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 and Center for Substance

Abuse Prevention announce the availability of FY 1998 funds for grants

and/or 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

Application funds Estimated Project

Activity deadline available number of period

(million) awards (years)

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State Incentive Program..................................... 03/06/98 $42.0 12-18 3

HIV/AIDS Education.......................................... 04/03/98 2.0 7-9 3

Child Mental Health Initiative.............................. 04/03/98 8-12 8-12 5

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Note: SAMHSA plans to publish additional notices of available

funding opportunities for FY 1998 in subsequent issues of the

Federal Register.

The actual amount available for awards and their allocation may

vary, depending on unanticipated program requirements and the volume

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

from one to three years in duration. FY 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). The GFAs are also available on SAMHSA's Bulletin Board

(800-424-2294 or 301-443-0040).

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.

[[Page 567]]

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 National Youth Substance Abuse Prevention, Initiative--

State Incentive Cooperative Agreements for Community-Based Action

(State Incentive Program)

4.1.2 Cooperative Agreements for the Mental Health Care

Provider Education in HIV/AIDS Program II (HIV/AIDS Eduction)

4.2 Grants

4.2.1 Comprehensive Community Mental Health Services for

Children and their Families (Child Mental Health Initiative)

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;

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

[[Page 568]]

included in the application guidance materials.

4. Special FY 1998 Substance Abuse and Mental Health Activities

4.1 Cooperative Agreements

Two 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 National Youth Substance Abuse Prevention Initiative--State

Incentive Cooperative Agreements for Community-Based Action (State

Incentive Program)

Application Deadline: March 6, 1998

Purpose: To reverse the trend in drug use by youth, the

State Incentive Cooperative Agreements for Community-Based Action calls

upon Governors to set a new course of action that will assess needs,

identify gaps and channel or redirect resources (consistent with the

requirements of the funding source) to implement comprehensive

strategies for effective youth substance abuse prevention. This program

gives States the opportunity to develop an innovative process for using

these special incentive funds in a different way so as to complement

and enhance existing prevention efforts. Through this State-led

process, individual citizens can be encouraged to play a more forceful

role in their community's anti-drug efforts; and additional resources

can be mobilized to support promising prevention approaches across

systems and settings.

The State Incentive Program will support the States in coordinating

and redirecting all prevention resources available within the State and

in developing a revitalized, comprehensive prevention strategy that

will make optimal use of those resources. With these redirected

resources and a viable prevention strategy in place, Governors can more

effectively mobilize local citizens--youth, families, communities,

schools and workplaces--to work proactively with State and local

prevention organizations.

Therefore, the State Incentive Program has a two-fold purpose:

(1) Governors should coordinate, leverage and/or redirect, as

appropriate, and legally permissible, all substance abuse prevention

resources (funding streams and programs) within the State that are

directed at communities, families, schools and workplaces in order to

fill gaps with effective and promising prevention approaches targeted

to marijuana and other drug use by youth. Any redirection of Federal

funds, however, must be consistent with the terms and conditions of

such funding and all other Federal laws.

(2) States should develop a revitalized, comprehensive State-wide

strategy aimed at reducing drug use by youth through the implementation

of promising community-based prevention efforts derived from sound

scientific research findings.

Priorities: None.

Eligible Applicants: Eligibility is limited to the Office

of the Governor so that a consistent State-wide strategy on substance

abuse prevention will be implemented by the Governor and

comprehensively evaluated as to effectiveness in the strategies used.

Eligibility is limited to the Office of the Governor in those entities

that receive the Substance Abuse Prevention and Treatment Block Grant

(SAPT), Title XIX, Part B, Subpart II of the Public Health Service Act,

42 U.S.C. 300x-21, et seq. (hereinafter referred to as ``States'').

That grant sets aside 20 percent of the funds for primary prevention

activities. This set-aside is a large resource available to the State

for prevention activities and, along with the resources available under

this announcement and other resources available to the State for

substance abuse prevention activities, should be used to assist the

Governor in implementing a State-wide strategy.

By restricting eligibility to the Governor's Office, SAMHSA/CSAP

believes optimal conditions and incentives needed to establish a

successful State Incentive Program are assured. The Governor's

leadership and involved commitment to youth substance abuse prevention,

coupled with the infrastructure previously developed through the

substance abuse Block Grant funds can spur the renewed support of

organizations throughout the State and ensure that substance abuse

prevention aimed at youth remains a high-priority, comprehensive, and

systemically integrated State-wide effort.

For this State Incentive Program, SAMHSA/CSAP strongly supports

State use of existing prevention expertise and resources that already

reside in the Alcohol and Drug Single State Agency (SSA), which

continues to fund prevention strategies through the Substance Abuse

Prevention and Treatment Block Grant. Therefore, SAMHSA/CSAP encourages

Governors to include a significant role for the SSA in the development,

planning and implementation of State efforts under this cooperative

agreement. For example, the SSA director or his/her designee could

serve as the project director for the cooperative agreement, thereby

serving in a key leadership and oversight capacity.

Cooperative Agreements/Amounts: It is estimated that

approximately $42 million will be available to support approximately

12-18 awards under this cooperative agreement announcement in FY 1998.

In determining award amounts, consideration will be given to the

State's population, substance abuse prevention needs, and the cost

requirements of the proposed plan. Accordingly, it is expected that

awards will range from $2 million to $3 million. Final award amounts

and the actual number of awards made will depend on the number and

quality of applications received, and on consideration of the relative

cost reasonableness of projects approved for funding.

Catalog of Federal Domestic Assistance Number: 93.230

Program Contact: For programmatic or technical assistance,

contact: Dave Robbins or Dan Fletcher, DSCSD, Systems Applications

Branch, Center for Substance Abuse Prevention, Substance Abuse and

Mental Health Services, Administration, Rockwall II Building, 9th

Floor, 5600 Fishers Lane, Rockville, MD 20857, (301) 443-0369.

Grants Management Contact: For business management

assistance, contact: Peggy Jones, Division of Grants Management, OPS,

Substance Abuse and Mental Health Services, Administration, Rockwall II

Building, Room 630, 5600 Fishers Lane, Rockville, Maryland 20857, (301)

443-9666.

Application Kits: Application kits are available from:

National Clearinghouse for Alcohol and Drug Information (NCADI), P.O.

Box 2345, Rockville, MD 20847-2345, 1-800-729-6686; 1-800-487-4889 TDD,

Via Internet: www.health.org (Go into the Forum Section of the Web

site, click on ``CSAP FY 98 Grant Opportunities.'')

Visually impaired: Disk versions of the application may be

requested.

[[Page 569]]

4.1.2 Cooperative Agreements for the Mental Health Care Provider

Education in HIV/AIDS Program II (HIV/AIDS Education)

Application Deadline: April 3, 1998.

Purpose: The purpose of this cooperative agreement program

is twofold: (1) To disseminate to mental health care service providers

state-of-the-art knowledge about how to identify and treat the

psychological and the neuropsychiatric sequelae of HIV/AIDS; and (2) to

develop knowledge on how to be more effective in the dissemination of

this knowledge.

The latter includes an assessment, through a multisite evaluation,

of both the use and usefulness of this knowledge for providers of HIV/

AIDS specific mental health care services (the assessment protocol and

measures are being developed under a separate contract).

Applications are being solicited for 6 to 8 established education

sites (funds will not be available to develop new HIV/AIDS education

projects) to provide education/training (incorporating the required

activities outlined in the Guidance for Applicants, GFA) to a minimum

of 1,000 individual mental health care service providers per year, per

site, for 3 years. At least five (5) provider groups must be included

in the training project (e.g., psychiatrists, psychologists, social

workers, medical students, primary care residents, psychiatry

residents, nurses, counselors, the clergy and other spiritual

providers).

Applications are also being sought for a coordinating/technical

assistance center to provide overall coordination of the program. The

role of the coordinating center will be to (1) provide leadership and

guidance to the education sites on the implementation of the multisite

evaluation, (2) manage and analyze the common data collected across

education sites, and (3) provide technical assistance to the sites in

modifying their projects based on the multisite evaluation interim

findings.

Priorities: None.

Eligible Applicants: Applications to be an education site

or the coordinating center may be submitted by 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. Applications from Historically

Black Colleges and Universities, Hispanic Serving Institutions and

Tribal Colleges and Universities are encouraged.

Applicants may apply to be either an education site or a

coordinating center, or both; however, separate applications must be

submitted.

Cooperative Agreements/Amounts: It is estimated that

approximately $1.6 million will be available to support approximately 6

to 8 education site awards under this GFA in FY 1998. The average award

is expected to range from $200,000 to $300,000 in total costs

(direct+indirect). It is also estimated that approximately $400,000 in

total costs (direct+indirect) will be available to support one (1)

coordinating center award under this GFA in FY 1998. 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, Mental Health Care

Provider Education in HIV/AIDS Program II, Office of the Associate

Director for Medical Affairs, 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: Stephen Hudak, Grants Management Specialist,

Substance Abuse and Mental Health Services Administration, Parklawn

Building, Room 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, DC 20015, Voice: (800) 789-2647, TTY: (301) 443-

9006, FAX: (301) 984-8796.

The full text of the GFA is available electronically via the Center

for Mental Health Services Knowledge Exchange Network (KEN) (voice line

800-789-2647 or Electronic Bulletin Board 800-790-2647).

4.2 Grants

4.2.1 Comprehensive Community Mental Health Services for Children and

their Families (Child Mental Health Initiative)

Application Deadline: April 3, 1998.

Purpose: Under Section 561(a) of the Public Health Service

Act grants will be awarded to implement, in one or more communities, a

broad array of community-based and family-focused services for children

with serious emotional disturbance and their families, including

individualized case planning and coordination, and to enable

communities to integrate child-and family-serving agencies, including

health, mental health, substance abuse treatment, child welfare,

education, and juvenile justice into a local comprehensive system of

care. The statute further requires that an evaluation of the system(s)

of care implemented under the Program be conducted and that it include,

among other things, longitudinal studies of the outcomes of services

provided by such systems.

The primary goal of the program is to successfully implement

systems of care at the grant sites. A second goal after implementing

systems of care, is evaluation of the outcomes of services delivered

under the system. This will be accomplished through a national multi-

site evaluation conducted under a separate contract and grantees will

be required to cooperate with the multi-site evaluation contractor. The

final goal of the Program is to use the results of both the system

development efforts of each service site and the results of the

descriptive, process and outcome evaluation to shape future program

direction with proven exemplary practices that work best for children

and their families.

Priorities: None.

Eligible Applicants: Eligible entities include States (as

defined in Section 2 of the PHS Act), political subdivisions of States,

and Indian tribes or tribal organizations (as defined in Section 4(b)

and Section 4(c) of the Indian Self-Determination and Education

Assistance Act). Applications from all State level, political

subdivisions of States (e.g., counties, cities), tribe or tribal

organization child-serving agencies are allowed. In order for an entity

to be eligible, a plan must be in place for the development of a system

of care for community-based services for children with a serious

emotional disturbance approved by the Secretary of the U.S. Department

of Health and Human Services per Section 564(b) of the PHS Act. For the

purposes of this program, an approved State Mental Health Plan for

Children and Adolescents with Serious Emotional Disturbance, submitted

under Public Law 102-321, will be accepted as such a plan.

Grants/Amounts: Approximately $8-12 million will be

available to support 8 to 12 awards under this GFA in FY 1998. Actual

funding will depend upon the availability of funds at the time of

award. These grants are for a period of 5 years; it is anticipated that

approximately $1 million will be available to each grantee in year one;

$1 million in year two; $2 million in year

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three, $1.5 million in year four, and $1.5 million in five. An

applicant must arrange and demonstrate the availability of match of

non-Federal funds in mandated ratios.

Catalog of Federal Domestic Assistance Number: 93.104.

Program Contact: For programmatic or technical assistance,

contact: Gary De Carolis, Chief, Child, Adolescent, and Family Branch,

Division of Knowledge Development and Systems Change Center for Mental

Health Services/SAMHSA, Room 18-49, Parklawn Building, 5600 Fishers

Lane, Rockville, MD 20857, (301) 443-1333/FAX (301) 443-3693, Internet:

[email protected].

For grants management issues, contact:

Stephen Hudak, Grants Management Officer, Office of Program

Services/SAMHSA, Room 15C-05, Parklawn Building, 5600 Fishers Lane,

Rockville, MD 20857, (301) 443-4456/FAX (301) 594-2336, Internet:

[email protected].

Application kits, contact:, 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.

CMHS intends to sponsor two technical assistance workshops

for potential applicants: February 10-11, 1998 in Denver, Colorado and

February 23-24, 1998 in Washington, D.C. For more information,

potential applicants may contact: Ken Currier, Director, Technical

Assistance Operations, National Resource Network for Child and Family

Mental Health Services, Washington Business Group on Health, 777 North

Capitol Street, N.E., Suite 800, Washington, D.C. 20002, (202) 408-

9320/FAX (202) 408-9332, Internet: [email protected].

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: December 30, 1997.

Richard Kopanda,

Executive Officer, SAMHSA.

[FR Doc. 98-192 Filed 1-5-98; 8:45 am]

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