Cooperative Agreements for State Treatment Outcomes and Performance Pilot Studies Enhancement

To enable project States to collect information on SAPT Block Grant funded treatment services and monitor common substance abuse treatment effectiveness data measures across various State management information systems (MIS).

This program will support evaluation programs to design or enhance State
MISs or Outcome Management Systems which examine treatment effectiveness and costs through standardized performance and outcome measures while incorporating these common data measures on an inter-State (i.e., with the States acting mutually together) basis.
Examples of Funded Projects

Some examples of subject areas funded are: 1) Enhancement of an Outcomes Monitoring System (OMS) that is sustainable, affordable and that allows continual tracking and reporting on the effectiveness of the State's substance abuse treatment providers; (2) development of a standardized approach for systematically measuring the performance of substance abuse treatment providers and the treatment outcomes of clients as they a progress through the State treatment system; and (3) measuring patient status in the Addiction Severity Index's seven domains at both baseline and at a 12-month, post baseline follow-up.

Agency - Department of Health and Human Services

The Department of Health and Human Services is the Federal government's principal agency for protecting the health of all Americans and providing essential human services, especially to those who are least able to help themselves.

Website Address

Program Accomplishments

Zero awards for 2007.

Uses and Use Restrictions

Funds (including direct costs and allowable indirect costs) may be used only for expenses clearly related and necessary to carry out approved activities that will support evaluation programs to design or enhance State management information systems or outcomes monitoring systems which examine treatment effectiveness and costs through standardized performance and outcome measures while incorporating these common data measures on an inter-State basis.

Funds may not be used to supplant current funding for existing activities.

Funds may not be used to pay for services except for additional costs created by the research and may not be used for the purchase of a facility to house any portion of the proposed project.

Any funds proposed for the purpose of renovation expenses must be detailed and linked directly to programmatic activities.

Any lease arrangements in association with the proposed project utilizing these funds may not extend beyond the project period or cover non-programmatic activities.

Construction costs are not allowed.

Eligibility Requirements

Applicant Eligibility

Project State applicants are Single State Authorities, Technical Assistance Center applicants are domestic private nonprofit (and for-profit) organizations such as community-based organizations, universities, colleges, and hospitals.

Beneficiary Eligibility

Recipients of State governments.



Aplication and Award Process

Preapplication Coordination

This program is eligible for coverage under E.O.

12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.

Application Procedures

All applicants must use application form PHS 5161-1 (Rev. 7/2000). Application kits containing the necessary forms and instructions may be obtained by contacting: The National Clearinghouse for Alcohol and Drug Information, P.O. Box 2345, Rockville, MD 20857 at telephone: 1 (800) 729-6686. Applications will be objectively reviewed by initial review group(s) composed primarily of nonfederal experts.

Award Procedures

Cooperative agreements in support of State applications are recommended for approval by CSAT to the AOD Single State Agency. Cooperative agreements in support of technical assistance center applications are recommended for approval by the initial review groups and awarded by CSAT to domestic private nonprofit (and for- profit) organizations such as community-based organizations, universities, colleges, and hospitals.


Contact the Headquarters Office listed below for application deadline.


Public Health Service Act, Section 1935(b)(1)(C), as amended, 42 U.S.C 300-35.

Range of Approval/Disapproval Time

The range is from 120 days to 180 days from receipt date to award date.





Assistance Considerations

Formula and Matching Requirements

This program does not require a formula. Matching is not required.

Length and Time Phasing of Assistance

Applications will be accepted for a 3-year period with 12-month budget periods. Annual awards will be made subject to continued availability of funds and progress achieved.

Post Assistance Requirements


Interim and final progress reports and financial status reports will be required as specified in the PHS Grants Policy Statement requirements.

To permit compliance with the Government Performance and Results Act, grantees will be required to supply necessary data about certain grant processes and/or outcomes in their regularly scheduled program progress reports.

Instruction on the data to be supplied will be communicated to grantees by the funding Center shortly after the award is made.


In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 24, 1997), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. In addition, grants and cooperative agreements are subject to inspection and audits by DHHS and other Federal government officials. In addition, 45 CFR 74.26 requires that for-profit recipients and subrecipients have an audit performed in accordance with Government Auditing Standards or Circular No. A-133.


There is a 3-year record retention requirement. Records shall be retained beyond the 3-year period if the final audit has not been done or findings resolved.

Financial Information

Account Identification



(Grants) FY 07 $0; FY 08 est not available; and FY 09 est not reported.

Range and Average of Financial Assistance

$300,000 to $500,000; $459,839.

Regulations, Guidelines, and Literature

45 CFR 96, 74 an 92 and the PHS Grants Policy Statement. Guidelines and instructions are included in the application kits available by request from: The National Clearinghouse for Alcohol an Drug Information, P.O. Box 2345, Rockville, MD 20857. Telephone: (301) 468-2600 or 1 (800) 729-6686.

Information Contacts

Regional or Local Office

Not applicable.

Headquarters Office

Program contact: Dr. Mickey Smith, Division for State and Community Assistance, Center for Substance Abuse Treatment, 1 Choke Cherry Road, Telephone: (240) 276-2406. Grants Management contact: Kimberly Pendleton, Division of Grants Management, Office of Program Support, Substance Abuse and Mental Health Services Administration, 1 Choke Cherry Road, Room 7-1091 Telephone: (240) 276-1421.

Criteria for Selecting Proposals

Project applications will be reviewed, rated and ranked. Criteria for technical merit review of individual projects will include: understanding the proposed project; merit and appropriateness of project plan; appropriateness of project design and analysis of plan; planning and management; reasonableness and appropriateness of budget; and program evaluation. In addition, the award criteria will include availability of Federal funds and geographic distribution throughout the United States.

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