[Federal Register Volume 59, Number 63 (Friday, April 1, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-7800]


[[Page Unknown]]

[Federal Register: April 1, 1994]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Substance Abuse and Mental Health Services Administration
RIN 0905-ZA32

 

Community Support Program: Mental Health Systems Improvement 
Demonstration Grants for Consumer and Family Networks

AGENCY: Center for Mental Health Services, Substance Abuse and Mental 
Health Services Administration (SAMHSA), HHS.

ACTION: Notice of availability of funds and request for applications.

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SUMMARY: The Center for Mental Health Services (CMHS) announces the 
availability of demonstration grants to State mental health authorities 
to foster the development of consumer and family networks. The purpose 
is to enhance the involvement of consumers and family members in the 
policies, programs, and quality assurance activities related to State 
mental health plans and the mental health components of health care 
reform. These grants are offered through the Community Support Program 
(CSP) Section, Adult Serious Mental Illness Branch, Division of 
Demonstration Programs, CMHS.
    This notice consists of three parts:
    Part I covers information on the legislative authority and the 
applicable regulations and policies related to the Community Support 
Program: Mental Health Systems Improvement Demonstration Grants for 
Consumer and Family Networks.
    Part II describes the programmatic goals and project requirements 
and activities and discusses eligibility, availability of funds, period 
of support and the receipt date for applications.
    Part III describes special requirements of the program, the 
application process, the review and award criteria and lists contacts 
for additional information.

Part I--Legislative Authority and Other Applicable Regulations and 
Policies

--Grants awarded under this RFA are authorized under section 520A of 
the Public Health Service Act [42 U.S.C. 290bb-32].
--Federal regulations at Title 45 CFR parts 74 and 92, generic 
requirements concerning the administration of grants, are applicable to 
these awards.
--Grants must be administered in accordance with the PHS Grants Policy 
Statement (Rev. April 1, 1994).
--The Catalog of Federal Domestic Assistance (CFDA) number for this 
program is 93.125.
--Interim and final progress reports and financial status reports will 
be required and specified to awardees in accordance with PHS Grants 
Policy requirements.
--The Public Health Service (PHS) is committed to achieving the health 
promotion and disease prevention objectives of Healthy People 
2000,1 a PHS-led national activity for setting priority areas. 
This RFA, Mental Health Systems Improvement Demonstration Grants for 
Consumer and Family Networks, is related to priority 6, Mental Health 
Disorders. Specific subsections include: 6.4, ``to reduce the 
prevalence of mental disorders among adults living in the community to 
less than 10.7 percent;'' 6.6, ``to increase to at least 30 percent the 
proportion of people aged 18 and older with severe, persistent mental 
disorders who use community support programs;'' and 6.7, ``to increase 
to at least 45 percent the proportion of people with major depressive 
disorders who obtain treatment.''
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    \1\Potential applicants may obtain a copy of Healthy People 2000 
(Full Report: Stock No. 017-001-00474-0; or Summary Report: Stock 
No. 017-001-00473-1) through the Superintendent of Documents, 
Government Printing Office, Washington, D.C. 20402-9325 (Telephone: 
202-783-3238).
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Part II--Programmatic Goals and Project Requirements and Activities, 
Eligibility and Application Receipt Date

    Program Goals: The goals for this round of CSP demonstration grants 
are to implement and evaluate strategies to:

--Empower consumer and family networks and strengthen their ability to 
participate in State and local mental health service planning and 
health care reform policy activities related to improving community-
based services for the target population; and
--Foster the financial self-sufficiency of consumer and family 
organizations (transition from Federal CSP grant funding to other 
public and private resources) over the term of the Federal grant.

    The goals of this program address the HHS Secretary's themes of: 
fostering independence through empowering of the people served; 
preventing future problems; and improving services to customers through 
modern management approaches.
    Target Population: The target population for CSP grants includes 
individuals 18 years and older with severe mental illnesses (including, 
but not limited to, schizophrenia, schizoaffective disorders, mood 
disorders, and severe personality disorders) that substantially 
interfere with their ability to carry out such primary aspects of daily 
living as self-care, household management, interpersonal relationships, 
and work or school.

Project Requirements

--States applying must actively involve representatives from the major 
State consumer and family organizations concerned with system reform in 
conceptualizing the approach, developing the application, and 
implementing the project.
--The project must specify project goals and clear, measurable 
objectives that relate to the two program goals of this RFA.
--It is expected that States will propose activities to support both 
consumer and family networking efforts. A State proposing to use grant 
funds to support activities for only families or only consumers must 
submit adequate justification for the proposal.
--States applying must include an evaluation plan for monitoring 
project progress, refining strategies, and measuring attainment of 
project objectives.
    Project Activities: Proposed project activities to be implemented 
and evaluated must relate directly to the goals of this RFA. Suggested 
activities include, but are not limited to: (1) Supporting consumer and 
family networks; (2) providing training and educational opportunities 
for consumers and family members; (3) reaching out to members of 
racial/ethnic minority population groups to increase their 
participation; (4) using computer technology to build networks and link 
consumer and family member participants; (5) arranging for needed 
supports such as travel to key meetings; and (6) implementing 
procedures and policies to assure input from consumers and families 
into planning activities.
    Eligibility Requirements: CMHS is limiting potential applicants for 
projects under this announcement to State mental health authorities. 
Multiple organizations are generally involved in implementing these 
initiatives; thus, centralized State assistance is needed to assure 
appropriate staff and organizations will be involved and that 
sufficient resources will be allocated to the project. The State mental 
health authorities are uniquely qualified to undertake this 
coordination function, since they work directly with the major consumer 
and family groups and oversee a wide range of mental health service 
providers.
    Because it is anticipated that the activities supported through 
these grants will continue beyond the life of the Federal grant 
support, it is probable that the main source of continuation funding 
will come from State mental health authorities. Previous program 
experience has shown that when States are involved in implementing and 
monitoring the projects, they are more likely to provide continuation 
funding when the Federal funding period ends.
    Because of funding limitations, it has been the policy of CSP to 
support only one CSP State Mental Health Systems Improvement 
Demonstration Grant in each State or territory for each round of multi-
year grants. Therefore, only States and territories that do not have a 
current, active CSP Mental Health Systems Improvement grant, or those 
that have an active CSP grant with a project period that ends on or 
before August 31, 1994, excluding no-cost extensions, are eligible to 
apply for these grants. Each State and territory may submit only one 
application.
    Availability of Funds: An amount of $3 million will be available 
for approximately 20 awards under this RFA in FY 1994. Actual funding 
levels will depend upon appropriated funds. Pending availability of 
funds and program priorities, CMHS anticipates providing States with 
CSP Mental Health Systems Improvement Demonstration Grants ending in 
1995 the opportunity to apply for grants for consumer and family 
networks in 1995 under a similar RFA.
    Because it is expected that projects will work towards attaining 
self-sufficiency during the term of the project, this program will 
offer declining support. Applicants may request budgets of 
approximately $150,000 for the first year of the project. Federal 
support for the projects will decrease over the remaining project 
period as follows: the budget request for the second year should be no 
more than 75 percent of the first year's budget; the budget request for 
the third year of the project should be no more than 50 percent of the 
first year's budget; the budget request for the fourth and final year 
of the project should be no more than 25 percent of the first's year's 
budget.
    Period of Support: Support may be requested for a period of up to 
four (4) years. Annual awards will be made subject to continued 
availability of funds and evidence of progress achieved.
    Application Receipt and Review Schedule: The schedule for receipt 
and review of applications under this announcement is: 

------------------------------------------------------------------------
  Receipt date        IRG review       Council review      Start date   
------------------------------------------------------------------------
June 10, 1994....  July 1994........  September 1994..  September 1994. 
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    Consequences of Late Submission: Applications received after the 
above receipt date will not be accepted and will be returned to the 
applicant without review. The DRG system requires that applications 
must be received by the published application receipt date. However, an 
application received after the deadline may be acceptable if it carries 
a legible proof-of-mailing date assigned by the carrier and the proof-
of-mailing date is not later than one week prior to the deadline date. 
Private metered postmarks are not acceptable as proof of timely 
mailing. If the receipt date falls on a weekend, it will be extended to 
the following Monday; if the date falls on a national holiday, it will 
be extended to the following work day.

Part III--Special Requirements, Review/Award Criteria and Contacts for 
Additional Information

    Coordination with Other Federal/Non-Federal Programs: Applicants 
seeking support under this announcement are encouraged to coordinate 
with other programs. Program coordination and integration help to 
better serve the multiple needs of the client population, to maximize 
the impact of available resources, and to eliminate duplication of 
services. Applicants should identify the coordinating organizations by 
name and address and describe the process to be used for coordinating 
efforts. Letters of commitment specifying the kind and level of support 
from organizations (both Federal and non-Federal) which have agreed to 
work with the applicant should be appended to an application. A listing 
of Federal programs with which applicants may find coordination 
productive is included in the application kit.
    Intergovernmental Review (E.O. 12372): Applications submitted in 
response to this announcement are subject to the intergovernmental 
review requirements of Executive Order 12372, as implemented through 
HHS regulations at 45 CFR part 100. Executive Order 12372 sets up a 
system for State and local government review of and comment on 
applications for Federal financial assistance. Applicants (other than 
federally recognized Indian tribal governments) should contact the 
State's Single Point of Contact (SPOC) as early as possible to alert 
them to the prospective application(s) and to receive any necessary 
instruction on the State applicable procedures. A current SPOC listing 
is included in the application kit. The SPOC should send any State 
process recommendations to the following address: Barbara J. Silver, 
Ph.D., Acting Director, Office of Evaluation, Extramural Policy & 
Review, Center for Mental Health Services, 5600 Fishers Lane, room 18C-
07, Rockville, Maryland 20857, ATTN: SPOC.
    The due date for State process recommendations is no later than 60 
days after the deadline date for the receipt of applications. The CMHS 
does not guarantee to accommodate or explain SPOC comments that are 
received after the 60-day cut-off.
    Public Health System Reporting Requirements: This program is not 
subject to the Public Health System Reporting Requirements.
    Evaluation: The applicant must include in the application an 
evaluation design to document the results of the project in terms of 
achievement of the stated program goals (empowering and strengthening 
consumer and family networks and fostering their financial self-
sufficiency) and specific objectives of the project. The evaluation 
will be used for monitoring progress, refining strategies, and 
measuring success. The evaluation will also be used to document the 
experience of the project such that it will add to the understanding of 
how to develop and expand consumer and family networks and involve them 
in State and local mental health service planning and health care 
reform activities.
    Promoting Non-use of Tobacco: Studies have clearly established that 
the use of tobacco products increases mortality and morbidity, not only 
for the primary users of these products but for those in close 
proximity to the user. Statistics published by the National Cancer 
Institute indicate that cigarette smoking and chewing of tobacco are 
responsible for as many as 1,500 deaths per day in the United States. 
Recent studies conducted by the Environmental Protection Agency 
indicate that prolonged exposure to second-hand smoke significantly 
increases the probability of developing heart and lung disease. 
Therefore, the Public Health Service (PHS) strongly encourages all 
grant recipients to provide a smoke-free workplace and promote the non-
use of all tobacco products. This is consistent with the PHS mission to 
protect and advance the physical and mental health of the American 
people.
    Application Procedures: All applicants must use application form 
PHS 5161-1 (Rev. 7/92), which contains Standard Form 424 (face page). 
The following information should be typed in Item 10 on the face page 
of the application form: Consumer and Family Networks; No. SM 94-03. 
Grant application kits (including form PHS 5161-1 with Standard Form 
424, complete application procedures, and accompanying guidance 
materials for the narrative approved under OMB No. 0937-0189) may be 
obtained from: Ms. Carole Edison, Grants Management Officer, Center for 
Mental Health Services, 5600 Fishers Lane, room 15-81, Rockville, 
Maryland 20857, (301) 443-4456.
    Applicants must submit: (1) An original copy signed by the 
authorized official of the applicant organization, with the appropriate 
appendices; and (2) two additional, legible copies of the application 
and all appendices to the following address: Center for Mental Health 
Services Programs, Division of Research Grants, NIH, Westwood Building, 
room 240, 5333 Westbard Avenue, Bethesda, Maryland 20892*.

    *If an overnight carrier or express mail is used, the Zip Code 
is 20816.

    Review Process: Applications submitted in response to this RFA will 
be reviewed for technical merit in accordance with established PHS/
SAMHSA peer review procedures for grants.
    Review Criteria: The points noted in the parentheses for each 
criterion indicate the maximum number of points the reviewers may 
assign to that criterion. These points will be used to calculate a raw 
score for each application. The raw score will be converted to the 
official priority score.

Technical Merit

1. Significance of the Project (30 points)

     Potential significance of the proposed project.
     Appropriateness of the proposed project to the goals of 
the announcement.
     Degree of consumer and family participation in project 
development and proposed implementation.

2. Adequacy and Appropriateness of Project Plans (30 points)

     Rationale provided to show that the proposed approach is 
likely to work.
     Adequacy and feasibility of the overall plan of action for 
the entire project.
     Comprehensiveness and feasibility of the first year 
detailed project implementation plan.
     Adequacy and appropriateness in terms of the proposed 
staffing and resources.
     Evidence of commitment of the State to provide ongoing 
financial support for the project.

3. Adequacy and Appropriateness of Evaluation Plans (20 points)

     Appropriateness of the proposed evaluation design, 
including specification of goals and measurable objectives.
     Adequacy of the proposed plan to implement the evaluation.
     Degree of commitment of the State to assuring a quality 
evaluation of the proposed project.

4. Appropriateness of Staffing, Project Organization, and Resources (20 
points)

     Qualifications and experience of the project director and 
other key personnel.
     Adequacy of available resources (e.g., facilities, 
equipment).
     Capability and experience of the applicant organization 
with similar projects.
     Adequacy of support for the project from other relevant 
organizations.
     Appropriateness of proposed budget for each of the 
requested years. (The committee may recommend either increases or 
decreases in the budget based on their review of the application or on 
the adequacy of the budget justification.)
    Award Decision Criteria: Applications recommended for approval by 
the IRG and the appropriate advisory council will be considered for 
funding on the basis of overall technical merit as determined through 
the review process. Other award criteria will include:

--Availability of funds.
--Need for support.
--Rural distribution (15 percent of appropriated funds will be made 
available to projects in rural areas).
--Geographical distribution throughout the United States.

    Administrative Costs: Section 520A(d) of the Public Health Service 
Act specifies that a grant may not be made unless the applicant agrees 
that not more than 10 percent of the grant will be expended for 
administrative expenses. This is separate from indirect costs and 
generally includes expenses such as accounting and other grant 
administration costs.

Contacts for Additional Information

    Questions concerning program issues may be directed to: Ms. Peggy 
Clark, Ms. Risa Fox, or Mr. Buddy Ruiz, Project Officers, or Ms. 
Jacqueline Parrish, Acting CSP Section Chief: Community Support Program 
Section, Division of Demonstration Programs, Center for Mental Health 
Services, 5600 Fishers Lane, room 11C-22, Rockville, MD 20857, (301) 
443-3653.
    Questions regarding grants management issues may be directed to: 
Ms. Carole Edison, Grants Management Officer, Center for Mental Health 
Services, 5600 Fishers Lane, room 15-81, Rockville, Maryland 20857, 
(301) 443-4456.

    Dated: March 27, 1994.
Richard Kopanda,
Acting Executive Officer, SAMHSA.
[FR Doc. 94-7800 Filed 3-31-94; 8:45 am]
BILLING CODE 4162-20-P