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 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.

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Estimated funds

Activity Application available Estiamted number Project period

deadline (millions) of awards (years)

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Action Grants with Hispanic Priority 05/27/98 $3.5 25-30 1

Women and Violence.................. 05/27/98 $7.5 13 2-5

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Note: SAMHSA also published notices of available funding

opportunities in FY 1998 in the Federal Register on January 6, 1998,

January 20, 1998, and on February 26, 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. 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 Grants

4.1.1 Community Action Grants for Service Systems Change (GFA

No. SM 98-003)

4.2 Cooperative Agreements

4.2.1 Cooperative Agreements to Study Women with Alcohol, Drug

Abuse, and Mental Health (ADM) Disorders Who Have Histories of

Violence (Short Title: Women and Violence Study--GFA No. TI 98-004)

5. Public Health System Reporting Requirements

6. PHS Non-use of Tobacco Policy Statement

7. Executive Order 12372

[[Page 13678]]

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 included in the application guidance materials.

4. Special FY 1998 SAMHSA Activities

4.1 Grants

4.1.1 Community Action Grants For Service Systems Change (GFA No. SM

98-003)

Application Deadline: May 27, 1998.

Purpose: The Center for Mental Health Services (CMHS) announces the

continuation of its basic program--Community Action Grants for Service

Change. CMHS is making FY 1998 funds available to communities to

support the adoption of exemplary service delivery practices related to

the delivery and/or organization of services or supports for children

with serious emotional disturbances and adults with serious mental

illness. The adult population may also have co-occurring disorders.

In addition to the ``Basic Program'' sponsored by CMHS, SAMHSA's

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

Abuse Treatment (CSAT) have joined CMHS in making FY 1998 funds

available for a priority initiative for Hispanic communities to support

exemplary practices for Hispanic adults and adolescents with mental

health and/or substance abuse problems. This priority initiative offers

the same grant vehicle as the Basic Program to Hispanic communities to

address mental health and/or substance abuse problems.

This program is intended to stimulate the adoption of exemplary

practices through convening partners, building consensus, aiding in

eliminating barriers, decision-support and adaptation of service models

to meet local needs. Grants will not support direct funding of services

themselves. Projects will be successful if a grantee can develop

consensus among key decision makers to adopt an exemplary practice.

Priorities: Hispanic Initiative.

Eligible Applicants: Applications may be submitted by units of

State or local governments and by domestic private nonprofit and for-

profit organizations such as community-based organizations,

universities, colleges, and hospitals. SAMHSA encourages applications

from consumer and family organizations.

Applications for the Hispanic Priority Initiative must target

Hispanics, identify

[[Page 13679]]

an exemplary practice specific to the needs of Hispanic Americans and

demonstrate the involvement of Hispanic community leadership.

Applicants must demonstrate that they are in a position to engage

all the key stakeholders in the proposed consensus building/decision

making process.

Grants/Amounts: It is estimated that approximately $2.75 million

will be available under the Basic Program to support approximately 20

awards in FY 1998. The average award is expected to range from $50,000

to $150,000 in total costs.

In addition to the estimated $2.75 million available under the

Basic Program, an additional $750,000 will be made available to support

5 to 10 awards under the Hispanic Priority Initiative in FY 1998. The

average award under this initiative is expected to range from $50,000

to not more than $150,000 in total costs.

Catalog of Federal Domestic Assistance Number: 93.230.

Program Contacts: For programmatic or technical information

regarding Adult Serious Mentally Ill Populations, contact: Santo

(Buddy) Ruiz, Community Support Programs Branch, Division of Knowledge

Development and Systems Change, Center for Mental Health Services,

Substance Abuse and Mental Health Service Administration, Parklawn

Building, Room 11C-22, (301) 443-3653.

For programmatic or technical information regarding Homeless

Populations, contact: Michael Hutner, PhD., Homeless Program Branch,

Division of Knowledge Development and Systems Change, Center for Mental

Health Services, Substance Abuse and Mental Health Service

Administration, Parklawn Building, Room 11C-05, (301) 443-3706.

For programmatic or technical information regarding Children and

Adolescents with Serious Emotional Disorders and their Families,

contact: Michele Herman, Child, Adolescents and Family Services Branch,

Division of Knowledge Development and Systems Change, Center for Mental

Health Services, Substance Abuse and Mental Health Service

Administration, Parklawn Building, Room 18-49, (301) 443-1333.

For programmatic or technical information regarding Substance Abuse

Treatment, contact: David C. Thompson, Division of Practice and Systems

Development, Clinical Interventions Branch, Center for Substance Abuse

Treatment, Substance Abuse and Mental Health Services Administration,

Rockwall II Building, Suite 740, (301) 443-6523.

For programmatic or technical information regarding Substance Abuse

Prevention, contact: Addie Key, Division of State and Community Systems

Development, Center for Substance Abuse Prevention, Substance Abuse and

Mental Health Services Administration, Rockwall II Building, Suite 940,

(301) 443-9438.

For grants management assistance, contact: Stephen J. Hudak,

Division of Grants Management, OPS, Substance Abuse and Mental Health

Services Administration, Parklawn Building, Room 15C-05, (301) 443-

4456.

The mailing address for the individuals listed above is: 5600

Fishers Lane, Rockville, MD 20857.

Application Kits: Application kits are available from: Center for

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

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 to Study Women with Alcohol, Drug Abuse,

and Mental Health (ADM) Disorders Who Have Histories of Violence (Short

Title: Women and Violence Study--GFA No. TI 98-004)

Application Deadline: May 27, 1998.

Purpose: The Substance Abuse and Mental Health Services

Administration (SAMHSA) announces the availability of cooperative

agreements to support the first of a two-phase study on women, ADM

disorders and violence: PHASE ONE--Developing an Integrated System of

Care with Services Intervention Models, Implementing the Qualitative

Phase One Evaluation, and Developing Evaluation Protocols for Phase

Two; and PHASE TWO--Full Scale Implementation of Integrated strategies,

Services Intervention Models and Outcome Evaluation. There is a

possibility of a PHASE THREE--long-term evaluation, depending on Phase

Two outcome and availability of funds. This Knowledge Development and

Application (KDA) program is a result of a partnership among SAMHSA and

its three centers--the Center for Substance Abuse Treatment (CSAT), the

Center for Substance Abuse Prevention (CSAP) and the Center for Mental

Health Services (CMHS).

The goal of Phase One is the generation of new knowledge in

response to two questions: (1) What constitutes an integrated system of

care for women with co-occurring disorders who are victims of violence,

and for their children; and (2) what are the most promising services

integration models for this population and what is the rationale for

their selection.

SAMHSA requests applications for cooperative agreements to conduct

Phase One of the study. This phase includes: (1) the development and

implementation of an integrated system of care as a vehicle for

delivering effective services intervention models (also to be developed

in Phase One) for women with co-occurring substance abuse and mental

health disorders who are victims of physical and/or sexual abuse, and

for delivering services for their children who have been impacted as a

result of these problems; (2) the development and implementation of

Phase One's qualitative evaluation; and (3) the development of

evaluation protocols for Phase Two of the study.

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

Coordinating Center to provide programmatic and evaluation assistance

to the study sites.

Priorities: None.

Eligible Applicants: Applications may be submitted by units of

State or local governments and by domestic private nonprofit and for-

profit organization such as community-based organizations,

universities, colleges, and hospitals.

Applicants for study sites must provide evidence of having at least

two years demonstrated experience working in the field of women, ADM

disorders and violence.

Applicants for the Coordinating Center must provide evidence of

having at least one year of demonstrated experience working in the

field of women, ADM disorders and violence, at the treatment or

research level.

Note: Applicants may apply for both a study site and

Coordinating Center award; however, a separate application for each

must be submitted. If an organization chooses to apply for multiple

awards, there should be no overlap in research/evaluation and

support personnel.

[[Page 13680]]

Cooperative Agreement/Amounts: It is estimated that approximately

$7.5 million (total costs, i.e., direct and indirect costs) will be

available to support up to twelve study site awards and one

Coordinating Center under this GFA in FY 1998.

Catalog of Domestic Federal Assistance Number: 93.230.

Program Contact: For programmatic or technical assistance contact:

Linda White Young, Division of Practice and Systems Development, Center

for Substance Abuse Treatment, Substance Abuse and Mental Health

Services Administration, Rockwall II, Suite 740, (301) 443-8392.

Susan Salasin, Division of Knowledge Development and Systems Change,

Center for Mental Health Services, Substance Abuse and Mental Health

Services Administration, Parklawn Building, Room 11C-26, (301) 443-

3653.

Jeanette Bevitt-Mills, Division of Knowledge Development and

Evaluation, enter for Substance Abuse Prevention, Substance Abuse and

Mental Health Services Administration, Rockwall II, Suite 1075, (301)

443-4564.

For grants management assistance, contact: Ms. Peggy Jones, Division of

Grants Management, OPS, Substance Abuse and Mental Health Services

Administration, Rockwall II, Suite 360, (301) 443-9666.

The mailing address for the individuals listed above is: 5600 Fishers

Lane, Rockville, MD 20857.

Application Kits: Application kits are available from: National

Clearinghouse for Alcohol and Drug Information, PO Box 2345, Rockville,

Maryland 20847-2345. 1-800-729-6686, 1-800-487-4889; via Internet:

http://www.samhsa.gov.

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, 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: March 15, 1998.

Richard Kopanda,

Executive Officer, SAMHSA.

[FR Doc. 98-7280 Filed 3-19-98; 8:45 am]

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