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.

-----------------------------------------------------------------------

SUMMARY: The Substance Abuse and Mental Health Services Administration

(SAMHSA) Center for Mental Health Services (CMHS), Center for Substance

Abuse Prevention (CSAP) and Center for Substance Abuse Treatment (CSAT)

announce the availability of FY 1998 funds for grants and 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.

----------------------------------------------------------------------------------------------------------------

Estimated

Application funds Estimated Project

Activity deadline available number of period

(millions) awards (years)

----------------------------------------------------------------------------------------------------------------

SAMHSA Conference Grants........................................ 05/11/98 $1.25 25 1

HIV/AIDS Cost Study............................................. 05/11/98 6.0 8 5

----------------------------------------------------------------------------------------------------------------

Note: SAMHSA also published notices of available funding

opportunities in FY 1998 in the Federal Register (Vol. 63 , No. 3)

on January 6, 1998 and (Vol. 63, No. 12) on January 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 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.

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

[[Page 9852]]

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 Grants

4.1.1 Substance Abuse and Mental Health Services Administration

Knowledge Dissemination Conference Grants (Short Title: SAMHSA

Conferences Grants--PA No. PA 98-090)

4.2 Cooperative Agreements

4.2.1 Cooperative Agreements for an HIV/AIDS Treatment Adherence,

Health Outcomes, and Cost Study (Short Title: HIV/AIDS Cost Study--GFA

No. SM 98-007)

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 9853]]

included in the application guidance materials.

4. Special FY 1998 Mental Health Activities

4.1 Grants

4.1.1 Substance Abuse and Mental Health Services Administration

Knowledge Dissemination Conference Grants (SAMHSA Conference Grants--PA

No. PA 98-090)

Initial Application Deadline: May 11, 1998 (and depending

on the availability of funds, annual receipts dates of September 10,

January 10, and May 10 thereafter).

Purpose: SAMHSA's Center for Mental Health Services

(CMHS), Center for Substance Abuse Prevention (CSAP), and Center for

Substance Abuse Treatment (CSAT) will provide support for up to 75

percent (to a maximum of $50,000) of the total direct costs of domestic

conferences for the purpose of knowledge synthesis and dissemination.

The goal of SAMHSA's knowledge synthesis and dissemination activities

is to improve the quality of the Nation's substance abuse and mental

health treatment and prevention services and systems. Conferences

supported will involve coordinating, exchanging and dissemination

knowledge to improve the provision of effective treatment, recovery,

early intervention, and prevention services for individuals who suffer

from, or are at risk for, problems related to mental illness and/or

substance abuse.

Each of the SAMHSA Centers maintains responsibility for its

respective areas of expertise--substance abuse prevention, substance

abuse treatment, and treatment and prevention of mental illness.

However, many of the topics that the Conference Grant Program solicits

are of a cross-cutting nature, such as HIV/AIDS, workplace issues,

managed care, co-occurring disorders and special populations.

Accordingly, each of the Centers is interested in synthesizing and

disseminating conference findings with the broadest application for

these fields. To ensure against duplication of effort or funding, when

the subject of an application is of interest to more than one Center,

SAMHSA program staff will communicate to determine which Center will

take lead authority for the grant.

Each conference is expected to yield a product (report or

publication) of specific relevance to the particular Center's mission

at the national, State or community level. Since the purpose is

knowledge synthesis and dissemination, applying for support under this

program requires both disseminating treatment/prevention knowledge to

conference participants and, once the conference is over, sharing that

knowledge with wider audiences.

Priorities: None.

Eligible Applicants: Applications may be submitted by

public and domestic private nonprofit and for-profit entities. An

individual is not eligible to receive grant support for a conference.

Grants/Amounts: It is estimated that approximately

$250,000 from CMHS, $500,000 from CSAP, and $500,000 from CSAT will be

available to support awards under this program in FY 1998. Actual

funding levels for future years will depend upon annual appropriations.

Catalog of Federal Domestic Assistance Number: 93.218.

Program Contact: For programmatic or technical assistance

contact:

Teddi Fine, M.A., Office of the Director, Center for Mental Health

Services, Parklawn Building, Room 15-99, Tele: (301) 443-0553; Fax:

(301) 443-1563; E-mail: [email protected]

Terri Stover, Division of Prevention Application and Education, Center

for Substance Abuse Prevention, Rockwall II Building, Suite 800, Tele:

(301) 443-0378; Fax: (301) 443-5592; E-mail: [email protected]

Roberta Messalle, Office of Scientific Evaluation, Analysis, and

Synthesis Center for Substance Abuse Treatment, Rockwall II Building,

Room 8A123, Tele: (301) 443-4080; Fax (301) 480-3144; E-mail:

[email protected]

For grants management assistance, contact: Peggy Jones,

Grants Management Specialist, Division of Grants Management, OPS,

Rockwall II Building, Suite 630, (301) 443-9666.

The complete mailing address for the four individuals listed above

is: Substance Abuse and Mental Health Services Administration, 5600

Fishers Lane, Rockville, Maryland 20857.

Application Kits: Application kits are available from:

Center for Mental Health Services, Knowledge Exchange Network (KEN),

P.O. Box 42490, Washington, D.C. 20015, Tele: (800) 789-2647

or

National Clearinghouse for Alcohol and Drug Information

(NCADI), P.O. Box 2345, Rockville, MD 20847-2345, Tele: (800) 729-6686;

TDD: (800) 487-4889.

4.2 Cooperative Agreements

A major activity for a SAMHSA cooperative agreement program is

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.

4.2.1 Cooperative Agreements for an HIV/AIDS Treatment Adherence,

Health Outcomes, and Cost Study (Short Title: HIV/AIDS Cost Study--GFA

No. SM 98-007)

Application Deadline: May 11, 1998.

Purpose: This is a collaborative program among the

following components of the Department of Health and Human Services

(DHHS): the Center for Mental Health Services (CMHS) within the

Substance Abuse and Mental Health Services Administration (SAMHSA), the

HIV/AIDS Bureau (HAB) within the Health Resources and Services

Administration (HRSA), the National Institute of Mental Health (NIMH)

and the National Institute on Drug Abuse (NIDA) within the National

Institutes of Health (NIH).

The purpose of this program is to determine the effectiveness of

treatment adherence models, health outcomes, and costs associated with

the provision of integrated mental health, substance abuse, and HIV/

AIDS primary care services for individuals 14 years and older living

with HIV/AIDS who have both a mental and a substance abuse disorder. It

is also the intent of this cooperative agreement program to advance

scientific knowledge about the effectiveness of mental health,

substance abuse, and HIV/AIDS primary care treatment for individuals

with HIV/AIDS as it is typically practiced by conducting analyses

addressing a wide range of questions of scientific and policy

relevance.

Each study site applicant will be expected to implement an

intervention model that integrates mental health, substance abuse, and

HIV/AIDS primary care treatment, not outreach or engagement, for their

target population of individuals living with HIV/AIDS who have both a

mental and a substance abuse disorder. Study site applicants should

propose studies to investigate well-conceptualized questions. It is

[[Page 9854]]

expected that these studies will utilize the most rigorous methodology

consistent with the purposes of these studies.

Applications are being solicited for up to seven study sites and a

Coordinating Center to provide programmatic and evaluation technical

assistance to the study sites.

Priorities: None.

Eligible Applicants: The study sites and Coordinating

Center applicants should be public or domestic private non-profit

entities, including community-based organizations, units of State or

local governments, tribes, universities or for-profit organizations.

While not required in order to submit an application, it is expected

that applicants will have expertise in large-scale multisite

demonstration studies.

Note: Separate applications are being solicited for study sites

and a Coordinating Center to participate in this collaborative

study. If an institution chooses to apply for multiple awards, there

should be no overlap in research/evaluation and support personnel.

Cooperative Agreement/Amounts: It is estimated that up to

$6 million (total costs, i.e., direct and indirect costs) will be

available to support up to seven study site awards and one Coordinating

Center under this GFA in FY 1998. The amount of grant funds used by

study sites for mental health and/or substance abuse services cannot

exceed one third of the total budget (direct and indirect costs).

Catalog of Federal Domestic Assistance: 93.230.

Program Contact: For programmatic or technical assistance

(not for application kits), contact: Elaine Dennis, Senior Health

Policy Analyst, 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.

For grants management assistance, contact: Stephen Hudak,

Grants Management Specialist, Division of Grants Management, OPS,

Substance Abuse and Mental Health Services Administration, Parklawn

Building, Room 15C-05, 5600 Fishers Lane, (301) 443-4456.

Application Kits: Application kits are available from:

Center for 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 is available electronically via the Center

for Mental Health Services Knowledge Exchange Network (KEN) on

www.mentalhealth.org, voice line 800-789-2647, or Electronic Bulletin

Board 800-790-2647 (please reference GFA No. SM 98-007).

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: February 22, 1998.

Richard Kopanda,

Executive Officer, SAMHSA.

[FR Doc. 98-4965 Filed 2-25-98; 8:45 am]

BILLING CODE 4162-20-P