Funding Opportunity

Standard Grant Announcement: BPPI

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I. FUNDING OPPORTUNITY DESCRIPTION

1. INTRODUCTION

The Substance Abuse and Mental Health Services Administration (SAMHSA) announces its intent to solicit applications for Best Practices Planning and Implementation (BPPI) grants for substance abuse prevention, substance abuse treatment, and mental health services.  This program announcement must be considered in conjunction with a full Notice of Funding Availability (NOFA), which specifies the grant program’s purpose, target population, and other requirements of the program. These grants will help communities and providers identify substance abuse prevention, substance abuse treatment, and/or mental health practices, develop strategic plans for implementing/adapting those practices, and pilot-test the practices. The practices proposed by applicants for SAMHSA’s BPPI grants must incorporate the best objective information available regarding effectiveness and acceptability. Often, these practices will have strong evidence of effectiveness. However, because the evidence base is limited in some areas, SAMHSA may fund some practices for which the evidence base, while limited, is sound.

SAMHSA also funds grants under three other standard grant announcements:

• Services Grants provide funding to implement substance abuse and mental health services.

• Infrastructure Grants support identification and implementation of systems changes but are not designed to fund services.

• Service to Science Grants document and evaluate innovative practices that address critical substance abuse and mental health service gaps but that have not yet been formally evaluated.

This announcement describes the general program design and provides application instructions for all SAMHSA BPPI Grants. The availability of funds for specific BPPI Grants will be announced in supplementary Notices of Funding Availability (NOFAs) in the Federal Register and at www.grants.gov - the Federal grant announcement web page.

SAMHSA’s BPPI Grants are authorized under Section 509, 516 and/or 520A of the Public Health Service Act, unless otherwise specified in a NOFA in the Federal Register and on www.grants.gov.

Typically, funding for BPPI Grants will be targeted to specific populations and/or issue areas, which will be specified in the NOFAs. The NOFAs will also:

• Specify total funding available for the first year of the grants and the expected size and number of awards;
• Provide the application deadline;
• Note any specific program requirements for each funding opportunity; and
• Include any limitations or exceptions to the general provisions in this announcement (e.g., eligibility, award size, allowable activities).

It is, therefore, critical that you consult the NOFA as well as this announcement in developing your grant application.

2. EXPECTATIONS

SAMHSA’s BPPI program promotes the use of practices that incorporate the best objective information available regarding effectiveness and acceptability. SAMHSA refers to these as “best practices.” BPPI grants may address needs in the areas of substance abuse prevention, substance abuse treatment and/or mental health services. SAMHSA understands that the “best practices” proposed for BPPI grants may need to be adapted to certain populations. Therefore, SAMHSA’s BPPI grants support adaptation and evaluation of best practices in addition to planning and implementation.

2.1 Documenting the Evidence-Base for Selected Practices

Applicants must document in their applications that the practices they propose to implement are evidence-based practices. In addition, applicants must justify use of the proposed practices for the target population along with any adaptations or modifications necessary to meet the unique needs of the target population or otherwise increase the likelihood of achieving positive outcomes. Further guidance on each of these requirements is provided below.

Documenting the Evidence-Based Practice/Service

SAMHSA has already determined that certain practices are solidly evidence-based practices and encourages applicants to select practices from the following sources (though this is not required):

• SAMHSA’s National Registry of Effective Programs and Practices (NREPP) (see Appendix C)
• Center for Mental Health Services (CMHS) Evidence Based Practice Tool Kits (see Appendix D)
• List of Evidence-Based Substance Abuse Treatment Practices (see Appendix E)
• Additional practices identified in the NOFA for a specific funding opportunity, if applicable

Applicants proposing practices that are not included in the above-referenced sources must provide a narrative justification that summarizes the evidence for effectiveness and acceptability of the proposed practice. The preferred evidence of effectiveness and acceptability will include the findings from clinical trials, efficacy and/or effectiveness studies published in the peer-reviewed literature.

In areas where little or no research has been published in the peer-reviewed scientific literature, the applicant may present evidence involving studies that have not been published in the peer-reviewed research literature and/or documents describing formal consensus among recognized experts. If consensus documents are presented, they must describe consensus among multiple experts whose work is recognized and respected by others in the field. Local recognition of an individual as a respected or influential person at the community level is not considered a “recognized expert” for this purpose.

In presenting evidence in support of the proposed practice, applicants must show that the evidence presented is the best objective information available.

Justifying Selection of the Practice/Service for the Target Population

Regardless of the strength of the evidence-base for the practice, all applicants must show that the proposed practice is appropriate for the proposed target population. Ideally, this evidence will include research findings on effectiveness and acceptability specific to the proposed target population. However, if such evidence is not available, the applicant should provide a justification for using the proposed practice with the target population. This justification might involve, for example, a description of adaptations to the proposed practice based on other research involving the target population.

Justifying Adaptations/Modifications of the Proposed Practice

SAMHSA has found that a high degree of faithfulness or “fidelity” (see Glossary) to the original model for an evidence-based practice increases the likelihood that positive outcomes will be achieved when the model is used by others. Therefore, SAMHSA encourages fidelity to the original evidence-based practice to be implemented. However, SAMHSA recognizes that adaptations or modifications to the original model may be necessary for a variety of reasons:

• To allow implementers to use resources efficiently
• To adjust for specific needs of the client population
• To address unique characteristics of the local community where the practice will be implemented

All applicants must describe and justify any adaptations or modifications to the proposed practice that will be made.

2.2 Program Design

SAMHSA will fund BPPI grants in two phases. Phase I is a planning and consensus-building phase that supports grantees for up to 18 months. Phase II is a pilot, adaptation, implementation, and evaluation phase that supports grantees for up to 3 years. The program design requirements for Phase I and Phase II are described below. Applicants must, however, consult the NOFA for any program design requirements (e.g., required activities) specific to the funding opportunity.

Phase I: Planning and Consensus Building

The goals of Phase I are to achieve consensus among community stakeholders to adopt a best practice and to engage in strategic planning for its implementation. Phase I grants may include, but are not limited to, the following types of activities:

• Build and maintain a coalition of stakeholders to fund, oversee, use, and provide a sustainable best practice.

• Train and educate key stakeholders about the best practice.

• Consult experts about the practice.

• Consult leaders from other communities about their experiences in implementing the practice.

• Reimburse stakeholders for their transportation or child care costs.

• Engage professionals to help build consensus and plan strategy.

• Adapt the best practice to community needs without sacrificing its effectiveness.

• Identify and obtain the commitment of permanent sources to fund the best practice.

• Design the evaluation of the best practice.

• Evaluate the process of consensus building among stakeholders (required).

Phase II: Pilot test, Adaptation, Implementation, and Evaluation

• The goals of Phase II grants are to pilot test and evaluate the best practices before full implementation, modify strategic/financial plans, and prepare for full-scale implementation. Implementation does not include service delivery. The following are examples of activities that can be funded during Phase II:

• Pilot test the practice on a sample of service recipients and evaluate the pilot test.

• Modify the best practice based on consultation with stakeholders and practice experts, other community experiences, and pilot test results.

• Revise the manual or documentation that describes in detail how the best practice was modified.

• Maintain the coalition of stakeholders to oversee Phase II activities.

• Secure consultants to make changes required to implement and finance the best practice.

• Make organizational changes (e.g., hiring staff) necessary to implement the best practice.
• Provide necessary education, training, and technical assistance for staff.

Up to 25% of the Phase II grant award may be used to evaluate the pilot test of the best practice.

During the course of a Phase II award, SAMHSA will provide funding for direct services as part of the pilot test.

2.3 Performance Requirements

All grantees will be required to meet the following evaluation and performance requirements. Applicants are not required to receive a Phase I award before applying for a Phase II award. However, all Phase II applicants must meet the Phase I performance requirements (i.e., documentation that consensus has been achieved and that a strategic plan is in place) before applying for a Phase II award. Phase II applicants need not have been Phase I grantees.

Phase I : Planning and Consensus Building

• By the end of Phase I, grantees will be required to provide documentation that consensus has been achieved for adopting a best practice. That documentation must include:

•  A report that summarizes the evaluation of the consensus building process.

•  A description of how key stakeholders were included in the consensus building.

•  Letters of support or other demonstration of stakeholders’ commitment to adopt the practice.

•  A strategic plan for implementing the best practice that includes a financing plan, signed by the funding source(s)that will provide the resources necessary to address barriers and implement a sustainable best practice. [Note: if it is not possible for a grantee to complete a strategic plan, grantees will be required to provide an analysis of progress made and barriers to completing the strategic plan instead.]

Phase II : Pilot test, Adaptation, Implementation, and Evaluation

By the end of Phase II, grantees must provide the following information:

• Pilot test results.

• Results from process/outcome evaluation of full Phase II project.

• In cases where the implementation was judged a success, a manual describing the practice in detail for replication of the practice. The manual should explain how the project team determined the degree of success, referring to qualitative and quantitative data.

• In cases where the implementation was judged not to be successful, a report detailing the lessons learned, with recommendations for other programs interested in implementing the best practice. The report should explain how the project team determined the degree of success, referring to qualitative and quantitative data.

• Documentation that staff are trained in the practice and of a mechanism for training new staff.

• Process evaluation results that describe how the practice was operationalized, including changes in the organizational infrastructure, permanent funding sources, and staff consultation and training activities.

• Outcome evaluation results that describe:

• Demographic characteristics of the clients served
• Service utilization
• Practice outcomes
• Client satisfaction
• Fidelity of the modified practice to the best practice
• Plans for fully implementing the best practice after the end of the Phase II award
  

2.4 Performance Measurement

The Government Performance and Results Act of 1993 (P.L.103-62, or “GPRA”) requires all Federal agencies to set program performance targets and report annually on the degree to which the previous year’s targets were met.

Agencies are expected to evaluate their programs regularly and to use results of these evaluations to explain their successes and failures and justify requests for funding.

To meet the GPRA requirements, SAMHSA must collect performance data (i.e., “GPRA data”) from grantees. Grantees are required to report these GPRA data to SAMHSA on a timely basis.

Specifically, grantees will be required to provide data on a set of required measures, as specified in the NOFA. The data collection tools to be used for reporting the required data will be provided in the application kits distributed by SAMHSA’s clearinghouses and posted on SAMHSA’s website along with each NOFA. In your application, you must demonstrate your ability to collect and report on these measures, and you may be required to provide some baseline data.

The terms and conditions of the grant award also will specify the data to be submitted and the schedule for submission. Grantees will be required to adhere to these terms and conditions of award.

Applicants should be aware that SAMHSA is working to develop a set of required core performance measures for each of SAMHSA’s standard grants (i.e., Services Grants, Infrastructure Grants, Best Practices Planning and Implementation Grants, and Service-to-Science Grants). As this effort proceeds, some of the data collection and reporting requirements included in SAMHSA’s NOFAs may change. All grantees will be expected to comply with any changes in data collection requirements that occur during the grantee’s project period.

2.5 Evaluation

Grantees must evaluate their projects, and applicants are required to describe their evaluation plans in their applications. The evaluation should be designed to provide regular feedback to the project to improve implementation of the best practice and, ultimately, the outcomes that will result from implementation of the best practice.

Phase I grantees must conduct a process evaluation. Phase II grantees must conduct a process and outcome evaluation of the pilot test, as well as a process and outcome evaluation of the full Phase II project.

Process and outcome evaluations must measure change relating to project goals and objectives over time compared to baseline information. Both Phase I and Phase II grantees must include the require performance measures described in the NOFA in their evaluations. Control or comparison groups are not required. You must consider your evaluation plan when preparing the project budget.

Process components should address issues such as:

• How closely did implementation match the plan?
• What types of deviation from the plan occurred?
• What led to the deviations?
• What effect did the deviations have on the intervention and evaluation?
• For pilot test evaluations, who provided (program, staff) what services (modality, type, intensity, duration), to whom (individual characteristics), in what context (system, community), and at what cost (facilities, personnel, dollars)?

Outcome components should address issues such as:

• What was the effect of the project on the service delivery system and/or on participants in the project?
• What program/contextual factors were associated with outcomes?
• What individual factors were associated with outcomes?
• How durable were the effects?

No more than 20% of the total Phase I grant award and 25% of the total Phase II grant award may be used for evaluation and data collection.

2.6 Grantee Meetings

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