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 Mental Health Services (CMHS), Center for

Substance Abuse Treatment (CSAT) and Center for Substance Abuse

Prevention (CSAP) announce the availability of FY 1998 funds for

cooperative agreements for the following activities. These activities

are discussed in more detail under Section 4 of this notice. This

notice is not a complete description of the activities; potential

applicants must obtain a copy of the Guidance for Applicants (GFA)

before preparing an application.

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Estimated

Activity Application Estimated funds available No. of Project period

deadline awards

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Aging, MH/SA and Primary Care...... 06/19/98 $3.5-4M 11 1-4 yrs.

Project: Youth Connect............. 06/19/98 $6.75M 11-13 3 yrs.

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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, April 16, 1998, and on April 20, 1998.

The actual amount available for awards and their allocation may

vary, depending on unanticipated program requirements and the volume

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

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

discussed in this announcement were appropriated by the Congress under

Public Law 105-78. SAMHSA's policies and procedures for peer review and

Advisory Council review of grant and cooperative agreement applications

were published in the Federal Register (Vol. 58, No. 126) on July 2,

1993.

The Public Health Service (PHS) is committed to achieving the

health promotion and disease prevention objectives of Healthy People

2000, a PHS-led national activity for setting priority areas. The

SAMHSA Centers' substance abuse and mental health services activities

address issues related to Healthy People 2000 objectives of Mental

Health and Mental Disorders; Alcohol and Other Drugs; Clinical

Preventive Services; HIV Infection; and Surveillance and Data Systems.

Potential applicants may obtain a copy of Healthy People 2000 (Full

Report: Stock No. 017-001-00474-0) or Summary Report: Stock No. 017-

001-00473-1) through the Superintendent of Documents, Government

Printing Office, Washington, DC 20402-9325 (Telephone: 202-512-1800).

General Instructions: Applicants must use application form PHS

5161-1 (Rev. 5/96; OMB No. 0937-0189). The application kit contains the

GFA (complete programmatic guidance and instructions for preparing and

submitting applications), the PHS 5161-1 which includes Standard Form

424 (Face Page), and other documentation and forms. Application kits

may be obtained from the organization specified for each activity

covered by this notice (see Section 4).

When requesting an application kit, the applicant must specify the

particular activity for which detailed information is desired. This is

to ensure receipt of all necessary forms and information, including any

specific program review and award criteria.

The PHS 5161-1 application form and the full text of each of the

activities (i.e., the GFA) described in Section 4 are available

electronically via SAMHSA's World Wide Web Home Page (address: http://

www.samhsa.gov).

Application Submission: Unless otherwise stated in the GFA,

applications must be submitted to: SAMHSA Programs, Center for

Scientific Review, National Institutes of Health, Suite 1040, 6701

Rockledge Drive MSC-7710, Bethesda, Maryland 20892-7710*

(*Applicants who wish to use express mail or courier service should

change the zip code to 20817.)

Application Deadlines: The deadlines for receipt of applications

are listed in the table above. Please note that the deadlines may

differ for the individual activities.

Competing applications must be received by the indicated receipt

dates to be accepted for review. An application received after the

deadline may be acceptable if it carries a legible proof-of-mailing

date assigned by the carrier and that date is not later than one week

prior to the deadline date. Private metered postmarks are not

acceptable as proof of timely mailing.

Applications received after the deadline date and those sent to an

address other than the address specified above will be returned to the

applicant without review.

FOR FURTHER INFORMATION CONTACT: Requests for activity-specific

technical information should be directed to the program contact person

identified for each activity covered by this notice (see Section 4).

Requests for information concerning business management issues

should be directed to the grants management contact person identified

for each activity covered by this notice (see Section 4).

SUPPLEMENTARY INFORMATION: To facilitate the use of this Notice of

Funding Availability, information has been organized as outlined in the

Table of Contents below. For each activity, the following information

is provided:

Application Deadline.

Purpose.

Priorities.

Eligible Applicants.

Grants/Cooperative Agreements/Amounts.

Catalog of Federal Domestic Assistance Number.

Contacts.

Application Kits.

Table of Contents

1. Program Background and Objectives

2. Special Concerns

3. Criteria for Review and Funding

3.1 General Review Criteria

3.2 Funding Criteria for Scored Applications

4. Special FY 1998 Substance Abuse and Mental Health Services

Activities

4.1 Cooperative Agreements

4.1.1 Cooperative Agreements to Document and Evaluate Mental

Health/Substance Abuse Services for Older Adults through Primary

Health Care

4.1.2 Cooperative Agreements for Establishing a Mentoring/

Advocacy Program for High Risk Youth and their Families

5. Public Health System Reporting Requirements

6. PHS Non-use of Tobacco Policy Statement

7. Executive Order 12372

1. Program Background and Objectives

SAMHSA's mission within the Nation's health system is to improve

the quality and availability of prevention, early intervention,

treatment, and rehabilitation services for substance abuse and mental

illnesses, including co-occurring disorders, in order to improve health

and reduce illness, death, disability, and cost to society.

Reinventing government, with its emphases on redefining the role of

Federal agencies and on improving customer service, has provided SAMHSA

with a welcome opportunity to examine carefully its programs and

activities. As a result of that process, SAMHSA moved assertively to

create a renewed and strategic emphasis on using its resources to

generate knowledge about ways to improve the prevention and treatment

of substance abuse and mental illness and to work with State and local

governments as well as providers, families, and consumers to

effectively use that knowledge in everyday practice.

SAMHSA's FY 1998 Knowledge Development and Application (KD&A)

agenda is the outcome of a process whereby providers, services

researchers, consumers, National Advisory Council

[[Page 19930]]

members and other interested persons participated in special meetings

or responded to calls for suggestions and reactions. From this input,

each SAMHSA Center developed a ``menu'' of suggested topics. The topics

were discussed jointly and an agency agenda of critical topics was

agreed to. The selection of topics depended heavily on policy

importance and on the existence of adequate research and practitioner

experience on which to base studies. While SAMHSA's FY 1998 KD&A

programs will sometimes involve the evaluation of some delivery of

services, they are services studies and application activities, not

merely evaluation, since they are aimed at answering policy-relevant

questions and putting that knowledge to use.

SAMHSA differs from other agencies in focusing on needed

information at the services delivery level, and in its question-focus.

Dissemination and application are integral, major features of the

programs. SAMHSA believes that it is important to get the information

into the hands of the public, providers, and systems administrators as

effectively as possible. Technical assistance, training, preparation of

special materials will be used, in addition to normal communications

means.

SAMHSA also continues to fund legislatively-mandated services

programs for which funds are appropriated.

2. Special Concerns

SAMHSA's legislatively-mandated services programs do provide funds

for mental health and/or substance abuse treatment and prevention

services. However, SAMHSA's KD&A activities do not provide funds for

mental health and/or substance abuse treatment and prevention services

except sometimes for costs required by the particular activity's study

design. Applicants are required to propose true knowledge application

or knowledge development and application projects. Applications seeking

funding for services projects under a KD&A activity will be considered

nonresponsive.

Applications that are incomplete or nonresponsive to the GFA will

be returned to the applicant without further consideration.

3. Criteria for Review and Funding

Consistent with the statutory mandate for SAMHSA to support

activities that will improve the provision of treatment, prevention and

related services, including the development of national mental health

and substance abuse goals and model programs, competing applications

requesting funding under the specific project activities in Section 4

will be reviewed for technical merit in accordance with established

PHS/SAMHSA peer review procedures.

3.1 General Review Criteria

As published in the Federal Register on July 2, 1993 (Vol. 58, No.

126), SAMHSA's ``Peer Review and Advisory Council Review of Grant and

Cooperative Agreement Applications and Contract Proposals,'' peer

review groups will take into account, among other factors as may be

specified in the application guidance materials, the following general

criteria:

Potential significance of the proposed project;

Appropriateness of the applicant's proposed objectives to

the goals of the specific program;

Adequacy and appropriateness of the proposed approach and

activities;

Adequacy of available resources, such as facilities and

equipment;

Qualifications and experience of the applicant

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

Reasonableness of the proposed budget.

3.2 Funding Criteria for Scored Applications

Applications will be considered for funding on the basis of their

overall technical merit as determined through the peer review group and

the appropriate National Advisory Council (if applicable) review

process.

Other funding criteria will include:

Availability of funds.

Additional funding criteria specific to the programmatic activity

may be included in the application guidance materials.

4. Special FY 1998 SAMHSA Activities

4.1 Cooperative Agreements

Major activities for SAMHSA cooperative agreement programs are

discussed below. Substantive Federal programmatic involvement is

required in cooperative agreement programs. Federal involvement will

include planning, guidance, coordination, and participating in

programmatic activities (e.g., participation in publication of findings

and on steering committees). Periodic meetings, conferences and/or

communications with the award recipients may be held to review mutually

agreed-upon goals and objectives and to assess progress. Additional

details on the degree of Federal programmatic involvement will be

included in the application guidance materials.

4.1.1 Cooperative Agreements to Document and Evaluate Mental Health/

Substance Abuse Services for Older Adults Through Primary Health Care

(Short Title: Aging, MH/SA and Primary Care, SM 98-009)

Application Deadline: June 19, 1998.

Purpose: The Substance Abuse and Mental Health Services

Administration (SAMHSA), with the participation of the Health Resources

and Services Administration (HRSA), announces the availability of

cooperative agreements to support a multi-site evaluation of

alternative models of delivering and financing mental health and/or

substance abuse (MH/SA) services for older adults through primary

health care. This Program seeks to identify differences in outcomes

between models using a referral approach to providing specialty MH/SA

services and an integrated approach to providing such services within

the primary care setting itself. SAMHSA will provide limited

supplemental funds for the purpose of enhancing services to support

comparison groups for the study. HRSA's Bureau of Primary Health Care

(BPHC) also supports this Program by making available funds for service

enhancements for their Consolidated Health Centers (CHCs) which are

selected to become Study Sites.

This announcement solicits applications for two types of

cooperative agreements: Study Sites and a Coordinating Center. Study

Site applicants must document their relationship to a primary health

care entity which has provided older adults' MH/SA services (by either

the referral approach or the integrated approach, or by both) for a

minimum of one (1) year prior to the date of application.

The Program will have two phases: Phase I awards (Year 01) to Study

Sites will involve the identification and documentation, through the

development of manual, of service models using a referral or an

integrated approach to providing MH/SA services through primary health

care. This documentation will include the results of a process

evaluation. Phase II will be an outcome evaluation comparing service

utilization and service system outcomes, clinical outcomes, and costs

among the most promising models under the referral and integrated

approaches. Phase II awards (Years 02-04) will be selected from among

the Phase I Study Sites by peer review.

Because older adults seek and receive MH/SA services more often

from their primary care providers than from specialty MH/SA providers,

SAMHSA

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seeks answers to the following questions: (1) What are the most

effective models for delivering MH/SA services for older adults within

the framework of primary health care? (2) How do the location, type of

provider, and type of health care financing, affect the level of older

adults' actual utilization of MH/SA services and the outcomes of their

treatment?

The immediate objectives of this Program are: (1) To identify,

document and compare service models and financing mechanisms for

providing older adults with MH/SA services through primary health care.

(2) To identify the best screening/assessment and outcome instruments

and methods which can be used in primary care settings with older

adults with MH/SA problems. (2) To identify the prevention, early

identification, early intervention, and treatment components in these

models and to recognize the impact of these components on outcomes for

the referral and integrated approaches. (3) To determine if the

identification of staff training needs and training actually provided

has an impact on system and provider proficiencies and on client

outcomes. (4) To measure the relative effectiveness of these service

models and financing models on (a) older adults' utilization of MH/SA

services, (b) client (functional and psychiatric) outcomes, and (c)

system outcomes. (5) To disseminate useful lessons learned quickly and

continuously to the field.

Priorities: None.

Eligible Applicants: Applications may be submitted by

public organizations, such as units of State or local government, and

by domestic private nonprofit and for-profit organizations, such as

group practice settings, Federally Qualified Health Centers (FQHCs),

community health centers, other community-based organizations,

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

organizations, and various types of managed health care organizations.

Cooperative Agreements/Amounts: For FY 1998, it is

estimated that approximately $3.5 to 4 million will be available to

support up to ten (10) Study Site awards and one (1) Coordinating

Center under this GFA. For Phase I in FY 1998, the average award to

support each Study Site is expected to range from $250,000 to $350,000

in total costs (direct+indirect) per year, including service

enhancements. The award to support the Coordinating Center is expected

to be in the range of $800,000 to $900,000 in total costs

(direct+indirect) per year. For Phase II in FY 1999-2001, it is

estimated that approximately the same total amount, $3.5 to 4 million

per year, will be available. Actual funding levels will depend upon the

availability of appropriated funds.

Catalog of Federal Domestic Assistance Number: 93.230.

For programmatic or technical information regarding this

program (not for application kits), contact: Paul Wohlford, Ph.D.,

Division of State and Community System Development, Center for Mental

Health Services, SAMHSA, 5600 Fishers Lane, Room 15C-18, Rockville, MD

20857, Tel. 301-443-5850; Fax 301-594-0091, E-mail:

[email protected].

HRSA-supported Consolidated Health Centers should contact: M.

Carolyn Aoyama, C.N.M., M.P.H., Deputy Chief, Clinical Branch, Division

of Community and Migrant Health, Bureau of Primary Health Care, HRSA,

4350 East West Highway, 7th Floor, Bethesda, MD 20814, Tel. 301-594-

4294; Fax 301-594-4997, E-mail: [email protected].

For grants management assistance, contact: Stephen J.

Hudak, Division of Grants Management, OPS, SAMHSA, 5600 Fishers Lane,

Room 15C-05, Rockville, Maryland 20857, (301) 443-4456, E-mail:

[email protected].

For application kits, contact: Knowledge Exchange Network

(KEN), P.O. Box 42490, Washington, DC 20015, Voice: 800-789-2647; TTY

301-443-9006; Fax 301-984-8796.

4.1.2 Cooperative Agreements for Establishing a Mentoring/Advocacy

Program for High Risk Youth and Their Families (Short Title: Project:

Youth Connect, SP 98-005)

Application Deadline: June 19, 1998.

Purpose: The Substance Abuse and Mental Health Services

Administration (SAMHSA) Center for Substance Abuse Prevention (CSAP)

announces the availability of funds to support studies to determine the

effectiveness of mentoring/advocacy models that focus on youth 9-15

years of age and their families. The primary purpose of the program is

to prevent or reduce substance abuse or delay its onset by improving

school bonding and academic performance; improving life management

skills and improving family bonding and family functioning. The

announcement solicits grant applications for 10-12 Project: Youth

Connect Study Sites and a Coordinating Center. This study includes

requirements for a rigorous evaluation. Community based organizations

and schools wishing to apply under this announcement, are encouraged to

consult with organizations or universities in their communities, who

can provide evaluation expertise. The Coordinating Center's primary

responsibility will be for supporting effective evaluations and

conducting secondary analyses of data across the study sites.

Through this program, SAMHSA/CSAP anticipates gaining additional

knowledge about the relative effectiveness of providing this mentor/

advocate service to the youth (Model I) or the youth and his/her family

(Model II). The study should address the following questions: (1) Is

the mentoring/advocacy model effective in preventing, delaying and/or

reducing youth substance abuse? (2) If the mentoring/advocacy model is

effective, are better outcomes achieved working with youth only, or

with youth and families? (3) Which intervention, or combination of

interventions, produce outcomes that meet the program objectives?

Priorities: None.

Eligible Applicants: Applications for the Study Sites and

the Coordinating Center may be submitted by units of State or local

government and by domestic private nonprofit and for-profit

organizations such as community-based organizations, universities,

colleges, and hospitals. Applicants cannot apply for both a Study Site

and a Coordinating Center cooperative agreement. Applicants must choose

to apply for one or the other to avoid any conflict of interest issues.

Cooperative Agreements/Amounts: It is estimated that

approximately $6 million will be available to support approximately 10-

12 Study Sites and $750,000 (including direct and indirect costs) will

be available to support the Coordinating Center in FY 1998. Up to 20%

of funds available for Study Sites are being set aside for applications

from grantees previously funded under the Community Schools Program

administered by the Administration for Children and Families that are

in the top half of scored applications, as Congress has directed SAMHSA

to give priority consideration to these applicants. No Study Site award

can exceed $450,000, including indirect cost. Funding for the

subsequent years may be at approximately the same levels.

Catalog of Federal Domestic Assistance Number: 93.230.

For programmatic or technical information regarding this

grant, contact (not for application kits): Rose C. Kittrell, M.S.W.,

Division of Knowledge Development and Evaluation, Center for

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Substance Abuse Prevention, SAMHSA, Rockwall II, Room 1075, 5600

Fishers Lane, Rockville, MD 20857, (301) 443-9104.

For grants management assistance, contact: Peggy Jones,

Division of Grants Management, OPS, SAMHSA, Rockwall II, Room 630, 5600

Fishers Lane, Rockville, Maryland 20857, (301) 443-3958.

For application kits, contact: National Clearinghouse for

Alcohol and Drug Information, P.O. Box 2345, Rockville, MD 20847-2345,

(800) 729-6686; (800) 487-4859 TDD.

5. Public Health System Reporting Requirements

The Public Health System Impact Statement (PHSIS) is intended to

keep State and local health officials apprised of proposed health

services grant and cooperative agreement applications submitted by

community-based nongovernmental organizations within their

jurisdictions.

Community-based nongovernmental service providers who are not

transmitting their applications through the State must submit a PHSIS

to the head(s) of the appropriate State and local health agencies in

the area(s) to be affected not later than the pertinent receipt date

for applications. This PHSIS consists of the following information:

a. A copy of the face page of the application (Standard form 424).

b. A summary of the project (PHSIS), not to exceed one page, which

provides:

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

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

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

State or local health agencies.

State and local governments and Indian Tribal Authority applicants

are not subject to the Public Health System Reporting Requirements.

Application guidance materials will specify if a particular FY 1998

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

Reporting Requirements.

6. PHS Non-use of Tobacco Policy Statement

The PHS strongly encourages all grant and contract recipients to

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

products. In addition, Public Law 103-227, the Pro-Children Act of

1994, prohibits smoking in certain facilities (or in some cases, any

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

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

provided to children. This is consistent with the PHS mission to

protect and advance the physical and mental health of the American

people.

7. Executive Order 12372

Applications submitted in response to all FY 1998 activities listed

above are subject to the intergovernmental review requirements of

Executive Order 12372, as implemented through DHHS regulations at 45

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

government review of applications for Federal financial assistance.

Applicants (other than Federally recognized Indian tribal governments)

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

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

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

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

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

included in the application guidance materials. The SPOC should send

any State review process recommendations directly to: Office of

Extramural Activities Review, Substance Abuse and Mental Health

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

Lane, Rockville, Maryland 20857.

The due date for State review process recommendations is no later

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

applications. SAMHSA does not guarantee to accommodate or explain SPOC

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

Dated: April 17, 1998.

Richard Kopanda,

Executive Officer, SAMHSA.

[FR Doc. 98-10654 Filed 4-22-98; 8:45 am]

BILLING CODE 4162-20-P