[Federal Register Volume 63, Number 38 (Thursday, February 26, 1998)]
[Notices]
[Pages 9851-9854]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-4965]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Fiscal Year (FY) 1998 Funding Opportunities

AGENCY: Substance Abuse and Mental Health Services Administration, HHS.

ACTION: Notice of funding availability.

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SUMMARY: The Substance Abuse and Mental Health Services Administration 
(SAMHSA) Center for Mental Health Services (CMHS), Center for Substance 
Abuse Prevention (CSAP) and Center for Substance Abuse Treatment (CSAT) 
announce the availability of FY 1998 funds for grants and cooperative 
agreements for the following activities. These activities are discussed 
in more detail under Section 4 of this notice. This notice is not a 
complete description of the activities; potential applicants must 
obtain a copy of the Guidance for Applicants (GFA) before preparing an 
application.

----------------------------------------------------------------------------------------------------------------
                                                                                 Estimated                      
                                                                  Application      funds     Estimated   Project
                            Activity                                deadline     available   number of   period 
                                                                                (millions)     awards    (years)
----------------------------------------------------------------------------------------------------------------
SAMHSA Conference Grants........................................     05/11/98         $1.25         25         1
HIV/AIDS Cost Study.............................................     05/11/98          6.0           8         5
----------------------------------------------------------------------------------------------------------------

    Note: SAMHSA also published notices of available funding 
opportunities in FY 1998 in the Federal Register (Vol. 63 , No. 3) 
on January 6, 1998 and (Vol. 63, No. 12) on January 20, 1998.

    The actual amount available for awards and their allocation may 
vary, depending on unanticipated program requirements and the volume 
and quality of applications. Awards are usually made for grant periods 
from one to three years in duration. FY 1998 funds for activities 
discussed in this announcement were appropriated by the Congress under 
Public Law No. 105-78. SAMHSA's policies and procedures for peer review 
and Advisory Council review of grant and cooperative agreement 
applications were published in the Federal Register (Vol. 58, No. 126) 
on July 2, 1993.
    The Public Health Service (PHS) is committed to achieving the 
health promotion and disease prevention objectives of Healthy People 
2000, a PHS-led national activity for setting priority areas. The 
SAMHSA Centers' substance abuse and mental health services activities 
address issues related to Healthy People 2000 objectives of Mental 
Health and Mental Disorders; Alcohol and Other Drugs; Clinical 
Preventive Services; HIV Infection; and Surveillance and Data Systems. 
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, DC 20402-9325 (Telephone: 202-512-1800).
    General Instructions Applicants must use application form PHS 5161-
1 (Rev. 5/96; OMB No. 0937-0189). The application kit contains the GFA 
(complete programmatic guidance and instructions for preparing and 
submitting applications), the PHS 5161-1 which includes Standard Form 
424 (Face Page), and other documentation and forms. Application kits 
may be obtained from the organization specified for each activity 
covered by this notice (see Section 4).
    When requesting an application kit, the applicant must specify the 
particular activity for which detailed information is desired. This is 
to ensure receipt of all necessary forms and information, including any 
specific program review and award criteria.
    The PHS 5161-1 application form and the full text of each of the 
activities (i.e., the GFA) described in Section 4 are available 
electronically via SAMHSA's World Wide Web Home Page (address: http://
www.samhsa.gov).
    Application Submission: Unless otherwise stated in the GFA, 
applications must be submitted to: SAMHSA Programs, Center for 
Scientific Review, National Institutes of Health, Suite 1040, 6701 
Rockledge Drive MSC-7710, Bethesda, Maryland 20892-7710.*

(*Applicants who wish to use express mail or courier service should 
change the zip code to 20817.)

    Application Deadlines: The deadlines for receipt of applications 
are listed in the table above. Please note that the deadlines may 
differ for the individual activities.
    Competing applications must be received by the indicated receipt 
dates to be accepted for review. An application received after the 
deadline may be acceptable if it carries a legible proof-of-mailing 
date assigned by the carrier and that date is not later than one week 
prior to the deadline date. Private metered postmarks are not 
acceptable as proof of timely mailing.
    Applications received after the deadline date and those sent to an

[[Page 9852]]

address other than the address specified above will be returned to the 
applicant without review.

FOR FURTHER INFORMATION CONTACT: Requests for activity-specific 
technical information should be directed to the program contact person 
identified for each activity covered by this notice (see Section 4).
    Requests for information concerning business management issues 
should be directed to the grants management contact person identified 
for each activity covered by this notice (see Section 4).

SUPPLEMENTARY INFORMATION: To facilitate the use of this Notice of 
Funding Availability, information has been organized as outlined in the 
Table of Contents below. For each activity, the following information 
is provided:
     Application Deadline.
     Purpose.
     Priorities.
     Eligible Applicants.
     Grants/Cooperative Agreements/Amounts.
     Catalog of Federal Domestic Assistance Number.
     Contacts.
     Application Kits.

Table of Contents

1. Program Background and Objectives
2. Special Concerns
3. Criteria for Review and Funding
    3.1  General Review Criteria
    3.2  Funding Criteria for Scored Applications
4. Special FY 1998 Substance Abuse and Mental Health Services 
Activities
    4.1  Grants
    4.1.1  Substance Abuse and Mental Health Services Administration 
Knowledge Dissemination Conference Grants (Short Title: SAMHSA 
Conferences Grants--PA No. PA 98-090)
    4.2  Cooperative Agreements
    4.2.1  Cooperative Agreements for an HIV/AIDS Treatment Adherence, 
Health Outcomes, and Cost Study (Short Title: HIV/AIDS Cost Study--GFA 
No. SM 98-007)
5. Public Health System Reporting Requirements
6. PHS Non-use of Tobacco Policy Statement
7. Executive Order 12372

1. Program Background and Objectives

    SAMHSA's mission within the Nation's health system is to improve 
the quality and availability of prevention, early intervention, 
treatment, and rehabilitation services for substance abuse and mental 
illnesses, including co-occurring disorders, in order to improve health 
and reduce illness, death, disability, and cost to society.
    Reinventing government, with its emphases on redefining the role of 
Federal agencies and on improving customer service, has provided SAMHSA 
with a welcome opportunity to examine carefully its programs and 
activities. As a result of that process, SAMHSA moved assertively to 
create a renewed and strategic emphasis on using its resources to 
generate knowledge about ways to improve the prevention and treatment 
of substance abuse and mental illness and to work with State and local 
governments as well as providers, families, and consumers to 
effectively use that knowledge in everyday practice.
    SAMHSA's FY 1998 Knowledge Development and Application (KD&A) 
agenda is the outcome of a process whereby providers, services 
researchers, consumers, National Advisory Council members and other 
interested persons participated in special meetings or responded to 
calls for suggestions and reactions. From this input, each SAMHSA 
Center developed a ``menu'' of suggested topics. The topics were 
discussed jointly and an agency agenda of critical topics was agreed 
to. The selection of topics depended heavily on policy importance and 
on the existence of adequate research and practitioner experience on 
which to base studies. While SAMHSA's FY 1998 KD&A programs will 
sometimes involve the evaluation of some delivery of services, they are 
services studies and application activities, not merely evaluation, 
since they are aimed at answering policy-relevant questions and putting 
that knowledge to use.
    SAMHSA differs from other agencies in focusing on needed 
information at the services delivery level, and in its question-focus. 
Dissemination and application are integral, major features of the 
programs. SAMHSA believes that it is important to get the information 
into the hands of the public, providers, and systems administrators as 
effectively as possible. Technical assistance, training, preparation of 
special materials will be used, in addition to normal communications 
means.
    SAMHSA also continues to fund legislatively-mandated services 
programs for which funds are appropriated.

2. Special Concerns

    SAMHSA's legislatively-mandated services programs do provide funds 
for mental health and/or substance abuse treatment and prevention 
services. However, SAMHSA's KD&A activities do not provide funds for 
mental health and/or substance abuse treatment and prevention services 
except sometimes for costs required by the particular activity's study 
design. Applicants are required to propose true knowledge application 
or knowledge development and application projects. Applications seeking 
funding for services projects under a KD&A activity will be considered 
nonresponsive.
    Applications that are incomplete or nonresponsive to the GFA will 
be returned to the applicant without further consideration.

3. Criteria for Review and Funding

    Consistent with the statutory mandate for SAMHSA to support 
activities that will improve the provision of treatment, prevention and 
related services, including the development of national mental health 
and substance abuse goals and model programs, competing applications 
requesting funding under the specific project activities in Section 4 
will be reviewed for technical merit in accordance with established 
PHS/SAMHSA peer review procedures.

3.1  General Review Criteria

    As published in the Federal Register on July 2, 1993 (Vol. 58, No. 
126), SAMHSA's ``Peer Review and Advisory Council Review of Grant and 
Cooperative Agreement Applications and Contract Proposals,'' peer 
review groups will take into account, among other factors as may be 
specified in the application guidance materials, the following general 
criteria:
     Potential significance of the proposed project;
     Appropriateness of the applicant's proposed objectives to 
the goals of the specific program;
     Adequacy and appropriateness of the proposed approach and 
activities;
     Adequacy of available resources, such as facilities and 
equipment;
     Qualifications and experience of the applicant 
organization, the project director, and other key personnel; and
     Reasonableness of the proposed budget.

3.2  Funding Criteria for Scored Applications

    Applications will be considered for funding on the basis of their 
overall technical merit as determined through the peer review group and 
the appropriate National Advisory Council (if applicable) review 
process.
    Other funding criteria will include:
     Availability of funds.
    Additional funding criteria specific to the programmatic activity 
may be

[[Page 9853]]

included in the application guidance materials.

4. Special FY 1998 Mental Health Activities

4.1  Grants

4.1.1  Substance Abuse and Mental Health Services Administration 
Knowledge Dissemination Conference Grants (SAMHSA Conference Grants--PA 
No. PA 98-090)
     Initial Application Deadline: May 11, 1998 (and depending 
on the availability of funds, annual receipts dates of September 10, 
January 10, and May 10 thereafter).
     Purpose: SAMHSA's Center for Mental Health Services 
(CMHS), Center for Substance Abuse Prevention (CSAP), and Center for 
Substance Abuse Treatment (CSAT) will provide support for up to 75 
percent (to a maximum of $50,000) of the total direct costs of domestic 
conferences for the purpose of knowledge synthesis and dissemination. 
The goal of SAMHSA's knowledge synthesis and dissemination activities 
is to improve the quality of the Nation's substance abuse and mental 
health treatment and prevention services and systems. Conferences 
supported will involve coordinating, exchanging and dissemination 
knowledge to improve the provision of effective treatment, recovery, 
early intervention, and prevention services for individuals who suffer 
from, or are at risk for, problems related to mental illness and/or 
substance abuse.
    Each of the SAMHSA Centers maintains responsibility for its 
respective areas of expertise--substance abuse prevention, substance 
abuse treatment, and treatment and prevention of mental illness. 
However, many of the topics that the Conference Grant Program solicits 
are of a cross-cutting nature, such as HIV/AIDS, workplace issues, 
managed care, co-occurring disorders and special populations. 
Accordingly, each of the Centers is interested in synthesizing and 
disseminating conference findings with the broadest application for 
these fields. To ensure against duplication of effort or funding, when 
the subject of an application is of interest to more than one Center, 
SAMHSA program staff will communicate to determine which Center will 
take lead authority for the grant.
    Each conference is expected to yield a product (report or 
publication) of specific relevance to the particular Center's mission 
at the national, State or community level. Since the purpose is 
knowledge synthesis and dissemination, applying for support under this 
program requires both disseminating treatment/prevention knowledge to 
conference participants and, once the conference is over, sharing that 
knowledge with wider audiences.
     Priorities: None.
     Eligible Applicants: Applications may be submitted by 
public and domestic private nonprofit and for-profit entities. An 
individual is not eligible to receive grant support for a conference.
     Grants/Amounts: It is estimated that approximately 
$250,000 from CMHS, $500,000 from CSAP, and $500,000 from CSAT will be 
available to support awards under this program in FY 1998. Actual 
funding levels for future years will depend upon annual appropriations.
     Catalog of Federal Domestic Assistance Number: 93.218.
     Program Contact: For programmatic or technical assistance 
contact:

Teddi Fine, M.A., Office of the Director, Center for Mental Health 
Services, Parklawn Building, Room 15-99, Tele: (301) 443-0553; Fax: 
(301) 443-1563; E-mail: [email protected]
Terri Stover, Division of Prevention Application and Education, Center 
for Substance Abuse Prevention, Rockwall II Building, Suite 800, Tele: 
(301) 443-0378; Fax: (301) 443-5592; E-mail: [email protected]
Roberta Messalle, Office of Scientific Evaluation, Analysis, and 
Synthesis Center for Substance Abuse Treatment, Rockwall II Building, 
Room 8A123, Tele: (301) 443-4080; Fax (301) 480-3144; E-mail: 
[email protected]

     For grants management assistance, contact: Peggy Jones, 
Grants Management Specialist, Division of Grants Management, OPS, 
Rockwall II Building, Suite 630, (301) 443-9666.
    The complete mailing address for the four individuals listed above 
is: Substance Abuse and Mental Health Services Administration, 5600 
Fishers Lane, Rockville, Maryland 20857.
     Application Kits: Application kits are available from: 
Center for Mental Health Services, Knowledge Exchange Network (KEN), 
P.O. Box 42490, Washington, D.C. 20015, Tele: (800) 789-2647
      or
     National Clearinghouse for Alcohol and Drug Information 
(NCADI), P.O. Box 2345, Rockville, MD 20847-2345, Tele: (800) 729-6686; 
TDD: (800) 487-4889.

4.2  Cooperative Agreements

    A major activity for a SAMHSA cooperative agreement program is 
discussed below. Substantive Federal programmatic involvement is 
required in cooperative agreement programs. Federal involvement will 
include planning, guidance, coordination, and participating in 
programmatic activities (e.g., participation in publication of findings 
and on steering committees). Periodic meetings, conferences and/or 
communications with the award recipients may be held to review mutually 
agreed-upon goals and objectives and to assess progress. Additional 
details on the degree of Federal programmatic involvement will be 
included in the application guidance materials.
4.2.1  Cooperative Agreements for an HIV/AIDS Treatment Adherence, 
Health Outcomes, and Cost Study (Short Title: HIV/AIDS Cost Study--GFA 
No. SM 98-007)
     Application Deadline: May 11, 1998.
     Purpose: This is a collaborative program among the 
following components of the Department of Health and Human Services 
(DHHS): the Center for Mental Health Services (CMHS) within the 
Substance Abuse and Mental Health Services Administration (SAMHSA), the 
HIV/AIDS Bureau (HAB) within the Health Resources and Services 
Administration (HRSA), the National Institute of Mental Health (NIMH) 
and the National Institute on Drug Abuse (NIDA) within the National 
Institutes of Health (NIH).
    The purpose of this program is to determine the effectiveness of 
treatment adherence models, health outcomes, and costs associated with 
the provision of integrated mental health, substance abuse, and HIV/
AIDS primary care services for individuals 14 years and older living 
with HIV/AIDS who have both a mental and a substance abuse disorder. It 
is also the intent of this cooperative agreement program to advance 
scientific knowledge about the effectiveness of mental health, 
substance abuse, and HIV/AIDS primary care treatment for individuals 
with HIV/AIDS as it is typically practiced by conducting analyses 
addressing a wide range of questions of scientific and policy 
relevance.
    Each study site applicant will be expected to implement an 
intervention model that integrates mental health, substance abuse, and 
HIV/AIDS primary care treatment, not outreach or engagement, for their 
target population of individuals living with HIV/AIDS who have both a 
mental and a substance abuse disorder. Study site applicants should 
propose studies to investigate well-conceptualized questions. It is

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expected that these studies will utilize the most rigorous methodology 
consistent with the purposes of these studies.
    Applications are being solicited for up to seven study sites and a 
Coordinating Center to provide programmatic and evaluation technical 
assistance to the study sites.
     Priorities: None.
     Eligible Applicants: The study sites and Coordinating 
Center applicants should be public or domestic private non-profit 
entities, including community-based organizations, units of State or 
local governments, tribes, universities or for-profit organizations. 
While not required in order to submit an application, it is expected 
that applicants will have expertise in large-scale multisite 
demonstration studies.

    Note: Separate applications are being solicited for study sites 
and a Coordinating Center to participate in this collaborative 
study. If an institution chooses to apply for multiple awards, there 
should be no overlap in research/evaluation and support personnel.

     Cooperative Agreement/Amounts: It is estimated that up to 
$6 million (total costs, i.e., direct and indirect costs) will be 
available to support up to seven study site awards and one Coordinating 
Center under this GFA in FY 1998. The amount of grant funds used by 
study sites for mental health and/or substance abuse services cannot 
exceed one third of the total budget (direct and indirect costs).
     Catalog of Federal Domestic Assistance: 93.230.
     Program Contact: For programmatic or technical assistance 
(not for application kits), contact: Elaine Dennis, Senior Health 
Policy Analyst, Office of the Associate Director for Medical Affairs, 
Center for Mental Health Services, Substance Abuse and Mental Health 
Services, Administration, Parklawn Building, Room 15-81, 5600 Fishers 
Lane, Rockville, MD 20857, (301) 443-7817.
     For grants management assistance, contact: Stephen Hudak, 
Grants Management Specialist, Division of Grants Management, OPS, 
Substance Abuse and Mental Health Services Administration, Parklawn 
Building, Room 15C-05, 5600 Fishers Lane, (301) 443-4456.
     Application Kits: Application kits are available from: 
Center for Mental Health Services, Knowledge Exchange Network (KEN), 
P.O. Box 42490, Washington, D.C. 20015, Voice: (800) 789-2647, TTY: 
(301) 443-9006, FAX: (301) 984-8796.
    The full text of the GFA is available electronically via the Center 
for Mental Health Services Knowledge Exchange Network (KEN) on 
www.mentalhealth.org, voice line 800-789-2647, or Electronic Bulletin 
Board 800-790-2647 (please reference GFA No. SM 98-007).

5. Public Health System Reporting Requirements

    The Public Health System Impact Statement (PHSIS) is intended to 
keep State and local health officials apprised of proposed health 
services grant and cooperative agreement applications submitted by 
community-based nongovernmental organizations within their 
jurisdictions.
    Community-based nongovernmental service providers who are not 
transmitting their applications through the State must submit a PHSIS 
to the head(s) of the appropriate State and local health agencies in 
the area(s) to be affected not later than the pertinent receipt date 
for applications. This PHSIS consists of the following information:
    a. A copy of the face page of the application (Standard form 424).
    b. A summary of the project (PHSIS), not to exceed one page, which 
provides:
    (1) A description of the population to be served.
    (2) A summary of the services to be provided.
    (3) A description of the coordination planned with the appropriate 
State or local health agencies.
    State and local governments and Indian Tribal Authority applicants 
are not subject to the Public Health System Reporting Requirements.
    Application guidance materials will specify if a particular FY 1998 
activity described above is/is not subject to the Public Health System 
Reporting Requirements.

6. PHS Non-Use of Tobacco Policy Statement

    The PHS strongly encourages all grant and contract recipients to 
provide a smoke-free workplace and promote the non-use of all tobacco 
products. In addition, Public Law 103-227, the Pro-Children Act of 
1994, prohibits smoking in certain facilities (or in some cases, any 
portion of a facility) in which regular or routine education, library, 
day care, health care, or early childhood development services are 
provided to children. This is consistent with the PHS mission to 
protect and advance the physical and mental health of the American 
people.

7. Executive Order 12372

    Applications submitted in response to all FY 1998 activities listed 
above are subject to the intergovernmental review requirements of 
Executive Order 12372, as implemented through DHHS regulations at 45 
CFR Part 100. E.O. 12372 sets up a system for State and local 
government review of 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 instructions on the State's review process. For proposed 
projects serving more than one State, the applicant is advised to 
contact the SPOC of each affected State. A current listing of SPOCs is 
included in the application guidance materials. The SPOC should send 
any State review process recommendations directly to: Office of 
Extramural Activities Review, Substance Abuse and Mental Health 
Services Administration, Parklawn Building, Room 17-89, 5600 Fishers 
Lane, Rockville, Maryland 20857.
    The due date for State review process recommendations is no later 
than 60 days after the specified deadline date for the receipt of 
applications. SAMHSA does not guarantee to accommodate or explain SPOC 
comments that are received after the 60-day cut-off.

    Dated: February 22, 1998.
Richard Kopanda,
Executive Officer, SAMHSA.
[FR Doc. 98-4965 Filed 2-25-98; 8:45 am]
BILLING CODE 4162-20-P