[Federal Register Volume 69, Number 65 (Monday, April 5, 2004)]
[Notices]
[Pages 17700-17703]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-7611]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Funding Opportunity Title: State Mental Health Data 
Infrastructure Grants for Quality Improvement (Short Title: State 
Mental Health DIG)

    Announcement Type: Initial.
    Funding Opportunity Number: SM 04-005.
    Catalog of Federal Domestic Assistance (CFDA) Number: 93.243.
    Due Date for Applications: June 16, 2004.

    Note: letters from State Single Point of Contact (SPOC) in 
response to E.O. 12372 are due August 15, 2004.

SUMMARY: The Substance Abuse and Mental Health Services Administration 
(SAMHSA), Center for Mental Health Services (CMHS), announces the 
availability of FY 2004 funds for the State Mental Health Data 
Infrastructure Grants for Quality Improvement program. A synopsis of 
this funding opportunity, as well as many other Federal Government 
funding opportunities, is also available at the Internet site: http://www.grants.gov.
    For complete instructions, potential applicants must obtain a copy 
of SAMHSA's standard Infrastructure Grants Program Announcement (INF-04 
PA [MOD]), and the PHS 5161-1 (Rev. 7/00) application form before 
preparing and submitting an application. The INF-04 PA (MOD) describes 
the general program design and provides instructions for applying for 
all SAMHSA Infrastructure Grants, including the State Mental Health 
Data Infrastructure Grants for Quality Improvement. Additional 
instructions and specific requirements to the State Mental Health Data 
Infrastructure Grants for Quality Improvement program are described 
below.

I. Funding Opportunity Description

    Authority: Sections 1971 of the Public Health Service Act (42 
U.S.C.300y) and 520A of the Public Health Service Act, as amended 
and subject to the availability of funds.
    The State Mental Health DIG program is one of SAMHSA's 
Infrastructure Grants programs. SAMHSA's Infrastructure Grants provide 
funds to increase the capacity of mental health and/or substance abuse 
systems to support programs and services. SAMHSA's State Mental Health 
DIG program is intended to fund State Mental Health authorities to 
develop or enhance their data infrastructure to improve management of 
mental health service delivery. The Data Infrastructure Grants are also 
a link in CMHS's ongoing efforts to implement the President's New 
Freedom Commission in building community systems of care.
    The overall goal of the State Mental Health DIG program is to 
improve the State and local mental health data infrastructure, with a 
special focus on implementing new Community Mental Health Services 
Block Grant (MHBG) measures. The program also is a key element of a 
broader plan to increase State flexibility and improve accountability, 
generally referred to as Performance Partnership Block Grants (PPGs). 
Specific program goals include: adoption of common data and information 
technology standards at the local level and improvement in program 
management/decision support, planning, and service quality improvement 
through better information at both State and local levels. Allowable 
activities for these grants are limited to activities that will support 
State and local data infrastructure development. Funds may not be used 
to pay for computer hardware. Software expenditures will be considered 
on a case-by-case basis.
    Background: Since its inception, CMHS has engaged in the 
development of statistical data standards and related data 
infrastructure to assist State mental health agencies, local public 
providers, and private sector entities in better management and program 
planning, as well as service quality improvement. Without adequate data 
systems to record information in a comparable way, there can be no 
reporting of useful information. Hence, evidence-based management, 
planning with quantitative information, and good measures of program 
effectiveness, are only possible if comparable data standards are used 
to record data. There is great need for sound State and local data 
infrastructure

[[Page 17701]]

so that State mental health agencies can report performance measures 
that lead to service quality improvement, better system management, and 
quantitative planning. As an initial grant effort, the CMHS Mental 
Health Data Infrastructure Grant, tested basic and developmental 
performance measures to be implemented in the MHBG. Forty-nine States, 
the District of Columbia, and 7 Territories participated in this 3-year 
grant program. Selected performance measures from this grant initiative 
will be incorporated into the PPGs in the future.
    Presently, however, much remains to be done. Although the previous 
CMHS grant program tested the proposed MHBG measures, it did not build 
the local data infrastructure necessary to achieve comparable, 
Statewide reporting based on common data standards. Similarly, it did 
not implement key data standards and information technology necessary 
for quantitative planning and service quality improvement; being 
developed through the SAMHSA Decision Support 2000+ Initiative. 
Finally, it did not address the implementation of Health Insurance 
Portability and Accountability Act (HIPAA) measures required for key 
health insurance and payment transactions. The State Mental Health DIG 
will address these specific needs.

II. Award Information

    Estimated Funding Available/Number of Awards: It is expected that 
up to $8.25 million will be available in FY 2004. SAMHSA expects to 
fund 51 awards, of up to $150,000 per year in total costs (direct and 
indirect) per year for 3 years for mental health authorities in the 50 
States and the District of Columbia, and 8 awards, of up to $75,000 per 
year in total costs (direct and indirect), per year for 3 years for 
mental health authorities in the U.S. Territories. Only Category 1-
Small Infrastructure Grant awards, as defined in the INF-04 PA (MOD), 
will be made. Proposed budgets cannot exceed the allowable amount in 
any year of the proposed project. The actual amount available for the 
awards may vary, depending on unanticipated program requirements and 
the number and quality of the applications received. Annual 
continuations will depend on the availability of funds, grantee 
progress in meeting program goals and objectives, and timely submission 
of required data and reports.
    2. Funding Instrument: Grant.

III. Eligibility Information

    1. Eligible Applicants are limited to State Mental Health 
authorities in the 50 States, the District of Columbia, and the U.S. 
Territories. A central goal of the State Mental Health DIG grants is to 
address State mental health planning efforts, particularly in 
addressing data collection for the Community Mental Health Services 
Block Grants (CMHSBG) as they transition to PPGs. Only the State Mental 
Health authorities are eligible for the CMHSBG. Additional information 
regarding program requirements and applications formatting requirements 
is provided in the INF-04 PA (MOD) in Section III-3. These eligibility 
criteria supersede the criteria specified in Section III-1 of the INF-
04 PA (MOD).
    2. Cost Sharing or Matching is required. The statutory 
authorization for this program, Section 1971 (c)(1) of the Public 
Health Service Act (42 U.S.C.300y(c) (1)), states that, ``(1) With 
respect to the costs of the program to be carried out under subsection 
(a) of this section by a State, the Secretary may make an award under 
such subsection only if the applicant agrees to make available 
(directly or through donations from public or private entities) non-
Federal contributions toward such costs in an amount that is not less 
than 50 percent of such costs. (2) Non-Federal contributions under 
paragraph (1) may be in cash or in kind, fairly evaluated, including 
plant, equipment, or services. Amounts provided by the Federal 
Government, or services assisted or subsidized to any significant 
extent by the Federal Government, may not be included in determining 
the amount of such contributions.''
    3. Other: Applicants must also meet certain application formatting 
and submission requirements or the application will be screened out and 
will not be reviewed. These requirements are described in Section IV-2 
below as well as in the INF-04 PA (MOD).

IV. Application and Submission Information

    1. Address to Request Application Package: Complete application 
kits may be obtained from the National Mental Health Information Center 
at 1-800-789-2647. When requesting an application kit for this program, 
the applicant must specify the funding opportunity (State Mental Health 
DIG) and the funding opportunity number (SM 04-005). All information 
necessary to apply, including where to submit applications and 
application deadline instructions, are included in the application kit. 
The PHS 5161-1 application form is also available electronically via 
SAMHSA's World Wide Web Home page: http://www.samhsa.gov (Click on 
`Grant Opportunities') and the INF-04 PA (MOD) is available 
electronically at http://www.samhsa.gov/grants/2004/standard/Infrastructure/index.asp.
    When submitting an application, be sure to type ``SM 04-005/State 
Mental Health DIG'' in Item Number 10 on the face page of the 
application form. Also, SAMHSA applicants are required to provide a 
DUNS number on the face page of the application. To obtain a DUNS 
Number, access the Dun and Bradstreet Web site at http://www.dunandbradstreet.com or call 1-866-705-5711.
    2. Content and Form of Application Submission: Information 
including required documents, required application components, and 
application formatting requirements is available in the INF-04 PA (MOD) 
in Section IV-2.
Checklist for Application Formatting Requirements and Screenout 
Criteria for SAMHSA Grant Applications
    SAMHSA's goal is to review all applications submitted for grant 
funding. However, this goal must be balanced against SAMHSA's 
obligation to ensure equitable treatment of applications. For this 
reason, SAMHSA has established certain formatting requirements for its 
applications. If you do not adhere to these requirements, your 
application will be screened out and returned to you without review.

[ballot] Use the PHS 5161-1 application.
[ballot] Applications must be received by the application deadline. 
Applications received after this date must have a proof of mailing date 
from the carrier dated at least 1 week prior to the due date. Private 
metered postmarks are not acceptable as proof of timely mailing. 
Applications not received by the application deadline or not postmarked 
at least 1 week prior to the application deadline will not be reviewed.
[ballot] Information provided must be sufficient for review.
[ballot] Text must be legible.
     Type size in the Project Narrative cannot exceed 
an average of 15 characters per inch, as measured on the physical page. 
(Type size in charts, tables, graphs, and footnotes will not be 
considered in determining compliance.)
     Text in the Project Narrative cannot exceed 6 
lines per vertical inch.

[[Page 17702]]

[ballot] Paper must be white paper and 8.5 inches by 11.0 inches in 
size.
[ballot] To ensure equity among applications, the amount of space 
allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least one inch each, 
and adhering to the page limit for the Project Narrative stated in the 
specific funding announcement.
     Should an application not conform to these 
margin or page limits, SAMHSA will use the following method to 
determine compliance: The total area of the Project Narrative 
(excluding margins, but including charts, tables, graphs and footnotes) 
cannot exceed 58.5 square inches multiplied by the page limit. This 
number represents the full page less margins, multiplied by the total 
number of allowed pages.
     Space will be measured on the physical page. 
Space left blank within the Project Narrative (excluding margins) is 
considered part of the Project Narrative, in determining compliance.
[ballot] The page limit for Appendices stated in the specific funding 
announcement cannot be exceeded.

    To facilitate review of your application, follow these additional 
guidelines. Failure to adhere to the following guidelines will not, in 
itself, result in your application being screened out and returned 
without review. However, the information provided in your application 
must be sufficient for review. Following these guidelines will help 
ensure your application is complete, and will help reviewers to 
consider your application.

[ballot] The 10 application components required for SAMHSA applications 
should be included. These are:
     Face Page (Standard Form 424, which is in PHS 
5161-1)
     Abstract
     Table of Contents
     Budget Form (Standard Form 424A, which is in PHS 
5161-1)
     Project Narrative and Supporting Documentation
     Appendices
     Assurances (Standard Form 424B, which is in PHS 
5161-1)
     Certifications (a form in PHS 5161-1)
     Disclosure of Lobbying Activities (Standard Form 
LLL, which is in PHS 5161-1)
     Checklist (a form in PHS 5161-1)
[ballot] Applications should comply with the following requirements:
     Provisions relating to confidentiality, 
participant protection and the protection of human subjects, as 
indicated in the specific funding announcement.
     Budgetary limitations as indicated in Sections 
I, II, and IV-5 of the specific funding announcement.
     Documentation of nonprofit status as required in 
the PHS 5161-1.
[ballot] Pages should be typed single-spaced with one column per page.
[ballot] Pages should not have printing on both sides.
[ballot] Please use black ink, and number pages consecutively from 
beginning to end so that information can be located easily during 
review of the application. The cover page should be page 1, the 
abstract page should be page 2, and the table of contents page should 
be page 3. Appendices should be labeled and separated from the Project 
Narrative and budget section, and the pages should be numbered to 
continue the sequence.
[ballot] Send the original application and two copies to the mailing 
address in the funding announcement. Please do not use staples, paper 
clips, and fasteners. Nothing should be attached, stapled, folded, or 
pasted. Do not use heavy or lightweight paper, or any material that 
cannot be copied using automatic copying machines. Odd-sized and 
oversized attachments such as posters will not be copied or sent to 
reviewers. Do not include videotapes, audiotapes, or CD-ROMs.

    3. Submission Dates and Times: Applications must be received by 
June 16, 2004. You will be notified by postal mail that your 
application has been received. Additional submission information is 
available in the INF-04 PA (MOD) in section IV-3.
    4. Intergovernmental Review: Applicants for this funding 
opportunity must comply with Executive Order 12372 (E.O. 12372). E.O. 
12372, as implemented through Department of Health and Human Services 
regulation at 45 CFR Part 100, sets up a system for State and local 
review of applications for Federal financial assistance. Instructions 
for complying with E.O. 12372 are provided in the INF-04 PA (MOD) in 
Section IV-4. A current listing of State Single Points of Contact 
(SPOCs) is included in the application kit and is available at http://www.whitehouse.gov/omb/grants/spoc.html.
    5. Funding Restrictions: Information concerning funding 
restrictions is available in the INF-04 PA (MOD) in Section IV-5.

V. Application Review Information

    1. Evaluation Criteria: Applications will be reviewed against the 
Evaluation Criteria and requirements for the Project Narrative 
specified in the INF-04 PA (MOD), but the allocation of points to each 
section of the Project Narrative should be disregarded. Each section of 
the Project Narrative should be given equal weight. SAMHSA intends to 
fund all States and Territories; however, applications must have 
sufficient merit. A comprehensive review of each application will be 
conducted to determine the acceptability of individual projects as well 
as technical assistance needs. Applicants only need to plan and budget 
for up to two people to attend one day and a half grantee meeting per 
year. The following information describes exceptions or limitations to 
the INF-04 PA (MOD) and provides special requirements that pertain only 
to State Mental Health DIG grants. Applicants must discuss the 
following requirements in their applications, in addition to the 
requirements specified in the INF-04 PA (MOD):

1.1 In ``Section A: Statement of Need''

    a. Applicants must include an assessment of the States' ability to 
provide data to complete the required Uniform Reporting System (URS) 
data tables for the CMHS/MHBG (data pertaining to the basic and 
developmental performance measures). A listing of all required data 
tables is provided in Appendix A to this NOFA.
    b. Applicants must include an assessment of the State's readiness 
to implement web-based information technology for the purpose of 
collecting, analyzing and reporting required performance measures.
    c. Applicants must provide a full description of the current SMHA 
information system, as well as challenges that remain in data 
collection and reporting. In Appendix 5, please indicate how the State 
Mental Health Strategic Plan will incorporate grant data goals.

1.2 In ``Section B: Proposed Approach''

    a. Applicants must clearly identify the activities to be funded 
through the proposed project and demonstrate that they will lead to 
improved State and local mental health data infrastructure. 
Implementation Pilots noted (p.5) in the INF-04 PA (MOD) are not a part 
of this grant application.
    b. Applicants must include a detailed work plan for State data 
recording and reporting in the project.
    c. Applicants must include plans to develop and adopt data 
standards that

[[Page 17703]]

promote improved management, service quality improvement, and 
compliance with HIPAA requirements.
    d. Applicants must include plans to introduce web-based information 
technology to improve State mental health agency management, planning, 
and performance measurement. Both the data standards and the 
information technology of Decision Support 2000+ (DS2000+) shall be 
considered in developing State and local data systems.
    e. Applicants must describe plans for data collection, management, 
analysis, interpretation and reporting. Data collection instruments/
interview protocols should be included in ``Appendix 2.''

1.3 In ``Section C: Staff, Management, and Relevant Experience:''

    Applicants must identify required project staff, including one 
Principal Investigator who is a State data representative and a co-
Principal Investigator who is a State planner representative.

1.4 In ``Section D: Evaluation and Data:''

    Applicants must indicate how the project will be evaluated, 
including evaluation by stakeholder groups in ``Section D: Evaluation 
and Data'' of their applications.
    In addition, all SAMHSA grantees are required to collect and report 
certain data, so that SAMHSA can meet its obligation under the 
Government Performance and Results Act (GPRA). Grantees of the State 
Mental Health Data Infrastructure Grants for Quality Improvement 
program will be required to report URS data (see Appendix A to this 
NOFA). SAMHSA will assess grantee performance by measuring State 
progress in reporting the URS data.
    2. Review and Selection Process: Information about the review and 
selection process is available in the INF-04 PA (MOD) in Section V-2.

VI. Award Administration Information

    Award administration information, including award notices, 
administrative and national policy requirements, and reporting 
requirements are available in the INF-04 PA (MOD) in Section VI. 
SAMHSA's standard terms and conditions are available at http://www.samhsa.gov/grants/2004/useful_info.asp.

VII. Agency Contact for Additional Information

    For questions concerning program issues, contact: Olinda 
Gonz[aacute]lez, Ph.D., Center for Mental Health Services, 5600 Fishers 
Lane, Room 15C-04, Rockville, MD 20857; 301-443-2849; e-mail: 
[email protected]. For questions on grants management issues, 
contact: Gwendolyn Simpson, SAMHSA/Division of Grants Management, 5600 
Fishers Lane, Room 13-103, Rockville, MD 20857; 301-443-4456; e-mail: 
[email protected].

Appendix A: CMHS Uniform Reporting System (URS) Measures for the Mental 
Health Block Grant Program

Basic Measures (existing)

Table 1. Profile of the State Population by Diagnosis
Source: Center for Mental Health Services

Table 2. Profile of Clients Served, All Programs, by Age, Gender and 
Race/Ethnicity
Source: Administrative Data Systems (Core Measure)
Table 3A. Profile of Clients Served in Community Mental Health 
Settings by Homeless Status
Source: Administrative Data Systems

Table 3B. Profile of Clients Served in State Psychiatric Hospitals 
and Other Inpatient Settings
Source: State Hospital or Other Inpatient Administrative Data 
Systems

Table 4. Profile of Adult Clients by Employment Status
Source: Administrative Data Systems (Core Measure)

Table 5. Profile of Clients by Type of Funding Support (Medicaid/
Non-Medicaid)
Source: Administrative Data Systems

Table 6. Profile of Client Turnover
Source: Administrative Data Systems

Table 7. Profile of State Mental Health Agency Service Expenditures 
and Sources of Funding
Source: National Association of Mental Health Program Directors' 
Research Institute

Table 8. Profile of Community Mental Health Block Grant Expenditures 
for Non-Direct Service Activities
Source: State Mental Health Agency Fiscal Systems

Table 9. Public Mental Health Service System Inventory Checklist
Source: State Mental Health Agency

Table 10. Profile of Agencies Receiving Block Grant Funds Directly 
from the State Mental Health Authority
Source: State Mental Health Agency

Table 11. Summary Profile of Client Evaluation of Care
Source: State Mental Health agency Statewide Surveys

State PPG Core and OMB PART Measure

Table 12. State Mental Health agency Profile
Source: Administrative Data Systems

Developmental Measures (measures under development)

Table 13. Profile of Unmet and Inappropriately Treated Needs of the 
State Population
Source: Center for Mental Health Services

Table 14. Profile of Clients Served with Serious Mental Illness 
(SMI) and Serious Emotional Disturbance (SED), All Programs by Age, 
Gender, and Race/Ethnicity
Source: Administrative Data Systems

Table 15. Profile of Clients' Living Situation in Institutional and 
Non-Institutional Settings
Source: Administrative Data Systems (Core Measure)

Table 16. Profile of Clients with Serious Mental Illness (SMI) and 
Clients with Serious Emotional Disturbance (SED) receiving Evidence-
based Services (Supported Housing, Supported Employment, Assertive 
Community Treatment-Adults, and Therapeutic Foster Care-Children)
Source: Administrative Data Systems (Core Measure)

Table 17. Profile of Adult Clients with Serious Mental Illness (SMI) 
receiving Evidence-Based Services of Family Psychoeducation, 
Integrated Treatment for Co-occurring Disorders, and Illness 
Management and Recovery Skills
Source: Administrative Data Systems (Core Measure)

Table 18. Profile of Adults with Schizophrenia receiving New 
Generation of Medications
Source: Administrative Data Systems

Table 19. Summary Profile of Client Outcomes for Children with 
Increased Level of School Attendance, Children who have had Contact 
with the Juvenile Justice System, and Adults who have had Contact 
with the Criminal Justice System
Source: Administrative Data Systems (Core Measure)

Table 20. Rate of Readmission to State Psychiatric Hospitals within 
30 days and 180 days.
Source: State Hospital Administrative Data Systems (Core Measure)

    Dated: March 29, 2004.
Margaret Gilliam,
Acting Director, Office of Policy, Planning and Budget, Substance Abuse 
and Mental Health Services Administration.

[FR Doc. 04-7611 Filed 4-2-04; 8:45 am]
BILLING CODE 4162-20-P