Fiscal Year (FY) 1999 Funding Opportunities

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration

Fiscal Year (FY) 1999 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 Substance Abuse Treatment (CSAT) and the Center for

Mental Health Services (CMHS) announce the availability of FY 1999

funds 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

[[Page 11028]]

Applicants (GFA) before preparing an application.

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

Estimated

funds Estimated

Activity Application available No. of Project period

deadline (in awards

millions)

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

CSAT Action Grant Program............... 5/10/99 $1.5 10 1 yr.

Community Treatment Program............. 5/10/99 5.3 15 Up to 3 yrs.

Basic Action Grant, Hispanic Priority... 5/10/99 3 20 1 yr.

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

Note: SAMHSA also published notices of available funding

opportunities for FY 1999 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 1999 funds for activities

discussed in this announcement were appropriated by the Congress under

Public Law No. 105-277. 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/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 1999 Substance Abuse and Mental Health Services

Activities

4.1 Community Action Grants for Service Systems Change (Short

Title: CSAT Action Grant, GFA No. TI 99-003)

4.2 Comprehensive Community Treatment Program for the

Development of New and Useful Knowledge (Short Title: Community

Treatment Program, PA No. 99-050)

4.3 Community Action Grants For Service Systems Change-Phase I

(Short Title: Basic Action Grant, Hispanic Priority, GFA No. SM 99-

007)

4.4 SAMHSA Technical Assistance Workshop

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

[[Page 11029]]

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 1999 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 1999 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 1999 SAMHSA Activities

4.1 Community Action Grants For Service Systems Change (Short Title:

CSAT Action Grant Program, GFA No. TI 99-003)

Application Deadline: May 10, 1999.

Purpose: The Substance Abuse and Mental Health Services

Administration's (SAMHSA) Center for Substance Abuse Treatment (CSAT)

announces the availability of funds to communities for supporting the

adoption of specific exemplary practices related to the delivery or

organization of services or supports into their systems of care for

adolescents and adults with alcohol and other drug use problems. This

program is designed to stimulate activities by communities that will

result in adoption of specific exemplary service delivery practices

that yield the best results for these target populations.

The CSAT Action Grant 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. The term exemplary practice

connotes that the proposed practice has a reliable record of improving

outcomes for those receiving the service. A proven outcome-based record

of success will be a prerequisite to Federal support for adoption of a

proposed exemplary practice. Grants will not support direct funding of

service delivery.

The Program is designed to encourage communities to identify and

build consensus around exemplary service delivery practices that meet

their own needs, and that meet criteria identified in the full

announcement for defining what constitutes an exemplary practice. For

purposes of this program, exemplary practices are limited to those that

involve service delivery or the organization of services or supports.

Proposed exemplary practices should be limited to practices which are

consistent with the concept of systems of care as defined in the full

announcement. Grant funds may be used for any activity that is part of

the consensus building and decision-support process. Individual

projects will be successful if a decision to adopt the proposed

practice is made.

Priorities: None.

Eligible Applicants: Applications for grants will be

accepted from public and private entities. Public entities include

State and local government agencies, and federally designated Indian

tribes and tribal organizations. Private entities include those

organized as not-for-profits and those organized as for-profits. Such

organizations include, but are not necessarily limited to, those

responsible for service delivery policy, those representing consumers

and families, those providing services to the target population, and

those responsible for training and accrediting service providers.

Grants/Amounts: An estimated $1.5 million is available

under the CSAT

[[Page 11030]]

Action Grant Program. Award amounts will range from approximately

$50,000 to not more than $150,000. These funds will support

approximately 10 or more grant awards in FY 1999. CSAT projects will be

funded for 1 year.

Catalog of Domestic Federal Assistance: 93.230.

Program Contact: For programmatic or technical assistance

(not for application kits) contact: Clifton Mitchell or Jane Ruiz,

Division of Practice and Systems Development, Center for Substance

Abuse Treatment, SAMHSA, 5600 Fishers Lane, Rockville, MD 20857, (301)

443-8802.

For grants management assistance, contact: Andrea Brandon, Grants

Management Specialist, Substance Abuse and Mental Health Services,

Administration, Rockwall II, 6th Floor, 5600 Fishers Lane, Rockville,

MD 20857, (301) 443-9667.

Application kits are available from: National

Clearinghouse for Alcohol and Drug Information, P.O. Box 2345,

Rockville, Maryland 20847-2345, Telephone: 1-800-729-6686.

4.2 Comprehensive Community Treatment Program for the Development of

New and Useful Knowledge (Short Title: Community Treatment Program, PA

No. 99-050)

Initial Application Deadline: May 10, 1999 (and depending

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

January 10 and May 10 thereafter).

Purpose: The Substance Abuse and Mental Health Services

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

announces the availability of grants to support the development or

modification of treatment approaches for special populations and/or

service settings and to support rigorous study of their effectiveness.

The purpose of this program is to generate new knowledge about

three aspects of substance abuse treatment: (1) special populations,

(2) integrated substance abuse treatment, screening, and early

intervention in non-traditional settings, and (3) innovative programs.

This grant program is a vehicle by which treatment providers and

other experts in the substance abuse treatment field can identify

innovative clinical and service delivery approaches in need of

development and study. Through this announcement, CSAT will support

three types of grants: (1) full studies of treatment programs and

services, (2) exploratory/pilot studies; and (3) enhancement/expansion

grants. Applicants must clearly indicate which type of grant they are

applying for in their application to SAMHSA. Lastly, CSAT seeks to

promote partnerships and collaboration between community-based

organizations, to foster broad participation among researchers,

practitioners, consumers, and payers, and to support the development of

an infrastructure to facilitate knowledge development.

Priorities: None.

Eligible Applicants: Applications for full studies of

treatment programs and services and exploratory/pilot studies may be

submitted by public and domestic private nonprofit and for-profit

entities, such as units of State or local government, community-based

organizations and State or private universities, colleges, and

hospitals.

Applications for enhancement/expansion grants may be submitted by

currently active CSAT grantees (including those in no cost extension

periods) who can demonstrate successful implementation of planned

activities in their current project. These grants are restricted to

currently active grantees because their studies are in place allowing

them to immediately proceed to the next step of expanding the project's

scope to improve the knowledge base. In addition, because their study

structure, database, enrolled participants, relationships with

participants and their families and collaborating organizations are

already established, start-up time for the enhancement/expansion is

minimal.

Grants/Amounts: It is estimated that $5.3 million will be

available to support approximately 15 awards under this announcement in

FY 1999. The amount of an award is expected to range from $100,000 to

$500,000 in total costs (direct + indirect). Funds will be divided

evenly among the three types of grants. The number of applications

funded in each group will depend on the quality of applications as

determined by peer review. Funds may be used to conduct all aspects of

data collection and evaluation. Limited funds are available to support

substance abuse treatment intervention services and substance abuse

related services necessary for successful conduct of the proposed

study. Support may be requested for a period of up to 3 years. Annual

awards will be made subject to continued availability of funds and

progress achieved.

Catalog of Domestic Federal Assistance: 93.230.

Program Contact: For programmatic or technical assistance

(not for application kits) contact: Thomas Edwards, Jr., Branch Chief,

Organization of Services Branch/ Division of Practice and Systems

Development, Center for Substance Abuse Treatment, Substance Abuse and

Mental Health Services Administration, Rockwall II, Suite 740, 5600

Fishers Lane, Rockville, MD 20857, (301) 443-8453.

For grants management assistance, contact: Peggy Jones, Grants

Management Officer, Division of Grants Management, OPS, Substance Abuse

and Mental Health Services Administration, Rockwall II, 6th Floor, 5600

Fishers Lane, Rockville, Maryland 20857, (301) 443-9666.

Application kits are available from: National

Clearinghouse for Alcohol and Drug Information, P.O. Box 2345,

Rockville, Maryland 20847-2345, 1-800-729-6686.

4.3 Community Action Grants For Service Systems Change-Phase I (Short

Title: Basic Action Grant, Hispanic Priority, GFA No. SM 99-007)

Application Deadline: May 10, 1999.

Purpose: The goal of the Action Grant Program is to

promote the adoption of exemplary practices related to the delivery

and/or organization of services or supports for children with serious

emotional disturbances and adults with serious mental illness who may

also have co-occurring disorders. (Basic Program)

Additionally, the Action Grant Program establishes a priority

initiative for Hispanic Communities to promote the adoption of

exemplary practices for Hispanic adults and adolescents that need

prevention services because they are at-risk for alcohol and illicit

drug problems or treatment services because they are seriously

chemically dependent and/or mentally ill. (Hispanic Priority

initiative)

It is understood that adoption of exemplary practices involves more

than consensus building and decisions to act. Projects for both the

Basic Program and the Hispanic Priority initiative will be successful

if a grantee can develop consensus among key stakeholders on the

adaptations of the chosen exemplary practice needed for that community

and on a plan for implementing the adapted practice.

Priorities: None.

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 an exemplary practice specific to the

[[Page 11031]]

needs of Hispanic Americans and demonstrate the involvement of Hispanic

community leadership.

Grants/Amounts: It is estimated that approximately $1.5

million will be available under the Basic Program to support

approximately 10 awards in FY 1999. The average award is expected to

range from $50,000 to $150,000 in total costs.

In addition to the estimated $1.5 million available under the Basic

Program noted above, an additional $1.5 million will be made available

to approximately 10 awards under the Hispanic Priority initiative in FY

1999. The average award under this initiative is expected to range from

$50,000 to not more than $150,000 in total costs.

CMHS Action Grant projects will be funded for one year.

Catalog of Federal Domestic Assistance Number: 93.125.

Program Contact: 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, 5600 Fishers

Lane, Room 11C-22, Rockville, MD 20857, (301) 443-3653.

For programmatic or technical information regarding Homeless

Populations, contact: Larry W. Rickards, Ph.D., Homeless Program

Branch, Division of Knowledge Development and Systems Change, Center

for Mental Health Services, Substance Abuse and Mental Health Service

Administration, 5600 Fishers Lane, Room 11C-05, Rockville, MD 20857,

(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, 5600 Fishers Lane, Room 18-49, Rockville, MD 20857,

(301) 443-1333.

For programmatic or technical information regarding Substance Abuse

Treatment, contact: Jane Ruiz, 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, 5600 Fishers Lane, Rockville, Maryland

20857, (301) 443-8237.

For programmatic or technical information regarding Substance Abuse

Prevention, contact: Donna Simms d'Almeida, Division of State and

Community Systems Development, Center for Substance Abuse Prevention,

Substance Abuse and Mental Health Services Administration, Rockwall II

Building, Suite 930, 5600 Fishers Lane, Rockville, Maryland 20857,

(301) 443-1789.

Questions regarding Grants Management issues may be directed to:

Stephen J. Hudak, Division of Grants Management, OPS, Substance Abuse

and Mental Health Services Administration, Room 15C-05, 5600 Fishers

Lane, Rockville, MD 20857, (301) 443-4456.

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.

4.4. SAMHSA Technical Assistance Workshop

SAMHSA is sponsoring three technical assistance workshops for

potential applicants. The workshops will be held at the following

locations: March 11, 1999--Washington, DC; March 17, 1999--Chicago, IL;

and March 19--Los Angeles, CA. For more information, please call Ms.

Lisa Wilder, Workshop Coordinator, at 301-984-1471, extension 333.

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 1999

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 1999 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 2, 1999.

Richard Kopanda,

Executive Officer, SAMHSA.

[FR Doc. 99-5586 Filed 3-5-99; 8:45 am]

BILLING CODE 4162-20-P