some idea that it is a local problem, there is a 

feeling that nothing needs to be done about this locally. “It’s not our problem.” “We can’t do 

anything about it.” Community climate tends to match the attitudes of leaders and may be 

passive or guarded. 

3. Vague Awareness. There is a general feeling among some in the community that there is a 

local problem and that something ought to be done about it, but there is no immediate 

motivation to do anything. There may be stories or anecdotes about a problem, but ideas about 

why the problem occurs and who has the problem tend to be stereotyped and/or vague. No 

identifiable leadership exists or leadership lacks energy or motivation for dealing with this 

problem. Community climate does not serve to motivate leaders. 

4. Preplanning. There is clear recognition on the part of at least some that there is a local problem 

and that something should be done about it. There are identifiable leaders, and there may even 

be a committee, but efforts are not focused or detailed. There is discussion but no real planning 

of actions to address the problem. Community climate is beginning to acknowledge the 

necessity of dealing with the problem. 

5. Preparation. Planning is going on and focuses on practical details. There is general information 

about local problems and about the pros and cons of efforts, (actions or policies), but it may 

not be based on formally collected data. Leadership is active and energetic. Decisions are 

being made about what will be done and who will do it. Resources (people, money, time, 

space, etc.) are being actively sought or have been committed. Community climate offers 

modest support of the efforts. 

6. Initiation. Enough information is available to justify efforts (activities, actions, or policies). An 

activity or action has been started and is underway, but it is still viewed as a new effort. Staff 

are in training or have just finished training. There may be great enthusiasm among the leaders 

because limitations and problems have not yet been experienced. Improved attitude in 

community climate is reflected by modest involvement of community members in the efforts. 

7. Stabilization. One or two efforts or activities are running, supported by administrators or 

community decision makers. Programs, activities, or policies are viewed as stable. Staff are 

usually trained and experienced. There is little perceived need for change or expansion. 

Limitations may be known, but there is no in-depth evaluation of effectiveness nor is there a 

sense that any recognized limitations suggest a need for change. There may or may not be 

some form of routine tracking of prevalence. Community climate generally supports what is 

occurring.

8. Confirmation/Expansion. There are standard efforts (activities and policies) in place and 

authorities or community decision makers support expanding or improving efforts. Community 

members appear comfortable in utilizing efforts. Original efforts have been evaluated, 

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modified and new efforts are being planned or tried in order to reach more people, those more 

at risk, or different demographic groups. Resources for new efforts are being sought or 

committed. Data are regularly obtained on extent of local problems and efforts are made to 

assess risk factors and causes of the problem. Due to increased knowledge and desire for 

improved progress, community climate may challenge specific efforts, but is fundamentally 

supportive. 

9. High Level of Community Ownership. Detailed and sophisticated knowledge of prevalence, 

risk factors, and causes of the problem exists. Some efforts may be aimed at general 

populations while others are targeted at specific risk factors and/or high risk groups. Highly 

trained staff are running programs or activities, leaders are supportive, and community 

involvement is high. Effective evaluation is used to test and modify programs, policies, or 

activities. However, community members should continue to hold efforts accountable for 

meeting community needs, although, fundamentally they are supportive. 

Community Readiness Strategies:

1. No Awareness

Goal: To raise awareness of the issue

a. One on one visits with community leaders and members; 

b. Visit existing and established small groups to inform them of the issue; and

c. Make one on one phone calls to friends and potential supporters. 

2. Denial/Resistance 

Goal: Raise awareness that the problem or issue exists in this community

a. Continue one on one visits and encourage those you’ve talked with to assist; 

b. Discuss descriptive local incidents related to the issue;

c. Approach and engage local educational/health outreach programs to assist in the effort with 

flyers, posters, or brochures; 

d. Begin to point out media articles that describe local critical incidents;

e. Prepare and submit articles for church bulletins, local newsletters, club newsletters, etc.; 

and

f. Present information to local related community groups. 

3. Vague Awareness 

Goal: Raise awareness that the community can do something 

a. Present information at local community events and unrelated community groups; 

b. Post flyers, posters, and billboards; 

c. Begin to initiate your own events (potlucks, potlatches, etc.) to present information on the 

issue;

d. Conduct informal local surveys/interviews with community people by phone or door to 

door; and 

e. Publish newspaper editorials and articles with general information but relate information to 

local situation.

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4. Preplanning 

Goal: Raise awareness with concrete ideas to combat condition

a. Introduce information about the issue through presentations and media; 

b. Visit and invest community leaders in the cause;

c. Review existing efforts in community (curriculum, programs, activities, etc.) to determine 

who benefits and what the degree of success has been; 

d. Conduct local focus groups to discuss issues and develop strategies; and 

e. Increase media exposure through radio and television public service announcements. 

5. Preparation 

Goal: Gathering existing information with which to plan strategies

a. Conduct school drug and alcohol surveys; 

b. Conduct community surveys; 

c. Sponsor a community picnic to kick off the effort; 

d. Present in-depth local statistics;

e. Determine and publicize the costs of the problem to the community; 

f. Conduct public forums to develop strategies; and 

g. Utilize key leaders and influential people to speak to groups and participate in local radio 

and television shows. 

6. Initiation 

Goal: Provide community specific information

a. Conduct in-service training for professional and paraprofessionals; 

b. Plan publicity efforts associated with start-up of program or activity; 

c. Attend meetings to provide updates on progress of the effort; 

d. Conduct consumer interviews to identify service gaps and improve existing services; and

e. Begin library or internet search for resources and/or funding. 

7. Stabilization 

Goal: Stabilize efforts/programs

a. Plan community events to maintain support for the issue; 

b. Conduct training for community professionals; 

c. Conduct training for community members;

d. Introduce program evaluation through training and newspaper articles; 

e. Conduct quarterly meetings to review progress and modify strategies; 

f. Hold special recognition events for local supporters or volunteers; 

g. Prepare and submit newspaper articles detailing progress and future plans; and 

h. Begin networking between service providers and community systems. 

8. Confirmation/Expansion 

Goal: Expand and enhance services

a. Formalize the networking with qualified service agreements;

b. Prepare a community risk assessment profile;

c. Publish a localized program services directory;

d. Maintain a comprehensive database;

e. Develop a local speakers’ bureau;

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f. Begin to initiate policy change through support of local city officials; and 

g. Conduct media outreach on specific data trends related to the issue.

9. High Level of Community Ownership 

Goal: Maintain momentum and continue growth 

a. Engage the local business community and solicit financial support from them; 

b. Diversify funding resources; 

c. Continue more advanced training of professionals and paraprofessionals;

d. Continue reassessment of issue and progress made; 

e. Utilize external evaluation and use feedback for program modification; 

f. Track outcome data for use with future grant requests; and

g. Continue progress reports for benefit of community leaders and local sponsorship. 

The Community Readiness Action Plans developed have been utilized by several communities to 

obtain additional funding. For more information on the Community Readiness Model, please visit: 

http://www.happ.colostate.edu/. 

The Strategic Prevention Framework (SPF)

The Strategic Prevention Framework is grounded in the public health approach and based on six 

key principles: 

1. Prevention is an ordered set of steps along a continuum to promote individual, family, and 

community health, prevent mental and behavioral disorders, support resilience and recovery, 

and prevent relapse. Prevention activities range from deterring diseases and behaviors that 

contribute to them, to delaying the onset of disease and mitigating the severity of symptoms, to 

reducing the related problems in communities. This concept is based on the Institute of 

Medicine model that recognizes the importance of a whole spectrum of interventions. 

2. Prevention is prevention is prevention. That is, the common components of effective 

prevention for the individual, family, or community within a public health model are the same

whether the focus is on preventing or reducing the effects of cancer, cardiovascular disease, 

diabetes, substance abuse, or mental illness.

3. Common risk and protective factors exist for many substance abuse and mental health 

problems. Good prevention focuses on these common risk factors that can be altered. For 

example, family conflict, low school readiness, and poor social skills increase the risk for 

conduct disorders and depression, which in turn increase the risk for adolescent substance 

abuse, delinquency, and violence. Protective factors such as strong family bonds, social skills, 

opportunities for school success, and involvement in community activities can foster resilience 

and mitigate the influence of risk factors. Risk and protective factors exist in the individual, the 

family, the community, and the broader environment. 

4. Resilience is built by developing assets in individuals, families, and communities through 

evidenced-based health promotion and prevention strategies. For example, youth who have 

relationships with caring adults, good schools, and safe communities develop optimism, good 

problem-solving skills, and other assets that enable them to rebound from adversity and go on 

with life with a sense of mastery, competence, and hope. 

16
5. Systems of prevention services work better than service silos. Working together, researchers 

and communities have produced a number of highly effective prevention strategies and 

programs. Implementing these strategies within a broader system of services increases the 

likelihood of successful, sustained prevention activities. Collaborative partnerships enable 

communities to leverage scarce resources and make prevention everybody’s business. 

National prevention efforts are more likely to succeed if partnerships with state, Tribe, and/or 

community, and practitioners focus on building capacity to plan, implement, monitor, evaluate, 

and sustain effective prevention. 

6. Baseline data, common assessment tools, and outcomes shared across service systems can 

promote accountability and effectiveness of prevention efforts. A Strategic Prevention 

Framework can facilitate Federal agencies, state, Tribe, and/or community to identify common 

needs and risk factors, adopt assessment tools to measure and track results, and target 

outcomes to be achieved. A data-driven strategic approach, adopted across service systems at 

the Federal, Tribal, state, community, and service delivery levels, maximizes the chances for 

future success and achieving positive outcomes. 

Moving the Strategic Prevention Framework from vision to practice is a strategic process that 

Tribes and/or community stakeholders must undertake in partnership. The process consists of the 

following steps:

1. Profile population needs, resources, and readiness to address the problems and gaps in service 

delivery; 

2. Conduct needs assessments, through collection and analysis of epidemiological data that 

includes the following: 

a. Assessment of the magnitude of substance abuse and related mental health disorders in the 

community; 

b. Assessment of risk and protective factors associated with substance abuse and related 

mental health disorders in the community; 

c. Assessment of community assets and resources; 

d. Identification of gaps in services and capacity; 

e. Assessment of readiness to act; and 

f. Identification of priorities based on the epidemiological analyses, including the 

identification of target communities to implement the Strategic Prevention Framework, and 

specification of baseline data against which progress and outcomes of the Strategic 

Prevention Framework can be measured.

3. Mobilize and/or build capacity to address needs; 

4. Engagement of key stakeholders at the Tribal level is critical to plan and implement successful 

prevention activities that will be sustained over time. Key tasks may include, but are not 

limited to, convening leaders and stakeholders; building coalitions; training community 

stakeholders, coalitions, and service providers; organizing agency networks; leveraging 

resources; and engaging stakeholders to help sustain the activities; 

5. Develop a Comprehensive Strategic Plan; 

6. Using data from the Tribal needs assessment, the Tribe and/or community must develop a 

strategic plan that articulates not only a vision for prevention activities, but also strategies for 

organizing and implementing prevention efforts. The strategic plan must be based on 

documented needs, build on identified resources/strengths, set measurable objectives, and 

17
include the performance measures and baseline data against which progress will be monitored. 

Plans must be adjusted as the result of ongoing needs assessment and monitoring activities. 

The issue of sustainability should be a constant throughout each step of planning and 

implementation and should lead to the creation of a long-term strategy to sustain policies, 

programs and practices; 

7. Implement practice-based and evidence-based prevention programs and infrastructure 

development activities;

8. Tribe and/or community will use their strategic plan to guide selection and implementation of 

policies, programs, and practices proven to be effective in research settings and communities

to achieve the goals of their plan. Community implementers must ensure that culturally 

competent adaptations are made without sacrificing the core elements of the program. 

SAMHSA especially encourages the selection and adaptation of programs contained in the 

National Registry of Effective Programs (NREP), and other evidence based programs policies 

and practices; and

9. Monitor process, evaluate effectiveness, sustain effective programs/activities, and improve or 

replace those that fail. 

Ongoing monitoring and evaluation are essential to determine if the outcomes desired are achieved 

and to assess program effectiveness and service delivery quality and to make adjustments as 

required. Tribe and/or community must utilize performance data to monitor, evaluate, sustain, and 

improve the Strategic Prevention Framework activities in the Tribe and/or community and 

communities.

Tribes that commit to the implementation of the Strategic Prevention Framework are ultimately 

more likely to succeed in reducing substance abuse and substance abuse related problems in 

communities. The process when implemented provides a road map for successful comprehensive 

community plans to foster sustained long term change in AI/AN communities. For more 

information on the Strategic Prevention Framework, please visit: 

http://www.samhsa.gov/prevention/spf.aspx. 

Spectrum of Prevention (SoP)

The Spectrum of Prevention is a systematic tool that promotes a multifaceted range of activities 

for effective prevention. Originally developed by Larry Cohen while working as Director of 

Prevention Programs at the Contra Costa County Health Department, the Spectrum is based on the 

work of Marshall Swift in treating developmental disabilities. It has been used nationally in 

prevention initiatives targeting traffic safety, violence prevention, injury prevention, nutrition, and 

fitness. The Spectrum identifies multiple levels of intervention and helps people move beyond the 

perception that prevention is merely education. The Spectrum is a framework for a more 

comprehensive understanding of prevention that includes six levels for strategy development. 

These levels, delineated in the table below, are complementary and when used together produce a 

synergy that results in greater effectiveness than would be possible by implementing any single 

activity or linear initiative. At each level, the most important activities related to prevention 

objectives should be identified. As these activities are identified they will lead to interrelated 

actions at other levels of the Spectrum.

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The Spectrum of Prevention:

Influencing Policy & Legislation Changes in Tribal, Federal, State, & local

laws have the potential for achieving the 

broadest impact across a community. 

Effective formal & informal policies lead 

to widespread behavior change & 

ultimately change social norms. 

Mobilizing Neighborhoods & 

Communities 

A relatively young concept, this includes 

meeting with communities to prioritize 

community concerns such as violence, 

unemployment and keeping families 

together, so that these needs may be 

addressed along with the health 

department goals. 

Changing Organizational Practices Changes in internal regulations & norms, 

allows organizations to affect the health & 

safety of its members and the greater 

community. 

Fostering Coalitions & Networks Coalitions & expanded partnerships are 

vital to public health movements and can 

be powerful advocates for legislative and 

organizational change. From grassroots 

partners to governmental coalitions, all 

have the potential to develop a 

comprehensive strategy for prevention. 

Educating Providers Providers have influence within their 

fields of expertise to transmit information, 

skills, and motivation to their colleagues, 

patients & clients. They can become frontline advocates for public health 

encouraging the adoption of healthy 

behaviors, screening for risks, and 

advocating for policies and legislation. 

Promoting Community Education Community education goals include 

reaching the greatest number of people 

possible with a message as well as mass 

media to shape the public's understanding 

of health issues. 

19
Strengthening Individual Knowledge & 

Skills 

This is the classic public health approach 

and involves nurses, educators, and trained 

community members working directly 

with clients in their homes, community 

settings, or clinics in order to promote 

health. 

The Spectrum of Prevention is a framework that delineates a systems approach to prevention 

practice. The Spectrum has been applied to health problems in communities worldwide. The 

Spectrum of Prevention is a tool that enables practitioners to move beyond a primarily educational 

approach to achieve broad impact through multifaceted activities. It can aid practitioners and 

policy makers in thinking through, evolving, and strategically developing prevention programming 

efforts. As communities seek to address increasingly complex social and health issues they will 

face the challenge of devising new services and programs until they are committed to promoting 

prevention. When systematic methodology, like the Spectrum of Prevention, is applied and an 

overall strategy developed, prevention efforts have an excellent chance for success. A good

strategy solves multiple problems, saves lives and money, reduces suffering, and enhances the 

prospects for community well being. For more information on the Spectrum of Prevention, please 

visit: http://www.preventioninstitute.org

Comprehensive Assessment Process for Planning Strategies (CAPPS)

Fox Valley Technical College’s Criminal Justice Center for Innovation began teaching the 

planning process to Tribes and communities in 1998. The initial response to the Comprehensive 

Assessment Process for Planning Strategies (CAPPS) training was so positive that the National 

Congress of American Indians passed a Resolution of Support (#GRB-98-035) at their 1998 MidYear Session. To date, more than 65 CAPPS national, regional, state, and local trainings helped 

more than 1,500 participants who represent over 300 Tribal teams from 31 states to apply this 

planning process to their justice-related situations. Teams learn how the planning process can help 

them avert or respond to a crisis or major event, address long-standing challenges, prepare for the 

future, or create a multi-focused approach to address community safety considerations. 

20
Figure 2 Comprehensive Assessment Process for Planning Strategies CAPPS

The training model uses skilled facilitators who focus on an applied learning approach to walk 

teams through the planning process steps and guide them in learning to apply the process to any 

situation where a shared vision will help direct their team’s future. CAPPS is designed to offer a 

step-by-step process to define the purpose for planning; identify strengths and needs; and develop 

an effective strategy that will maintain momentum throughout the implementation phase of the 

plan. This action planning process builds on strengths to set achievable outcomes of a shared 

vision for future generations. This planning process can be applied to many situations and can be 

used to help Tribes develop a Tribal justice-system strategic plan, prepare for a Coordinated Tribal 

Assistance Solicitation (CTAS), Tribal court, alcohol/substance abuse or other applications for 

grant funding, plan for implementation of a grant or other project, and create justice system 

problem-specific strategies. 

Recently revised to best meet the present and future needs of Tribal communities, the training 

modules build on the four directions; Assess, Plan, Act, and Evaluate. The training begins in the 

East with participants gaining experience using a concentric learning technique to teach the 

planning process. Teams will identify the desired outcome for the plan, which includes techniques 

that create a detailed description of their current condition and projected outcomes. As teams move 

through the training topics, they will use information gained in each session to revisit their original 

assumptions and assure the strategy is built on achievable outcomes, accurate assessment of 

strengths, identification of gaps/needs, and accountability as well as performance measures for 

each step of their plan. The diagram defines the flow of the curriculum and describes each section 

of the training. The diagram displays the planning process road map that is used to guide teams 

through learning to apply the planning process to achieve a desired outcome. 

21
Assess: During this phase of the training, participants take a critical look at their planning team 

and identify key considerations to build a strong planning team, identify tools for working 

together, and create a shared vision based on specific and unique quality of life factors. This phase 

of the training will help team members reach consensus about who needs to be involved in their 

planning process and refine the definition of what they are trying to do based on their desired 

outcome. Specific training topics include: 

1. Define a Desired Outcome: Teams will discuss the information available on the current 

condition, including who is affected by it; how are they affected; what strategy is proposed; 

why is it believe this is the best approach; and what would happen without an intervention? 

2. Building the Planning Team: Participants will realize that a team is more than a collection of 

people. Through application of decision-making skills, this session will demonstrate how to 

create a strong sense of mutual commitment, which generates synergy and makes team work 

more effective than individual efforts. Team members will gain new insights into ways 

information-sharing can enhance planning strategies.

3. Communication: This session will provide information on ways to recognize the value of good 

communication and the dangers of poor communication. Teams will learn to recognize their 

communication obstacles and define a guide to effectively work together for a common 

purpose of achieving their desired outcome. 

4. Vision: Based on the guide to effective communication, participants will be able to describe a 

shared vision for the plan and articulate a long term goal of where they want to be in the future, 

even if it will not be achieved in their lifetime. The team will define how the plan will change 

the current condition and what would happen without this plan being implemented. 

Plan: During this phase of the training, teams will learn to define their mission. The verification 

process is a critical step to assure plans are based on the most critical need and assure that the rootcause is identified and factored into the strategy. Teams will learn to gather, assess, and describe 

information that will validate the situation. They will identify strengths, gaps, and existing 

resources that can be utilized to support their mission. 

1. Define Mission: Based on the team’s vision for the future, teams will learn to define a specific 

and targeted mission that will translate the desired outcome into a specific purpose for the plan. 

They will learn to align mission with vision and differentiate mission from vision, goals, and 

other aspects of the planning process. 

2. Assess Strengths: The positive internal and external resources of people and programs as well 

as financial resources that are currently available within the community that can help reach 

their desired outcome is the intent for this section of the training. The approach will be based 

on this positive approach to mapping resources. 

3. Identify Needs: This section of the training is about learning to ask the right questions that will 

help teams assure that they are headed in the right direction with their strategy. Teams will 

learn the 5 basic steps to assessment that will accurately define systems and needs. This will 

assure an inclusive strategy that remains focused on the desired outcome. 

Act: During this phase of the training, teams will translate their mission into a plan of action by 

learning how to describe goals and actions steps in specific, time-sensitive, and realistic terms. 

22
This phase presents the framework for achievable strategies that are targeted to reach the desired 

outcome that has been identified and verified by the planning team. Team members will be 

assigned with responsibility for assuring that each action step has a realistic due-date. 

1. Goals and Timelines: Participants will learn to identify realistic goals and timelines by 

evaluating the mission statement to identify the specific components necessary to reach the 

desired outcome. Teams will learn to write each goal with clarity in order to provide focus for 

each of the resulting action steps within the timeline.

2. Action Steps: Based on the goals and timelines, teams will be able to develop specific action 

steps and identify the person responsible for completing each step. Defining the person 

responsible for the each step assists the team in developing a strategy of accountability in order 

for the program to continue to move forward without a lot of disruption. An essential part to 

planning is also to anticipate the unexpected so teams will be challenged with establishing a 

contingency plan when their program, goal, or action step meets a barrier.

3. Roles & Tasks: This session will take a closer at the roles and responsibilities for the persons 

assigned to the action steps and all the planning team members. The teams define the 

responsibilities for each member. Once these roles and responsibilities are determined, the 

team can then identify a process for communicating key information as progress is made on 

the goals, timelines, and action steps. 

Evaluate: Once goals and action steps have been identified, it becomes much easier to define the 

measures for each step and identify how each measure will lead to achievable results. This phase 

of the training will focus on turning plans into measurable results. Teams will learn how valuable 

it is to translate their goals into clear and concise measures and reports that can help sustain their 

efforts.

1. Measure & Report: Participants will learn how to describe the importance of assessing the 

progress toward achieving the desired outcome, components of a comprehensive report of 

those assessments, and a method for documenting. As a result of this module, participants will 

be able to answer the questions the following questions that will inform on the status of the 

programs progress: where, who, how, when and what. 

2. Maintain Momentum: In this session participants will review the overall plan and outline next 

steps for carrying the process forward. Teams will be able to identify potential obstacles that 

may derail their processes. By identifying these barriers ahead of time the team can then 

identify their available resources to remove these barriers and/or prevent the barrier from 

happening and maintain the momentum. 

3. Plan Again: The importance of plan development and enhancement as an ongoing process is 

recognized as a critical concept within CAPPS. In learning to utilize CAPPS effectively, teams 

identify the many ways plans may evolve and change throughout the lifetime of the plan. At 

any time, there may be changes to community needs, team members, or resources. These 

changes can impact the viability of the plan; however, team members learn to rely on the 

process to help them through the changes.

CAPPS will continue to be an evolving process not only for those who are participants but also for 

the facilitators, presenters, and mentors associated with the planning process. CAPPS remains a 

valuable tool for community and problem-solving planning strategies. For more information about 

23
CAPPS visit: http://www.fvtc.edu/capps for scheduled training dates and for free online CAPPS 

training visit: https://www.ncjtc.org/Pages/Home.aspx. 

Evaluation

Tribal Leaders and Councils play a key role in fostering quality improvement and evaluation. In 

order to lead in quality improvement, the responsible individuals must have the knowledge about 

and be involved in improving quality continuously. Quality is everyone’s responsibility. Quality 

improvement will be successful only if everyone adopts the belief that those involved in making 

changes happen are genuinely committed to doing their best. 

At least annually, the objectives, scope, organization, and effectiveness of these programs and 

services should be evaluated to demonstrate client care and service outcomes. Quality is a central 

priority for all organizations. Quality improvement of services and programs cannot be 

overemphasized. It cannot be effective without a clear indication that it is a central priority for any 

program. This indication must come from the leaders in a form or quality focused mission 

statement along with planning and support for daily activities designed to improve quality and a 

mechanism must be in place to monitor and evaluate for improving care and services.

A mission statement indicates why a program exists. A vision statement describes what the 

program wishes to be, including its view of itself, and its relationship to those it serves. Mission 

and vision statements that place quality in the forefront of organizational commitments send a 

strong message to leaders, staff, and the general public. Therefore, all key activities should further 

its mission. Fulfillment of this mission requires a coordinated effort by everyone, the Tribe’s 

health board, program managers, clinical and support staff, other Tribal health and social services, 

law enforcement, schools, and for the community to get behind and support these individuals for 

improvement of services for all ages. 

Evaluation can address any one of these components: 

• Definition of mission

• Needs assessment

• Planning – short range (one year or less) and long range planning 

• Cooperative interagency planning activities 

• Local participation in community planning 

• The organization, program, and services state goals and objectives

• Those responsible for implementing these goals and objectives and under what time frames are 

identified

• A written plan to guide responsiveness to consumers based on needs assessment and mission is 

developed 

• Accurate portrayal of community which is consistent with the program and service evaluation

• Determine what you will do with the results (success/lack of success) of your plan to 

responsively meet the needs of community members/consumers 

• Continuously improve the quality of services/programs 

24
Resources/Technical Assistance

The Tribal Law and Order Act called for the creation of a new office within the Substance Abuse 

and Mental Health Services Administration to improve the coordination among the Federal 

agencies and departments responsible to address alcohol and substance abuse efforts among the 

AI/AN communities. The Office of Indian Alcohol and Substance Abuse (OIASA) is located 

within SAMHSA’s Center for Substance Abuse Prevention. SAMHSA will be posting additional 

information and continuous updates on IASA resources and technical assistance available to 

Tribes in developing and implementing their TAPS. In order to ensure Tribes receive the 

assistance needed on the range of resources, SAMHSA’s Office of Indian Alcohol and Substance 

Abuse will also work with partnering agency’s to coordinate the dissemination and availability of 

other technical assistance and training resources. 

SAMHSA/CSAP resources can provide technical expertise to Tribes at different stages of TAP 

development and prevention program implementation. CSAP’s resources, however, do not 

cover the full spectrum of resources and TA that the 565 federally recognized Tribes will need 

to develop and implement a TAP. OIASA will be able to assist interested Tribes in identifying 

resources from other IASA federal agencies to supplement these SAMHSA/CSAP resources in 

support of Tribes developing TAPs. 

To learn more about resources, technical assistance and other relevant information, please contact 

SAMHSA’s Office of Indian Alcohol and Substance Abuse (OIASA) at (240) 276-2400 or by email at IASA@samhsa.hhs.gov. 

Additional information can be found on the OIASA website at: http://www.samhsa.gov/tloa/

25
Appendix A

Sample Tribal Resolution

Resolution #_______________ Tribe 

A resolution authorizing the establishment of a Tribal Coordinating Committee and to Develop and 

Implement a Tribal Action Plan for a Comprehensive Prevention and Treatment Program for 

Alcoholism and Other Substance Abuse. 

WHEREAS, the Business Committee of the Tribe met in a special meeting 

held the th day of , 20 , there being a quorum present, and 

WHEREAS, the Business Committee is authorized by the Constitution and Laws of then 

 Tribe to act on behalf of the Tribe, and 

WHEREAS, the Indian Alcohol and Substance Abuse Treatment Act of 1986, as amended by the 

Tribal Law and Order Act of 2010, proclaims alcoholism, addiction, and alcohol 

and substance abuse are among the most severe public health and safety problems 

facing American Indian and Alaska Native individuals, families, and communities, 

resulting in devastating social, economic, physical, mental and spiritual 

consequences, and 

WHEREAS, the Indian Health Service and Bureau of Indian Affairs officials publicly 

acknowledge that alcohol and substance abuse among Indians is the most serious 

health and social problem facing Indian people, and 

WHEREAS, Congress declared that the Federal government has a historical relationship and 

unique legal and moral responsibilities which include the treaty, statutory, and 

historical obligation to assist Indian Tribes to meet the health and social needs of 

their members, and 

WHEREAS, Congress declared that Indian Tribes have the primary responsibility for protecting 

and ensuring the well-being of their members and are providing resources to assist 

Indian Tribes in meeting that responsibility, and 

WHEREAS, the Tribe finds that alcoholism and other substance abuse affects 

the physical, mental, social spiritual, and economic wellbeing of Tribal members 

and other Indians living within the Tribal jurisdiction, and 

WHEREAS, the Tribe elects to join the Federal government to combat the 

damaging effects of alcoholism and other substance abuse, and to recognize the 

intent of the Memorandum of Agreement, and 

WHEREAS, the Tribe authorizes the establishment of a Tribal Coordinating 

Committee which shall, at a minimum, have as members a Tribal representative 

26
who shall serve as Chairman and the Bureau of Indian Affairs Agency and Bureau 

of Indian Education Superintendants, where appropriate, and the Indian Health 

Service Chief Executive Officer, or their representative, the Office of Justice 

Programs, and the Substance Abuse and Mental Health Services Administration, 

and 

WHEREAS, the Tribal Coordinating Committee is provided full Business Committee support 

with the authority to develop and implement a Tribal Action Plan; have the 

responsibility for on-going review and evaluation of, and making recommendations 

to the Tribe relating to the Tribal Action Plan; have the responsibility for scheduling 

Federal, Tribal, or other personnel for training in the prevention and treatment of 

alcohol and substance abuse among Indians; to identify and address problems that 

arise concerning service coordination; and incorporate minimum standards for this 

program and services which it encompasses, and 

WHEREAS, the purpose of the Tribal Action Plan shall be to coordinate a comprehensive 

prevention and treatment program for alcoholism and other substance abuse and 

will include not only existing resources, but will identify the additional resources 

necessary to combat these problems, and 

WHEREAS, the Indian Health Service and the Bureau of Indian Affairs have identified major 

areas of common interest in health promotion and disease prevention as youth 

alcohol and drug abuse, nutrition, curricula development for health promotion and 

disease prevention, training for community health representatives, health aides, 

Tribal judges, law enforcement personnel, education and social service personnel, 

youth suicide, child abuse and neglect, teen pregnancy, fetal alcohol spectrum 

disorder, the Tribe charges the Tribal Coordinating Committee to 

prioritize services to Indian youth in the development of the Tribal Action Plan. 

BE IT RESOLVED THAT the Tribe has prioritized alcoholism and substance 

abuse prevention and treatment as a primary issue to deal with, and has directed that a 

comprehensive program in compliance with the Anti-Drug Abuse Act of 1986, P.L. 99-570, be 

developed to address the needs of Tribal members and other Indians living within the 

Tribal jurisdiction.

Certification

WE, , Principal Chief and , 

Secretary/Treasurer of the Tribe do hereby certify that Resolution 

# is true and exact as approved by the Business Committee in a special called 

meeting held Reservation, in the city of , in the state of on 

the day of , 20 , by a vote of yes and no. 

 

 , Principal Chief , Secretary/Treasurer

 Tribe Tribe

27
Appendix B

SAMHSA’s CAPT and NACE Support for Tribes Pursuing Tribal Action Plans under the Tribal 

Law and Order Act (TLOA)

September 2011 

TLOA Context

The Tribal Law and Order Act of 2010 stipulates that the governing body of any Federally 

Recognized Tribe may, at its discretion, adopt a resolution for the establishment of a Tribal Action 

Plan to coordinate available resources and programs in an effort to combat alcohol and drug abuse 

among its members. If a Federally Recognized Tribe does not adopt such a resolution within 90 

days after publication of the Memorandum of Agreement in the Federal Registry, the Secretary of 

the Interior, the Attorney General, and the Secretary of Health and Human Services shall require 

the Bureau of Indian Affairs agency and education superintendents, where appropriate, and the 

Indian Health Services service unit director serving such tribe(s) to enter into an agreement to 

identify and coordinate available programs and resources to carry out the purposes of the law for 

such tribes. 

The Tribal Action Plan provides an opportunity for Federally Recognized Tribes to take a proactive 

role in the fight against alcohol and drug abuse in their communities by: assessing their needs and 

resources relative to alcohol and substance abuse prevention and treatment activities; identifying 

gaps in services; working with the community to identify urgent or emerging addiction issues; and 

assisting in the development of a comprehensive a strategy to prevent and reduce alcohol and 

substance abuse in the community.

Relevant SAMHSA/CSAP Resources

The Center for Substance Abuse Prevention (CSAP) in the U.S. Department of Health and 

Human Services’ Substance Abuse and Mental Health Services Administration (SAMHSA) 

has existing contract programs that produce resources Tribes can use in developing and 

implementing their TAPs. These contract programs include: 

o Native American Center for Excellence (NACE)

o SAMHSA’s Collaborative for the Application of Prevention Technologies (CAPT) 

o State Epidemiologic Outcomes Workgroups (SEOW) 

o Fetal Alcohol Spectrum Disorders Center for Excellence (FASD) 

These programs develop resources that provide technical assistance in establishing the strategy 

specified by the TLOA, which follows the Strategic Prevention Framework (SPF) approach 

very closely. These resources are appropriate for a wide range of TAP planning activities, such 

as identifying data sources; analyzing the data; using and/or presenting the findings to conduct 

a needs and resource assessments; identifying appropriate and effective programs; 

implementing the programs in efficient, culturally appropriate, and sustainable ways; and 

evaluating 

tribal programs based on the improvement demonstrated by each tribe measured from their 

specific starting point.

28
Requirements for the Tribes Specified in the TLOA

Tribes are encouraged to develop their own Tribal Action Plans that outline the major alcohol 

and other substance abuse problems in their communities. The following is taken directly from 

the TLOA.

“A Tribal Action Plan (TAP) Workgroup will establish the operating framework of the 

TAP; develop an inventory of current proven strategies to recommend tribes utilizing 

practice based evidence models. Manage the overall coordination of Tribal requests for 

assistance in the development of a tribal action plan. Coordinate assistance and support to 

Tribes as deemed feasible. Collaborate with the Inventory Workgroup in developing an 

appropriate response back to the Tribal entity seeking assistance. 

• § 2412 (e): If any Indian tribe does not adopt a resolution as provided in subsection 

(a) of this section within 90 days after the publication of the Memorandum of 

Agreement in the Federal Register (which must be published within 130 days of 

July 29, 2011) as provided in section 2411 of this title, the Secretary of the Interior, 

the Attorney General, and the Secretary of Health and Human Services shall require 

the Bureau of Indian Affairs agency and education superintendents, where 

appropriate, and the Indian Health Service service unit director serving such tribe to 

enter into an agreement to identify and coordinate available programs and resources 

to carry out the purposes of this chapter for such tribe. After such an agreement has 

been entered into for a tribe such tribe may adopt a resolution under subsection (a) 

of this section. 

• The Tribal Action Plans are to be reviewed and updated every 2 years. 

• The Tribal Action Plans will include the following, at a minimum:

Establishment of a Tribal Coordinating Committee at the local level which 

shall:

i. Consist of a tribal representative who shall serve as Chairman and the 

Bureau of Indian Affairs agency and education superintendents, where 

appropriate, the Office of Justice Programs, the Substance Abuse and 

Mental Health Services Administration, and the Indian Health Service 

service unit director, or their representatives 

ii. Have primary responsibility for the implementation of the TAP

iii. Have the responsibility for on-going review and evaluation of, and 

making recommendations to the Tribe relating to the TAP have the 

responsibility for scheduling Federal, Tribal or other personnel for 

training in the prevention and treatment of alcohol and substance abuse 

among Indians.

Some of the things that the TAP can provide for include: 

a. An assessment of the scope of the problem of alcohol and substance abuse for the 

Indian tribe which adopted the resolution for the TAP, 

b. the identification and coordination of available resources and programs relevant 

to a program of alcohol and substance abuse prevention and treatment, 

29
c. the establishment and prioritization of goals and the efforts needed to meet those 

goals,

d. the identification of the community and family roles in any of the efforts 

undertaken as part of the TAP, 

e. the establishment of procedures for amendment and revision of the plan as may be 

determined necessary by the Tribal Coordinating Committee, and 

f. an evaluation component to measure the success of efforts made.”

These TAP activities are supported by the same Strategic Prevention Framework (SPF) 

procedure employed by the SPF Tribal Incentive Grant (SPF-TIG) grantees served by 

SAMHSA’s CAPT and many of SAMHSA’s NACE clients as well. In addition, SAMHSA’s 

CAPT and SEOW contract have developed resources that relate to suggestion “f”, which 

includes an evaluation component. 

Available SAMHSA/CSAP Technical Assistance and Training (T/TA) Resources

SAMHSA/CSAP resources can provide technical expertise to Tribes at different stages of TAP 

development and prevention program implementation. CSAP’s resources, however, do not 

cover the full spectrum of resources and TA that the 565 federally recognized Tribes will need 

to develop and implement a TAP. OIASA will be able to assist interested Tribes in identifying 

resources from other IASA federal agencies to supplement these SAMHSA/CSAP resources in 

support of Tribes developing TAPs. 

SAMHSA/CSAP provides expert advice, materials, and resources as follows: 

• General substance abuse prevention and strategic planning TA resources are available to all 

Tribes 

• Direct T/TA is available to Tribes that are CSAP discretionary grantees (CAPT)

• Resources emphasize cultural appropriateness, readiness, and linkages and information 

sharing (e.g., Learning Communities)

• Several substance abuse prevention and strategic planning resources are developed and 

disseminated free of charge through the SAMHSA store, via Webinars, and through 

prevention content areas on the SAMHSA website 

• All prevention resources emphasize a science-based, data-driven strategic approach (SPF) 

• SAMHSA/CSAP is not able to provide individualized assistance or site visits 

In addition, some of these SAMHSA/CSAP contracts may provide selected face-to-face largescale trainings or technical assistance events, such as webinars, or offer a limited number of 

T/TA workshops at large meetings. These events could promote the acquisition of skills and 

knowledge required to implement the TAP successfully. 

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Some of the SAMHSA/CSAP contracts develop and provide more specific resources. These 

include: 

• SAMHSA’s CAPT can provide access to relevant prevention materials and tools (i.e., all 

components of the SPF approach, including needs assessment and evaluation tools) through 

a dedicated web portal on the Prevention T/TA section of the website. 

• SAMHSA’s NACE uses a Learning Community model to facilitate the transmission of 

learning from one member and community to another. The experiences of learning 

community members are typically invaluable to others, which, over time, become a 

mentoring process within the group and permit their knowledge to extend well beyond the 

limits of T/TA support. 

• NACE also provides technical assistance on the Community Readiness Model (CRM). The 

CRM is a proven method for assessing the level of readiness of a community to develop 

and implement a wide variety of programs and initiatives. It can be used in conjunction 

with SPF and as a tool to assess levels of TLOA readiness across a group of communities 

or as a tool to guide efforts at the individual community level. 

• SAMHSA’s FASD Center for Excellence develops materials and resources describing 

FASD risk factors and prevention steps to take before and during pregnancy. The FASD 

Center has a collection of resources developed for the AI/AN community, which may be 

appropriate for inclusion in some TAPs. 

• The SEOW contract develops materials and resources describing how to use epidemiologic 

data to shape strategic plans and make program decisions. These materials are consistent 

with SPF and other strategic planning approaches. 

Approach

SAMHSA will explore several means to coordinate SAMHSA’s TA and Training resources 

with those of the other IASA partners in ways that are most accessible and effective for tribes. 

First, SAMHSA will explore coordinating with other IASA partners to offer training sessions 

at existing meetings of various tribal groups. These sessions will focus on the SPF process in 

the context of the TLOA requirements, and will include an introduction of the SPF (TAP) 

concepts to the many tribes and tribal groups that have not yet applied for or received a SPF 

TIG grant. Finally, because the TLOA requires that there be a combination of prevention and 

treatment, these training sessions will address coordination between prevention and treatment 

providers. 

Second, SAMHSA will investigate ways to capitalize on the existing TA and Training 

activities and tools already in use by the SPF TIG grantees and drawing on the successes of the 

20 tribal grantees to create resources for the other 500 + tribes that are not engaged in the SPF 

process. The necessary adaptations might include coordination with the treatment communities 

as well as the mental health communities. SAMHSA’s CAPT and NACE TA providers could 

develop instructional materials and co-facilitate webinars describing the TLOA and how it 

would impact their programs.

Third, SAMHSAwill provide the tribes responding to the TLOA requirements access to portals 

and websites with a variety of materials available to assist them in developing their TAPs. 

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Tribes could also participate in webinars and conference calls to discuss the materials provided 

on the portals and websites. The availability of these materials and programs would be 

coordinated with resources from other IASA partners and presented through a vehicle created 

by the OIASA director. 

Topics Addressed in SAMHSA’s TA and Trainings

Each tribal entity will have a unique set of skills and resources, will need different levels of 

T/TA support, and will need assistance at different points in the SPF (TAP) process. The 

following is a sample of topics that are addressed in the trainings and materials already 

available through SAMHSA’s CAPT and NACE and which could be adapted and made 

available to tribes creating a TAP. 

• Overall description of the Strategic Prevention Framework (SPF) 

• Role of the Epidemiology Work Group and Tribal Advisory Group (Coordinating 

Committee) 

• Identifying and selecting partners and preparing them for the TLOA

• Assessment of community needs regarding substance abuse 

• Assessing tribal capacity and resources

• Selecting priorities for prevention programs 

• Using epidemiological data to make decisions

• Preparing and presenting data to the community 

• The role of evaluation and making it work for the community 

• Building capacity 

• Identifying data sources

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