Fiscal Year (FY) 1997 Funding Opportunities for Knowledge Development and Application Cooperative Agreements

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration

Fiscal Year (FY) 1997 Funding Opportunities for Knowledge

Development and Application Cooperative Agreements

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's (SAMHSA) Center for Mental Health Services (CMHS) and

Center for Substance Abuse Treatment (CSAT) announce the availability

of FY 1997 funds for Knowledge Development and Application cooperative

agreements for the following activities. These activities are discussed

in more detail under Section 4 of this notice.

[[Page 3708]]

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Estimated

Application funds Estimated No. Project period

Activity deadline available (in of awards (years)

millions)

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HIV/AIDS High-Risk Behavior..................... 03/28/97 $2.0 9 4

Cannabis Youth Treat-ments...................... 03/28/97 1.4 3 3

Housing Initiative.............................. 03/28/97 2.4 12 3

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Note: It is anticipated that additional notices of available funding opportunities in FY 1997 will be published

by SAMHSA in the coming weeks.

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 1997 funds for activities

discussed in this announcement were appropriated by the Congress under

Public Law No. 104-208. 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: 202-783-3238).

GENERAL INSTRUCTIONS: Applicants for cooperative agreements must

use application form PHS 5161-1 (Rev. 5/96; OMB No. 0937-0189). The

application kit contains the Guidance for Applicants (GFA) (complete

programmatic guidance and instructions for preparing and submitting

applications) and the PHS 5161-1 which includes Standard Form 424 (Face

Page). 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 is also available electronically via SAMHSA's World

Wide Web Home Page (address: http://www.samhsa.gov). Click on SAMHSA

Funding Opportunities for instructions. You can also click on the

address of the forms distribution Web Page for direct access.

The full text of each of the activities (i.e., the GFA) described

in Section 4 is available electronically via the following:

SAMHSA's World Wide Web Home Page (address: http://www.samhsa.gov)

and SAMHSA's Bulletin Board (800-424-2294 or 301-443-0040).

APPLICATION SUBMISSION: Applications must be submitted to: SAMHSA

Programs, Division of Research Grants, 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 categories of cooperative agreements.

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

Cooperative Agreements/Amounts

Catalog of Federal Domestic Assistance Number

Program Contact

Grants Management Contact

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 Approved Applications

4. FY 1997 Substance Abuse and Mental Health Services Activities

4.1 Cooperative Agreements

4.1.1 Cooperative Agreements for an HIV/AIDS High-Risk Behavior

Prevention/Intervention Model for Young Adults/Adolescents and Women

4.1.2 Cooperative Agreements for a Multisite Study of the

Effectiveness of Treatment for Cannabis (Marijuana) Dependent Youth

4.1.3 Cooperative Agreements to Evaluate Housing Approaches for

Persons with Serious Mental Illness

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

[[Page 3709]]

activities. As a result of that process, SAMHSA is moving 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.

The agency has transformed its demonstration grant programs from

service-delivery projects to knowledge acquisition and application. For

FY 1997, SAMHSA has developed an agenda of new programs designed to

answer specific important policy-relevant questions. These questions,

specified in this and subsequent Notices of Funding Availability, are

designed to provide critical information to improve the Nation's mental

health and substance abuse treatment and prevention services.

The 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 1997 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.

2. Special Concerns

SAMHSA's FY 1997 Knowledge Development and Application activities

discussed below do not provide funds for mental health and substance

abuse treatment and prevention services except for costs required by

the particular activity's study design. Applicants are required to

propose true knowledge acquisition studies. Applications seeking

funding for services projects 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 Approved 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 1997 Substance Abuse and Mental Health Services

Activities

4.1 Cooperative Agreements

Three 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 for an HIV/AIDS High-Risk Behavior

Prevention/Intervention Model for Young Adults/Adolescents and Women

Application Deadline: March 28, 1997

Purpose: Cooperative agreements will be awarded to support study

sites and a coordinating center that will develop and test, through a

series of pilot studies, a model prevention/intervention approach to

encourage and enable (1) adolescents/young adults (ages 15-24)

(hereafter referred to as adolescents) or (2) women (age 25 and older),

who engage in high-risk behaviors associated with human

immunodeficiency virus/acquired immune deficiency syndrome (HIV/AIDS)

transmission, to change these behaviors.

The primary goal of this program is to identify the key elements/

factors/determinants that are both necessary and sufficient conditions

in implementing and evaluating a community-focused prevention/

intervention protocol to encourage and enable individuals,

specifically, adolescents and women, who are at risk for HIV/AIDS, to

reduce the incidence of high-risk behaviors.

A second goal is to develop and test reliable and valid outcome

measures, at both the individual and community level, to assess the

effectiveness of the intervention in the target/subgroup population(s).

Priorities: Applicants for study sites must propose to study one,

and only one, of the two primary target populations, i.e., adolescents

or women. Applicants who wish to study more than one of the two primary

target populations must submit a separate complete application for each

primary

[[Page 3710]]

target population group to be studied. Applicants must also be willing

to follow the common intervention, implementation, and evaluation/

research protocols developed jointly by the study sites and

coordinating center.

Eligible Applicants: Applications may be submitted by units of

State or local government, and by private domestic nonprofit and for-

profit organizations such as community-based organizations,

universities, colleges, hospitals, and family and/or consumer operated

organizations.

Cooperative Agreements/Amounts: Approximately $1.6 million will be

available to support approximately 8 to 10 study site awards and

$400,000 for one (1) coordinating center award under this GFA in FY

1997. Actual funding levels will depend upon the availability of

appropriated funds.

Catalog of Federal Domestic Assistance Number: 93.230

Program Contact: For programmatic or technical assistance contact:

Barbara J. Silver, Ph.D., Director, HIV/AIDS Provider Education

Program, Center for Mental Health Services, Substance Abuse and Mental

Health Services, Administration, Parklawn Building, Room 15-81, 5600

Fishers Lane, Rockville, MD 20857, (301) 443-7817.

Grants Management Contact: For business management assistance,

contact: LouEllen Rice, Grants Management Officer, Substance Abuse and

Mental Health Services, Administration, Parklawn Building, Room Number

15C-05, 5600 Fishers Lane, Rockville, Maryland 20857, (301) 443-4456.

Application Kits: Application kits are available from: National

Mental Health Services, Knowledge Exchange Network (KEN), P.O. Box

42490, Washington, D.C. 20015, Voice: (800) 789-2647, TTY: (301) 443-

9006, FAX: (301) 984-8796.

The full text of the GFA only is available electronically via KEN's

Bulletin Board: (800) 790-2647 or its Web Site: http://

www.mentalhealth.org/

4.1.2 Cooperative Agreements For A Multisite Study Of The Effectiveness

Of Treatment For Cannabis (Marijuana) Dependent Youth

Application Deadline: March 28, 1997.

Purpose: The purpose of this program is to compare the

effectiveness of a variety of interventions and treatments for

adolescents (ages 12-18) meeting the criteria for cannabis dependence

as currently defined by DSM-IV. It is likely that while some of the

young people will seek treatment on their own, others will do so only

under pressure from parents, schools or other agencies (e.g., juvenile

justice agencies).

Applications are solicited for treatment sites and a coordinating

center.

This cooperative agreement program is intended to provide answers

to the following questions:

1. Are there existing interventions for cannabis abusing

adolescents that produce good outcomes both during treatment and for

significant periods of time post-treatment?

2. Are there differential levels of effectiveness (in terms of

post-treatment outcomes) among the models of intervention? If so, for

which sub-populations of adolescents do the intervention models appear

to be most effective? In particular, do adolescent girls respond

differently to specific intervention models than do adolescent boys?

3. Are successful interventions, (in terms of decreased drug use)

associated with better cognition/academic performance, or social

functioning?

4. What are the costs and cost-effectiveness associated with

treatments and outcomes?

5. Is there a relationship between types and costs of treatment

services and outcome?

Priorities: The target population for this GFA is adolescents

between the ages of 12 and 18 years old who meet DSM-IV criteria for

cannabis abuse or dependence, but do not meet criteria for heroin,

amphetamine or cocaine dependence. Appropriate interventions for

marijuana dependent adolescents are not well researched. To advance

knowledge in this area, CSAT will consider funding experimental and

quasi-experimental designs. While CSAT prefers to sponsor clinically

and ethically justifiable studies using random assignment to compare

two or more treatment approaches, carefully conceived quasi-

experimental studies comparing distinct treatment approaches will be

considered. Minimum requirements for quasi-experimental studies are

standard assessments at treatment entry, treatment exit, and six and

twelve month follow-up, and a comparison across two or more distinct

treatments, with statistical adjustments for between-group differences

at treatment entry. No studies sponsored through this GFA will employ

assignment to no-treatment or deferred-treatment control groups.

Applicants must pay particular attention to both the gender and

ethnicity of the proposed participant pool, so that treatment effects

related to these dimensions may be determined.

Eligible Applicants: Applications may be submitted by

organizations, such as units of State or local governments and by

domestic private for-profit and not-for-profit organizations such as

community-based organizations, universities, colleges, and hospitals.

Cooperative Agreements/Amounts: It is estimated that approximately

$1.4 million will be available to support up to two treatment sites at

approximately $425,000 each and a coordinating center at approximately

$550,000 under this GFA in FY 1997. Actual funding levels will depend

upon the availability of appropriated funds.

Catalog of Federal Domestic Assistance Number: 93.230.

Program Contact: For programmatic or technical assistance, contact:

Ms. Jean Donaldson, Division of Practice and Systems Development,

Clinical Interventions Branch, Center for Substance Abuse Treatment,

Substance Abuse and Mental Health Services, Administration, Rockwall

II, 9th Floor, (301) 443-6259.

Grants Management Contact: For business management assistance,

contact: Mrs. Peggy Jones, Grants Management Specialist, Substance

Abuse and Mental Health Services, Administration, Rockwall II, 9th

Floor, (301) 443-9666.

The mailing address for both of the individuals listed above is:

5600 Fishers Lane, Rockville, Maryland 20857.

Application Kits: Application kits are available from: National

Clearinghouse for Alcohol and Drug Information, P. O. Box 2345,

Rockville, Maryland 20847-2345, (800) 729-6686.

4.1.3 Cooperative Agreements to Evaluate Housing Approaches for

Persons with Serious Mental Illness

Application Deadline: March 28, 1997.

Purpose: Cooperative agreements will be awarded to conduct an

evaluation study that examines the effectiveness of different housing

approaches for persons with serious mental illness. The program is

divided into two phases. During Phase 1, study site grantees will be

required to conduct a process evaluation of at least two distinctly

different and fully operational housing approaches and to design an

outcome evaluation that will compare the effectiveness of the different

housing approaches. In addition, both study site and coordinating

center grantees will collaborate in designing a cross-site study that

includes developing a common data protocol that will permit an

assessment of the different housing approaches that will be evaluated

by the individual study sites during the second

[[Page 3711]]

phase. Continuation of study site grantees for Phase 2 will be based on

an assessment of the product from their Phase 1 process evaluation and

their plan for implementation of their individual site outcome

evaluation. The coordinating center will not be subject to a

competitive review at the end of Phase 1.

During Phase 2, study site grantees will implement an outcome

evaluation of the housing approaches described during Phase 1 and

participate with the coordinating center in conducting the cross-site

study.

The primary goal of this program is: to describe the major

components of different housing approaches that include provision of

treatment and supports to individuals with serious mental illness; to

develop a common data collection protocol across individual study sites

so as to evaluate the effectiveness of different housing approaches;

and to conduct both cross-site and individual-site evaluations that

assess the impact of the housing approaches on residential tenure,

level of functioning, quality of life, satisfaction, service

utilization, consumer perception of service quality, independence, and

cost.

The major questions to be addressed by this program are the

following:

1. What are the major differences and similarities between and

across housing approaches for individuals with serious mental illnesses

in their organizational structure, implementation, staffing, consumer

characteristics, array and intensity of services and supports provided,

quality of services and housing, cost, and relationships to the larger

housing and service systems?

2. Is a supported housing approach more effective than a housing

approach that is based on the linear residential continuum, in helping

people with serious mental illness achieve residential tenure, improved

level of functioning, quality of life and independence?

Priorities: Study site applicants are required to submit study

designs for a process and outcome evaluation of two or more housing

approaches that have been fully operational for at least 2 years. One

of the housing approaches under study must be a supported housing

approach. Applicants must also be willing to follow a common protocol

for implementing a cross-site study.

Eligible Applicants: Applications to be a study site or the

coordinating center may be submitted by public organizations, such as

units of State or local governments and by domestic private nonprofit

and for-profit organizations such as community-based organizations,

universities, colleges, and hospitals, and family and/or consumer

operated organizations. Applicants may apply to be either a study site

or a coordinating center, but not both.

Cooperative Agreements/Amounts: It is estimated that approximately

$2.0 million will be available to support approximately eleven (11)

study site awards under this GFA in FY 1997, and that approximately

$2.0 million will be available to support up to eight (8) competing

continuation awards under this GFA in FY 1998 and 1999. It is

anticipated that up to $180,000 will be available to support each study

site in year one. It is anticipated that up to $250,000 will be

available to support each study site approved for continuation in years

two and three.

It is anticipated that up to $400,000 per year will be available in

years one through three to support the coordinating center and up to

$250,000 will be available in year four to support the coordinating

center.

Actual funding levels will depend upon the availability of

appropriated funds.

Catalog of Federal Domestic Assistance Number: 93.230.

Program Contact: For programmatic or technical assistance contact:

Lynn Aronson, M.S.

For evaluation issues contact: Frances L. Randolph, Dr. P.H.

The mailing address for these individuals is: Homeless Programs

Branch, Division of Knowledge Development and Systems Change, Center

for Mental Health Services, Substance Abuse and Mental Health Services

Administration, 5600 Fishers Lane, Room 11C-05, Rockville, MD 20857,

(301) 443-3706.

Grants Management Contact: For business management assistance,

contact: Stephen J. Hudak, Grants Management Specialist, Substance

Abuse and Mental Health Services, Administration, 5600 Fishers Lane,

Room 15C-05, Rockville, MD 20857, (301) 443-4456

Application Kits: Application kits are available from: National

Mental Health Services, Knowledge Exchange Network (KEN), P.O. Box

42490, Washington, D.C. 20015, Voice: (800) 789-2647, TTY: (301) 443-

9006, FAX: (301) 984-8796.

The full text of the GFA only is available electronically via KEN's

Bulletin Board: (800) 790-2647 or its Web Site: http://

www.mentalhealth.org/

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 1997

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.

Specific application guidance materials may include more detailed

guidance as to how a Center will implement SAMHSA's policy on promoting

the non-use of tobacco.

7. Executive Order 12372

Applications submitted in response to all FY 1997 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.

[[Page 3712]]

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: January 20, 1997.

Richard Kopanda,

Executive Officer, SAMHSA.

[FR Doc. 97-1721 Filed 1-23-97; 8:45 am]

BILLING CODE 4162-20-P