[Federal Register Volume 63, Number 77 (Wednesday, April 22, 1998)]
[Notices]
[Pages 19928-19932]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-10654]


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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 Treatment (CSAT) and Center for Substance Abuse 
Prevention (CSAP) announce the availability of FY 1998 funds for 
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.

[[Page 19929]]



----------------------------------------------------------------------------------------------------------------
                                                                                 Estimated                      
              Activity               Application   Estimated funds available      No. of       Project  period  
                                       deadline                                   awards                        
----------------------------------------------------------------------------------------------------------------
Aging, MH/SA and Primary Care......     06/19/98  $3.5-4M                             11     1-4 yrs.           
Project: Youth Connect.............     06/19/98  $6.75M                           11-13     3 yrs.             
----------------------------------------------------------------------------------------------------------------

    Note: SAMHSA also published notices of available funding 
opportunities for FY 1998 in the Federal Register on January 6, 
1998, January 20, 1998, February 26, 1998, March 20, 1998, April 8, 
1998, April 16, 1998, and on April 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 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  Cooperative Agreements
    4.1.1  Cooperative Agreements to Document and Evaluate Mental 
Health/Substance Abuse Services for Older Adults through Primary 
Health Care
    4.1.2  Cooperative Agreements for Establishing a Mentoring/
Advocacy Program for High Risk Youth and their Families
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

[[Page 19930]]

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  Cooperative Agreements

    Major activities for SAMHSA cooperative agreement programs are 
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.

4.1.1  Cooperative Agreements to Document and Evaluate Mental Health/
Substance Abuse Services for Older Adults Through Primary Health Care 
(Short Title: Aging, MH/SA and Primary Care, SM 98-009)

     Application Deadline: June 19, 1998.
     Purpose: The Substance Abuse and Mental Health Services 
Administration (SAMHSA), with the participation of the Health Resources 
and Services Administration (HRSA), announces the availability of 
cooperative agreements to support a multi-site evaluation of 
alternative models of delivering and financing mental health and/or 
substance abuse (MH/SA) services for older adults through primary 
health care. This Program seeks to identify differences in outcomes 
between models using a referral approach to providing specialty MH/SA 
services and an integrated approach to providing such services within 
the primary care setting itself. SAMHSA will provide limited 
supplemental funds for the purpose of enhancing services to support 
comparison groups for the study. HRSA's Bureau of Primary Health Care 
(BPHC) also supports this Program by making available funds for service 
enhancements for their Consolidated Health Centers (CHCs) which are 
selected to become Study Sites.
    This announcement solicits applications for two types of 
cooperative agreements: Study Sites and a Coordinating Center. Study 
Site applicants must document their relationship to a primary health 
care entity which has provided older adults' MH/SA services (by either 
the referral approach or the integrated approach, or by both) for a 
minimum of one (1) year prior to the date of application.
    The Program will have two phases: Phase I awards (Year 01) to Study 
Sites will involve the identification and documentation, through the 
development of manual, of service models using a referral or an 
integrated approach to providing MH/SA services through primary health 
care. This documentation will include the results of a process 
evaluation. Phase II will be an outcome evaluation comparing service 
utilization and service system outcomes, clinical outcomes, and costs 
among the most promising models under the referral and integrated 
approaches. Phase II awards (Years 02-04) will be selected from among 
the Phase I Study Sites by peer review.
    Because older adults seek and receive MH/SA services more often 
from their primary care providers than from specialty MH/SA providers, 
SAMHSA

[[Page 19931]]

seeks answers to the following questions: (1) What are the most 
effective models for delivering MH/SA services for older adults within 
the framework of primary health care? (2) How do the location, type of 
provider, and type of health care financing, affect the level of older 
adults' actual utilization of MH/SA services and the outcomes of their 
treatment?
    The immediate objectives of this Program are: (1) To identify, 
document and compare service models and financing mechanisms for 
providing older adults with MH/SA services through primary health care. 
(2) To identify the best screening/assessment and outcome instruments 
and methods which can be used in primary care settings with older 
adults with MH/SA problems. (2) To identify the prevention, early 
identification, early intervention, and treatment components in these 
models and to recognize the impact of these components on outcomes for 
the referral and integrated approaches. (3) To determine if the 
identification of staff training needs and training actually provided 
has an impact on system and provider proficiencies and on client 
outcomes. (4) To measure the relative effectiveness of these service 
models and financing models on (a) older adults' utilization of MH/SA 
services, (b) client (functional and psychiatric) outcomes, and (c) 
system outcomes. (5) To disseminate useful lessons learned quickly and 
continuously to the field.
     Priorities: None.
     Eligible Applicants: Applications may be submitted by 
public organizations, such as units of State or local government, and 
by domestic private nonprofit and for-profit organizations, such as 
group practice settings, Federally Qualified Health Centers (FQHCs), 
community health centers, other community-based organizations, 
universities, colleges, hospitals, family and/or consumer operated 
organizations, and various types of managed health care organizations.
     Cooperative Agreements/Amounts: For FY 1998, it is 
estimated that approximately $3.5 to 4 million will be available to 
support up to ten (10) Study Site awards and one (1) Coordinating 
Center under this GFA. For Phase I in FY 1998, the average award to 
support each Study Site is expected to range from $250,000 to $350,000 
in total costs (direct+indirect) per year, including service 
enhancements. The award to support the Coordinating Center is expected 
to be in the range of $800,000 to $900,000 in total costs 
(direct+indirect) per year. For Phase II in FY 1999-2001, it is 
estimated that approximately the same total amount, $3.5 to 4 million 
per year, will be available. Actual funding levels will depend upon the 
availability of appropriated funds.
     Catalog of Federal Domestic Assistance Number: 93.230.
     For programmatic or technical information regarding this 
program (not for application kits), contact: Paul Wohlford, Ph.D., 
Division of State and Community System Development, Center for Mental 
Health Services, SAMHSA, 5600 Fishers Lane, Room 15C-18, Rockville, MD 
20857, Tel. 301-443-5850; Fax 301-594-0091, E-mail: 
[email protected].
    HRSA-supported Consolidated Health Centers should contact: M. 
Carolyn Aoyama, C.N.M., M.P.H., Deputy Chief, Clinical Branch, Division 
of Community and Migrant Health, Bureau of Primary Health Care, HRSA, 
4350 East West Highway, 7th Floor, Bethesda, MD 20814, Tel. 301-594-
4294; Fax 301-594-4997, E-mail: [email protected].
     For grants management assistance, contact: Stephen J. 
Hudak, Division of Grants Management, OPS, SAMHSA, 5600 Fishers Lane, 
Room 15C-05, Rockville, Maryland 20857, (301) 443-4456, E-mail: 
[email protected].
     For application kits, contact: Knowledge Exchange Network 
(KEN), P.O. Box 42490, Washington, DC 20015, Voice: 800-789-2647; TTY 
301-443-9006; Fax 301-984-8796.

4.1.2  Cooperative Agreements for Establishing a Mentoring/Advocacy 
Program for High Risk Youth and Their Families (Short Title: Project: 
Youth Connect, SP 98-005)

     Application Deadline: June 19, 1998.
     Purpose: The Substance Abuse and Mental Health Services 
Administration (SAMHSA) Center for Substance Abuse Prevention (CSAP) 
announces the availability of funds to support studies to determine the 
effectiveness of mentoring/advocacy models that focus on youth 9-15 
years of age and their families. The primary purpose of the program is 
to prevent or reduce substance abuse or delay its onset by improving 
school bonding and academic performance; improving life management 
skills and improving family bonding and family functioning. The 
announcement solicits grant applications for 10-12 Project: Youth 
Connect Study Sites and a Coordinating Center. This study includes 
requirements for a rigorous evaluation. Community based organizations 
and schools wishing to apply under this announcement, are encouraged to 
consult with organizations or universities in their communities, who 
can provide evaluation expertise. The Coordinating Center's primary 
responsibility will be for supporting effective evaluations and 
conducting secondary analyses of data across the study sites.
    Through this program, SAMHSA/CSAP anticipates gaining additional 
knowledge about the relative effectiveness of providing this mentor/
advocate service to the youth (Model I) or the youth and his/her family 
(Model II). The study should address the following questions: (1) Is 
the mentoring/advocacy model effective in preventing, delaying and/or 
reducing youth substance abuse? (2) If the mentoring/advocacy model is 
effective, are better outcomes achieved working with youth only, or 
with youth and families? (3) Which intervention, or combination of 
interventions, produce outcomes that meet the program objectives?
     Priorities: None.
     Eligible Applicants: Applications for the Study Sites and 
the Coordinating Center may be submitted by units of State or local 
government and by domestic private nonprofit and for-profit 
organizations such as community-based organizations, universities, 
colleges, and hospitals. Applicants cannot apply for both a Study Site 
and a Coordinating Center cooperative agreement. Applicants must choose 
to apply for one or the other to avoid any conflict of interest issues.
     Cooperative Agreements/Amounts: It is estimated that 
approximately $6 million will be available to support approximately 10-
12 Study Sites and $750,000 (including direct and indirect costs) will 
be available to support the Coordinating Center in FY 1998. Up to 20% 
of funds available for Study Sites are being set aside for applications 
from grantees previously funded under the Community Schools Program 
administered by the Administration for Children and Families that are 
in the top half of scored applications, as Congress has directed SAMHSA 
to give priority consideration to these applicants. No Study Site award 
can exceed $450,000, including indirect cost. Funding for the 
subsequent years may be at approximately the same levels.
     Catalog of Federal Domestic Assistance Number: 93.230.
     For programmatic or technical information regarding this 
grant, contact (not for application kits): Rose C. Kittrell, M.S.W., 
Division of Knowledge Development and Evaluation, Center for

[[Page 19932]]

Substance Abuse Prevention, SAMHSA, Rockwall II, Room 1075, 5600 
Fishers Lane, Rockville, MD 20857, (301) 443-9104.
     For grants management assistance, contact: Peggy Jones, 
Division of Grants Management, OPS, SAMHSA, Rockwall II, Room 630, 5600 
Fishers Lane, Rockville, Maryland 20857, (301) 443-3958.
     For application kits, contact: National Clearinghouse for 
Alcohol and Drug Information, P.O. Box 2345, Rockville, MD 20847-2345, 
(800) 729-6686; (800) 487-4859 TDD.

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: April 17, 1998.
Richard Kopanda,
Executive Officer, SAMHSA.
[FR Doc. 98-10654 Filed 4-22-98; 8:45 am]
BILLING CODE 4162-20-P