Fiscal Year (FY) 1998 Funding Opportunities

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 Substance Abuse Treatment (CSAT) announces the

availability of FY 1998 funds for grants for the following activity.

This activity is discussed in more detail under Section 4 of this

notice. This notice is not a complete description of the activity;

potential applicants must obtain a copy of the Guidance for Applicants

(GFA) before preparing an application.

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Estimated

Activity Application funds Estimated No. Project period

deadline available of awards

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Targeted Capacity Expansion............ 6/19/98 $18M 40-50 3 yrs.

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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, and on April 16, 1998.

The actual amount available for awards and their allocation may

vary, depending on unanticipated program requirements and the volume

and quality of applications. Awards are usually made for grant periods

from one to three years in duration. FY 1998 funds for activities

discussed in this announcement were appropriated by the Congress under

Pub. L. No. 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.

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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 SAMHS Activities

4.1 Grants

4.1.1 Grants to Expand Substance Abuse Treatment Capacity in

Targeted Areas of Need

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 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;

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Adequacy and appropriateness of the proposed approach and

activities;

Adequacy of available resources, such as facilities and

equipment;

Qualifications and experience of the applicant

organization, the project director, and other key personnel; and

Reasonableness of the proposed budget.

3.2 Funding Criteria for Scored Applications

Applications will be considered for funding on the basis of their

overall technical merit as determined through the peer review group and

the appropriate National Advisory Council (if applicable) review

process.

Other funding criteria will include:

Availability of funds.

Additional funding criteria specific to the programmatic activity

may be included in the application guidance materials.

4. Special FY 1998 SAMHSA Activities

4.1 Grants

4.1.1 Grants to Expand Substance Abuse Treatment Capacity in Targeted

Areas of Need (Short Title: Targeted Capacity Expansion, GFA No. TI 98-

006)

Application Deadline: June 19, 1998.

Purpose: The Substance Abuse and Mental Health Services

Administration (SAMHSA), Center for Substance Abuse Treatment (CSAT),

announces the availability of funds for grants to address gaps in

treatment capacity by supporting rapid and strategic responses to

demand for substance abuse (including alcohol and drugs) treatment

services. The response to treatment capacity problems may include

communities with serious, emerging drug problems as well as communities

with innovative solutions to unmet need. The goal of this program is to

create or expand a community's or cluster of communities' ability to

provide an integrated creative and community-based response to a

targeted, well documented substance abuse treatment capacity problem.

SAMHSA/CSAT believe that the accomplishment of this goal requires that

applications be submitted by the political entities that are

responsible for the funding or provision of services in the targeted

area. Applicants may either apply to expand an existing treatment

program or create a new program. The proposed treatment services should

be based on sound, scientifically-based theory or empirical evidence of

effectiveness. Further, the services should be designed to

significantly impact the identified treatment gap issue within the

three year grant period and a plan for continuation of the effort

beyond the life of the grant should be presented if such continuation

is expected to be necessary. Finally, the proposed services should be

consistent with and fit within the overall response to substance abuse

problems in the target area.

SAMHSA/CSAT encourages applications from a wide variety of sources

including: Local governmental entities such as cities, towns, counties,

and; regional governmental entities; and States, Territories, and

Indian Tribal Governments. SAMHSA is also interested in applications in

which several jurisdictions propose to work together to address an

emerging or previously emerged need that cuts across their geographical

boundaries. Finally, SAMHSA is interested in applications in which the

proposed services are embedded within an integrated, creative and

community-based response to substance abuse problems.

Priorities: None.

Eligible Applicants: Applications may be submitted by

units of State, local (including cities, towns, or counties), or Indian

Tribal Governments. Eligibility is being limited to units of government

in recognition of the primacy of their responsibility for, and interest

in, providing for the needs of their citizens and because the success

of the program will depend upon the authority and ability available to

units of government to broadly coordinate the variety of other

resources necessary to full program success.

Applications covering more than one unit of government at the same

or different levels must be submitted by one agency which would be the

grantee on behalf of all participating units and be accompanied by

letters of endorsement from the heads of the other participating units.

Grants/Amounts: Approximately $18 million will be

available to support awards under this GFA in FY 1998. Awards are

expected to range in amount from $100,000 to $750,000 in total (direct

plus indirect) costs. It is planned that these funds will be reserved

in three pools based on the size of the population in the geographical

area to be served (as opposed to the population in need of services).

For example, if the State applied on behalf of a rural community, it

would be the population of that community, not the State population or

the estimated number of persons needing services, that would determine

the appropriate funding pool. Indian Tribal Governments will be

included in one of the pools without regard to the size of population

to be served. Only after applicants with acceptable technical merit

scores in the first two pools have been funded will any amount in

excess from those two pools be distributed to the third pool. The three

pools are:

$3 million is reserved for rural projects serving areas with

populations of 30,000 or fewer people and projects proposed by Indian

Tribal Governments;

$3 million is reserved for projects serving areas with populations

of 30,000 or fewer people whether urban or rural; and

$12 million is reserved for projects serving areas with populations

of more than 30,000 (of this amount a minimum of $2 million is reserved

for cities with a population of more than 30,000).

Catalog of Domestic Federal Assistance: 93.230

Program Contact: For programmatic or technical assistance

(not for application kits) contact: Jane Taylor, Ph.D., Director,

Division of Practice and Systems Development Center for Substance Abuse

Treatment, SAMHSA, Rockwall II, 8th Floor, 5600 Fishers Lane,

Rockville, MD 20857, (301) 443-3820.

For grants management assistance, contact: Ms. Andrea

Brandon, Division of Grants Management, OPS, SAMHSA, Rockwall II, Suite

360, 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, 1-800-729-6686.

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:

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(1) A description of the population to be served.

(2) A summary of the services to be provided.

(3) A description of the coordination planned with the appropriate

State or local health agencies.

State and local governments and Indian Tribal Authority applicants

are not subject to the Public Health System Reporting Requirements.

Application guidance materials will specify if a particular FY 1998

activity described above is/is not subject to the Public Health System

Reporting Requirements.

6. PHS Non-use of Tobacco Policy Statement

The PHS strongly encourages all grant and contract recipients to

provide a smoke-free workplace and promote the non-use of all tobacco

products. In addition, Pub. L. 103-227, the Pro-Children Act of 1994,

prohibits smoking in certain facilities (or in some cases, any portion

of a facility) in which regular or routine education, library, day

care, health care, or early childhood development services are provided

to children. This is consistent with the PHS mission to protect and

advance the physical and mental health of the American people.

7. Executive Order 12372

Applications submitted in response to all FY 1998 activities listed

above are subject to the intergovernmental review requirements of

Executive Order 12372, as implemented through DHHS regulations at 45

CFR part 100. E.O. 12372 sets up a system for State and local

government review of applications for Federal financial assistance.

Applicants (other than Federally recognized Indian tribal governments)

should contact the State's Single Point of Contact (SPOC) as early as

possible to alert them to the prospective application(s) and to receive

any necessary instructions on the State's review process. For proposed

projects serving more than one State, the applicant is advised to

contact the SPOC of each affected State. A current listing of SPOCs is

included in the application guidance materials. The SPOC should send

any State review process recommendations directly to: Office of

Extramural Activities Review, Substance Abuse and Mental Health

Services Administration, Parklawn Building, Room 17-89, 5600 Fishers

Lane, Rockville, Maryland 20857.

The due date for State review process recommendations is no later

than 60 days after the specified deadline date for the receipt of

applications. SAMHSA does not guarantee to accommodate or explain SPOC

comments that are received after the 60-day cut-off.

Dated: April 14, 1998.

Patricia S. Bransford,

Acting Executive Officer, Substance Abuse and Mental Health

Administration.

[FR Doc. 98-10315 Filed 4-17-98; 8:45 am]

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