[Federal Register Volume 63, Number 54 (Friday, March 20, 1998)]
[Notices]
[Pages 13677-13680]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-7280]



[[Page 13677]]

-----------------------------------------------------------------------

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.

-----------------------------------------------------------------------

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 funds                                       
              Activity                   Application         available       Estiamted number    Project period 
                                           deadline          (millions)         of awards           (years)     
----------------------------------------------------------------------------------------------------------------
Action Grants with Hispanic Priority           05/27/98               $3.5              25-30                  1
Women and Violence..................           05/27/98               $7.5                 13                2-5
----------------------------------------------------------------------------------------------------------------

    Note: SAMHSA also published notices of available funding 
opportunities in FY 1998 in the Federal Register on January 6, 1998, 
January 20, 1998, and on February 26, 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 
Pub. L. 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 
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 Community Action Grants for Service Systems Change (GFA 
No. SM 98-003)
    4.2 Cooperative Agreements
    4.2.1 Cooperative Agreements to Study Women with Alcohol, Drug 
Abuse, and Mental Health (ADM) Disorders Who Have Histories of 
Violence (Short Title: Women and Violence Study--GFA No. TI 98-004)
5. Public Health System Reporting Requirements
6. PHS Non-use of Tobacco Policy Statement
7. Executive Order 12372

[[Page 13678]]

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 included in the application guidance materials.

4. Special FY 1998 SAMHSA Activities

4.1 Grants

4.1.1 Community Action Grants For Service Systems Change (GFA No. SM 
98-003)
    Application Deadline: May 27, 1998.
    Purpose: The Center for Mental Health Services (CMHS) announces the 
continuation of its basic program--Community Action Grants for Service 
Change. CMHS is making FY 1998 funds available to communities to 
support the adoption of exemplary service delivery practices related to 
the delivery and/or organization of services or supports for children 
with serious emotional disturbances and adults with serious mental 
illness. The adult population may also have co-occurring disorders.
    In addition to the ``Basic Program'' sponsored by CMHS, SAMHSA's 
Center for Substance Abuse Prevention (CSAP) and Center for Substance 
Abuse Treatment (CSAT) have joined CMHS in making FY 1998 funds 
available for a priority initiative for Hispanic communities to support 
exemplary practices for Hispanic adults and adolescents with mental 
health and/or substance abuse problems. This priority initiative offers 
the same grant vehicle as the Basic Program to Hispanic communities to 
address mental health and/or substance abuse problems.
    This program is intended to stimulate the adoption of exemplary 
practices through convening partners, building consensus, aiding in 
eliminating barriers, decision-support and adaptation of service models 
to meet local needs. Grants will not support direct funding of services 
themselves. Projects will be successful if a grantee can develop 
consensus among key decision makers to adopt an exemplary practice.
    Priorities: Hispanic Initiative.
    Eligible Applicants: Applications may be submitted by units of 
State or local governments and by domestic private nonprofit and for-
profit organizations such as community-based organizations, 
universities, colleges, and hospitals. SAMHSA encourages applications 
from consumer and family organizations.
    Applications for the Hispanic Priority Initiative must target 
Hispanics, identify

[[Page 13679]]

an exemplary practice specific to the needs of Hispanic Americans and 
demonstrate the involvement of Hispanic community leadership.
    Applicants must demonstrate that they are in a position to engage 
all the key stakeholders in the proposed consensus building/decision 
making process.
    Grants/Amounts: It is estimated that approximately $2.75 million 
will be available under the Basic Program to support approximately 20 
awards in FY 1998. The average award is expected to range from $50,000 
to $150,000 in total costs.
    In addition to the estimated $2.75 million available under the 
Basic Program, an additional $750,000 will be made available to support 
5 to 10 awards under the Hispanic Priority Initiative in FY 1998. The 
average award under this initiative is expected to range from $50,000 
to not more than $150,000 in total costs.
    Catalog of Federal Domestic Assistance Number: 93.230.
    Program Contacts: For programmatic or technical information 
regarding Adult Serious Mentally Ill Populations, contact: Santo 
(Buddy) Ruiz, Community Support Programs Branch, Division of Knowledge 
Development and Systems Change, Center for Mental Health Services, 
Substance Abuse and Mental Health Service Administration, Parklawn 
Building, Room 11C-22, (301) 443-3653.
    For programmatic or technical information regarding Homeless 
Populations, contact: Michael Hutner, PhD., Homeless Program Branch, 
Division of Knowledge Development and Systems Change, Center for Mental 
Health Services, Substance Abuse and Mental Health Service 
Administration, Parklawn Building, Room 11C-05, (301) 443-3706.
    For programmatic or technical information regarding Children and 
Adolescents with Serious Emotional Disorders and their Families, 
contact: Michele Herman, Child, Adolescents and Family Services Branch, 
Division of Knowledge Development and Systems Change, Center for Mental 
Health Services, Substance Abuse and Mental Health Service 
Administration, Parklawn Building, Room 18-49, (301) 443-1333.
    For programmatic or technical information regarding Substance Abuse 
Treatment, contact: David C. Thompson, Division of Practice and Systems 
Development, Clinical Interventions Branch, Center for Substance Abuse 
Treatment, Substance Abuse and Mental Health Services Administration, 
Rockwall II Building, Suite 740, (301) 443-6523.
    For programmatic or technical information regarding Substance Abuse 
Prevention, contact: Addie Key, Division of State and Community Systems 
Development, Center for Substance Abuse Prevention, Substance Abuse and 
Mental Health Services Administration, Rockwall II Building, Suite 940, 
(301) 443-9438.
    For grants management assistance, contact: Stephen J. Hudak, 
Division of Grants Management, OPS, Substance Abuse and Mental Health 
Services Administration, Parklawn Building, Room 15C-05, (301) 443-
4456.
    The mailing address for the individuals listed above is: 5600 
Fishers Lane, Rockville, MD 20857.
    Application Kits: Application kits are available from: Center for 
Mental Health Services Knowledge Exchange Network (KEN), P.O. Box 
42490, Washington, DC 20015. Voice: (800) 789-2647; TTY: (301) 443-
9006; FAX: (301) 984-8796

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 to Study Women with Alcohol, Drug Abuse, 
and Mental Health (ADM) Disorders Who Have Histories of Violence (Short 
Title: Women and Violence Study--GFA No. TI 98-004)
    Application Deadline: May 27, 1998.
    Purpose: The Substance Abuse and Mental Health Services 
Administration (SAMHSA) announces the availability of cooperative 
agreements to support the first of a two-phase study on women, ADM 
disorders and violence: PHASE ONE--Developing an Integrated System of 
Care with Services Intervention Models, Implementing the Qualitative 
Phase One Evaluation, and Developing Evaluation Protocols for Phase 
Two; and PHASE TWO--Full Scale Implementation of Integrated strategies, 
Services Intervention Models and Outcome Evaluation. There is a 
possibility of a PHASE THREE--long-term evaluation, depending on Phase 
Two outcome and availability of funds. This Knowledge Development and 
Application (KDA) program is a result of a partnership among SAMHSA and 
its three centers--the Center for Substance Abuse Treatment (CSAT), the 
Center for Substance Abuse Prevention (CSAP) and the Center for Mental 
Health Services (CMHS).
    The goal of Phase One is the generation of new knowledge in 
response to two questions: (1) What constitutes an integrated system of 
care for women with co-occurring disorders who are victims of violence, 
and for their children; and (2) what are the most promising services 
integration models for this population and what is the rationale for 
their selection.
    SAMHSA requests applications for cooperative agreements to conduct 
Phase One of the study. This phase includes: (1) the development and 
implementation of an integrated system of care as a vehicle for 
delivering effective services intervention models (also to be developed 
in Phase One) for women with co-occurring substance abuse and mental 
health disorders who are victims of physical and/or sexual abuse, and 
for delivering services for their children who have been impacted as a 
result of these problems; (2) the development and implementation of 
Phase One's qualitative evaluation; and (3) the development of 
evaluation protocols for Phase Two of the study.
    Applications are being solicited for up to twelve study sites and a 
Coordinating Center to provide programmatic and evaluation assistance 
to the study sites.
    Priorities: None.
    Eligible Applicants: Applications may be submitted by units of 
State or local governments and by domestic private nonprofit and for-
profit organization such as community-based organizations, 
universities, colleges, and hospitals.
    Applicants for study sites must provide evidence of having at least 
two years demonstrated experience working in the field of women, ADM 
disorders and violence.
    Applicants for the Coordinating Center must provide evidence of 
having at least one year of demonstrated experience working in the 
field of women, ADM disorders and violence, at the treatment or 
research level.

    Note: Applicants may apply for both a study site and 
Coordinating Center award; however, a separate application for each 
must be submitted. If an organization chooses to apply for multiple 
awards, there should be no overlap in research/evaluation and 
support personnel.


[[Page 13680]]


    Cooperative Agreement/Amounts: It is estimated that approximately 
$7.5 million (total costs, i.e., direct and indirect costs) will be 
available to support up to twelve study site awards and one 
Coordinating Center under this GFA in FY 1998.
    Catalog of Domestic Federal Assistance Number: 93.230.
    Program Contact: For programmatic or technical assistance contact:

Linda White Young, Division of Practice and Systems Development, Center 
for Substance Abuse Treatment, Substance Abuse and Mental Health 
Services Administration, Rockwall II, Suite 740, (301) 443-8392.
Susan Salasin, Division of Knowledge Development and Systems Change, 
Center for Mental Health Services, Substance Abuse and Mental Health 
Services Administration, Parklawn Building, Room 11C-26, (301) 443-
3653.
Jeanette Bevitt-Mills, Division of Knowledge Development and 
Evaluation, enter for Substance Abuse Prevention, Substance Abuse and 
Mental Health Services Administration, Rockwall II, Suite 1075, (301) 
443-4564.
For grants management assistance, contact: Ms. Peggy Jones, Division of 
Grants Management, OPS, Substance Abuse and Mental Health Services 
Administration, Rockwall II, Suite 360, (301) 443-9666.
The mailing address for the individuals listed above is: 5600 Fishers 
Lane, Rockville, MD 20857.

    Application Kits: Application kits are available from: National 
Clearinghouse for Alcohol and Drug Information, PO Box 2345, Rockville, 
Maryland 20847-2345. 1-800-729-6686, 1-800-487-4889; via Internet: 
http://www.samhsa.gov.

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, Pub. L. 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: March 15, 1998.
Richard Kopanda,
Executive Officer, SAMHSA.
[FR Doc. 98-7280 Filed 3-19-98; 8:45 am]
BILLING CODE 4162-20-P