[Federal Register Volume 64, Number 44 (Monday, March 8, 1999)]
[Notices]
[Pages 11027-11031]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-5586]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Fiscal Year (FY) 1999 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 Substance Abuse Treatment (CSAT) and the Center for 
Mental Health Services (CMHS) announce the availability of FY 1999 
funds 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

[[Page 11028]]

Applicants (GFA) before preparing an application.

----------------------------------------------------------------------------------------------------------------
                                                        Estimated
                                                          funds      Estimated
                Activity                  Application   available      No. of             Project period
                                            deadline       (in         awards
                                                        millions)
----------------------------------------------------------------------------------------------------------------
CSAT Action Grant Program...............      5/10/99         $1.5           10  1 yr.
Community Treatment Program.............      5/10/99          5.3           15  Up to 3 yrs.
Basic Action Grant, Hispanic Priority...      5/10/99            3           20  1 yr.
----------------------------------------------------------------------------------------------------------------

    Note: SAMHSA also published notices of available funding 
opportunities for FY 1999 in subsequent issues of the Federal 
Register.
    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 1999 funds for activities 
discussed in this announcement were appropriated by the Congress under 
Public Law No. 105-277. 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/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 1999 Substance Abuse and Mental Health Services 
Activities
    4.1  Community Action Grants for Service Systems Change (Short 
Title: CSAT Action Grant, GFA No. TI 99-003)
    4.2  Comprehensive Community Treatment Program for the 
Development of New and Useful Knowledge (Short Title: Community 
Treatment Program, PA No. 99-050)
    4.3  Community Action Grants For Service Systems Change-Phase I 
(Short Title: Basic Action Grant, Hispanic Priority, GFA No. SM 99-
007)
    4.4  SAMHSA Technical Assistance Workshop
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

[[Page 11029]]

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 1999 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 1999 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 1999 SAMHSA Activities

4.1  Community Action Grants For Service Systems Change (Short Title: 
CSAT Action Grant Program, GFA No. TI 99-003)

     Application Deadline: May 10, 1999.
     Purpose: The Substance Abuse and Mental Health Services 
Administration's (SAMHSA) Center for Substance Abuse Treatment (CSAT) 
announces the availability of funds to communities for supporting the 
adoption of specific exemplary practices related to the delivery or 
organization of services or supports into their systems of care for 
adolescents and adults with alcohol and other drug use problems. This 
program is designed to stimulate activities by communities that will 
result in adoption of specific exemplary service delivery practices 
that yield the best results for these target populations.
    The CSAT Action Grant 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. The term exemplary practice 
connotes that the proposed practice has a reliable record of improving 
outcomes for those receiving the service. A proven outcome-based record 
of success will be a prerequisite to Federal support for adoption of a 
proposed exemplary practice. Grants will not support direct funding of 
service delivery.
    The Program is designed to encourage communities to identify and 
build consensus around exemplary service delivery practices that meet 
their own needs, and that meet criteria identified in the full 
announcement for defining what constitutes an exemplary practice. For 
purposes of this program, exemplary practices are limited to those that 
involve service delivery or the organization of services or supports. 
Proposed exemplary practices should be limited to practices which are 
consistent with the concept of systems of care as defined in the full 
announcement. Grant funds may be used for any activity that is part of 
the consensus building and decision-support process. Individual 
projects will be successful if a decision to adopt the proposed 
practice is made.
     Priorities: None.
     Eligible Applicants: Applications for grants will be 
accepted from public and private entities. Public entities include 
State and local government agencies, and federally designated Indian 
tribes and tribal organizations. Private entities include those 
organized as not-for-profits and those organized as for-profits. Such 
organizations include, but are not necessarily limited to, those 
responsible for service delivery policy, those representing consumers 
and families, those providing services to the target population, and 
those responsible for training and accrediting service providers.
     Grants/Amounts: An estimated $1.5 million is available 
under the CSAT

[[Page 11030]]

Action Grant Program. Award amounts will range from approximately 
$50,000 to not more than $150,000. These funds will support 
approximately 10 or more grant awards in FY 1999. CSAT projects will be 
funded for 1 year.
     Catalog of Domestic Federal Assistance: 93.230.
     Program Contact: For programmatic or technical assistance 
(not for application kits) contact: Clifton Mitchell or Jane Ruiz, 
Division of Practice and Systems Development, Center for Substance 
Abuse Treatment, SAMHSA, 5600 Fishers Lane, Rockville, MD 20857, (301) 
443-8802.
    For grants management assistance, contact: Andrea Brandon, Grants 
Management Specialist, Substance Abuse and Mental Health Services, 
Administration, Rockwall II, 6th Floor, 5600 Fishers Lane, Rockville, 
MD 20857, (301) 443-9667.
     Application kits are available from: National 
Clearinghouse for Alcohol and Drug Information, P.O. Box 2345, 
Rockville, Maryland 20847-2345, Telephone: 1-800-729-6686.

4.2  Comprehensive Community Treatment Program for the Development of 
New and Useful Knowledge (Short Title: Community Treatment Program, PA 
No. 99-050)

     Initial Application Deadline: May 10, 1999 (and depending 
on the availability of funds, annual receipt dates of September 10, 
January 10 and May 10 thereafter).
     Purpose: The Substance Abuse and Mental Health Services 
Administration (SAMHSA) Center for Substance Abuse Treatment (CSAT) 
announces the availability of grants to support the development or 
modification of treatment approaches for special populations and/or 
service settings and to support rigorous study of their effectiveness.
    The purpose of this program is to generate new knowledge about 
three aspects of substance abuse treatment: (1) special populations, 
(2) integrated substance abuse treatment, screening, and early 
intervention in non-traditional settings, and (3) innovative programs.
    This grant program is a vehicle by which treatment providers and 
other experts in the substance abuse treatment field can identify 
innovative clinical and service delivery approaches in need of 
development and study. Through this announcement, CSAT will support 
three types of grants: (1) full studies of treatment programs and 
services, (2) exploratory/pilot studies; and (3) enhancement/expansion 
grants. Applicants must clearly indicate which type of grant they are 
applying for in their application to SAMHSA. Lastly, CSAT seeks to 
promote partnerships and collaboration between community-based 
organizations, to foster broad participation among researchers, 
practitioners, consumers, and payers, and to support the development of 
an infrastructure to facilitate knowledge development.
     Priorities: None.
     Eligible Applicants: Applications for full studies of 
treatment programs and services and exploratory/pilot studies may be 
submitted by public and domestic private nonprofit and for-profit 
entities, such as units of State or local government, community-based 
organizations and State or private universities, colleges, and 
hospitals.
    Applications for enhancement/expansion grants may be submitted by 
currently active CSAT grantees (including those in no cost extension 
periods) who can demonstrate successful implementation of planned 
activities in their current project. These grants are restricted to 
currently active grantees because their studies are in place allowing 
them to immediately proceed to the next step of expanding the project's 
scope to improve the knowledge base. In addition, because their study 
structure, database, enrolled participants, relationships with 
participants and their families and collaborating organizations are 
already established, start-up time for the enhancement/expansion is 
minimal.
     Grants/Amounts: It is estimated that $5.3 million will be 
available to support approximately 15 awards under this announcement in 
FY 1999. The amount of an award is expected to range from $100,000 to 
$500,000 in total costs (direct + indirect). Funds will be divided 
evenly among the three types of grants. The number of applications 
funded in each group will depend on the quality of applications as 
determined by peer review. Funds may be used to conduct all aspects of 
data collection and evaluation. Limited funds are available to support 
substance abuse treatment intervention services and substance abuse 
related services necessary for successful conduct of the proposed 
study. Support may be requested for a period of up to 3 years. Annual 
awards will be made subject to continued availability of funds and 
progress achieved.
     Catalog of Domestic Federal Assistance: 93.230.
     Program Contact: For programmatic or technical assistance 
(not for application kits) contact: Thomas Edwards, Jr., Branch Chief, 
Organization of Services Branch/ Division of Practice and Systems 
Development, Center for Substance Abuse Treatment, Substance Abuse and 
Mental Health Services Administration, Rockwall II, Suite 740, 5600 
Fishers Lane, Rockville, MD 20857, (301) 443-8453.
    For grants management assistance, contact: Peggy Jones, Grants 
Management Officer, Division of Grants Management, OPS, Substance Abuse 
and Mental Health Services Administration, Rockwall II, 6th Floor, 5600 
Fishers Lane, Rockville, Maryland 20857, (301) 443-9666.
     Application kits are available from: National 
Clearinghouse for Alcohol and Drug Information, P.O. Box 2345, 
Rockville, Maryland 20847-2345, 1-800-729-6686.

4.3  Community Action Grants For Service Systems Change-Phase I (Short 
Title: Basic Action Grant, Hispanic Priority, GFA No. SM 99-007)

     Application Deadline: May 10, 1999.
     Purpose: The goal of the Action Grant Program is to 
promote the adoption of exemplary practices related to the delivery 
and/or organization of services or supports for children with serious 
emotional disturbances and adults with serious mental illness who may 
also have co-occurring disorders. (Basic Program)
    Additionally, the Action Grant Program establishes a priority 
initiative for Hispanic Communities to promote the adoption of 
exemplary practices for Hispanic adults and adolescents that need 
prevention services because they are at-risk for alcohol and illicit 
drug problems or treatment services because they are seriously 
chemically dependent and/or mentally ill. (Hispanic Priority 
initiative)
    It is understood that adoption of exemplary practices involves more 
than consensus building and decisions to act. Projects for both the 
Basic Program and the Hispanic Priority initiative will be successful 
if a grantee can develop consensus among key stakeholders on the 
adaptations of the chosen exemplary practice needed for that community 
and on a plan for implementing the adapted practice.
     Priorities: None.
     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 an exemplary practice specific to the

[[Page 11031]]

needs of Hispanic Americans and demonstrate the involvement of Hispanic 
community leadership.
     Grants/Amounts: It is estimated that approximately $1.5 
million will be available under the Basic Program to support 
approximately 10 awards in FY 1999. The average award is expected to 
range from $50,000 to $150,000 in total costs.
    In addition to the estimated $1.5 million available under the Basic 
Program noted above, an additional $1.5 million will be made available 
to approximately 10 awards under the Hispanic Priority initiative in FY 
1999. The average award under this initiative is expected to range from 
$50,000 to not more than $150,000 in total costs.
    CMHS Action Grant projects will be funded for one year.
     Catalog of Federal Domestic Assistance Number: 93.125.
     Program Contact: 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, 5600 Fishers 
Lane, Room 11C-22, Rockville, MD 20857, (301) 443-3653.
    For programmatic or technical information regarding Homeless 
Populations, contact: Larry W. Rickards, Ph.D., Homeless Program 
Branch, Division of Knowledge Development and Systems Change, Center 
for Mental Health Services, Substance Abuse and Mental Health Service 
Administration, 5600 Fishers Lane, Room 11C-05, Rockville, MD 20857, 
(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, 5600 Fishers Lane, Room 18-49, Rockville, MD 20857, 
(301) 443-1333.
    For programmatic or technical information regarding Substance Abuse 
Treatment, contact: Jane Ruiz, 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, 5600 Fishers Lane, Rockville, Maryland 
20857, (301) 443-8237.
    For programmatic or technical information regarding Substance Abuse 
Prevention, contact: Donna Simms d'Almeida, Division of State and 
Community Systems Development, Center for Substance Abuse Prevention, 
Substance Abuse and Mental Health Services Administration, Rockwall II 
Building, Suite 930, 5600 Fishers Lane, Rockville, Maryland 20857, 
(301) 443-1789.
    Questions regarding Grants Management issues may be directed to: 
Stephen J. Hudak, Division of Grants Management, OPS, Substance Abuse 
and Mental Health Services Administration, Room 15C-05, 5600 Fishers 
Lane, Rockville, MD 20857, (301) 443-4456.
     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.

4.4. SAMHSA Technical Assistance Workshop

    SAMHSA is sponsoring three technical assistance workshops for 
potential applicants. The workshops will be held at the following 
locations: March 11, 1999--Washington, DC; March 17, 1999--Chicago, IL; 
and March 19--Los Angeles, CA. For more information, please call Ms. 
Lisa Wilder, Workshop Coordinator, at 301-984-1471, extension 333.

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 1999 
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 1999 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 2, 1999.
Richard Kopanda,
Executive Officer, SAMHSA.
[FR Doc. 99-5586 Filed 3-5-99; 8:45 am]
BILLING CODE 4162-20-P