[Federal Register Volume 63, Number 12 (Tuesday, January 20, 1998)]
[Notices]
[Pages 2992-2996]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-1217]
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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 announces 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
Application funds Estimated Project
Activity deadline available No. of period
(millions) awards
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Circles of Care................................................ 04/03/98 $2.4 6-8 3 yrs.
Consumer-Operated Service Program.............................. 04/09/98 5.0 9 4 yrs.
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Note: SAMHSA also published a notice of available funding
opportunities in FY 1998 in the Federal Register (Vol. 63, No. 3) on
Tuesday, January 6, 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,
[[Page 2993]]
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 Circles of Care: Planning, Designing, and Assessing Mental
Health Service System Models for Native American Indian and Alaska
Native Children and Their Families
4.2 Cooperative Agreements
4.2.1 Cooperative Agreements to Evaluate Consumer-Operated Human
Service Programs for Persons with Serious Mental Illness (Consumer-
Operated Service Program)
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;
[[Page 2994]]
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 Mental Health Activities
4.1 Grants
4.1.1 Circles of Care: Planning, Designing, and Assessing Mental
Health Service System Models for Native American Indian and Alaska
Native Children and Their Families
Application Deadline: April 3, 1998
Purpose: Six to eight grants will be awarded to plan,
design, and assess the feasibility of implementing a culturally
appropriate mental health service model for American Indian/Alaska
Native children with serious emotional disturbances and their families.
The purpose of this program is to support the development of mental
health service delivery models that are designed by American Indian/
Alaska Native communities to achieve outcomes for their children that
they choose for themselves. Formulation and evaluation of programs
based directly on the needs, values, and principles of the grantee
organizations will provide an information base for other programs
interested in structuring culturally relevant children's mental health
service systems.
Grantees will engage in a strategic planning process, design a
service model, and conduct a feasibility assessment of the model,
including a cost and funding analysis. Actual services will not be
funded but the intent of the program is to position tribal and urban
Indian organizations advantageously for future service system
implementation and development when opportunities for funding services
are available.
Priorities: None
Eligible Applicants: Applications may be submitted by
federally acknowledged tribes and tribal organizations. Urban Indian
organizations are eligible to apply if they are a nonprofit corporate
body situated in an urban center, governed by a board of directors of
whom at least 51% are American Indian/Alaska Natives, and provide for
the participation of all interested Indian groups and individuals. The
applicant must be capable of legally cooperating with other public and
private entities for the purposes of performing the activities of this
program.
The primary intent of the ``Circles of Care'' program is to support
the development of mental health service delivery models that are
designed by American Indian/Alaska Native communities to achieve
outcomes for their children that they chose for themselves. Models
designed for American Indian/Alaska Native communities by people other
than American Indian/Alaska Natives are already available. This program
will enable community members to develop models to juxtapose with those
not designed by Indians to find which are best for meeting their
service needs. To be effective and have the cooperation and confidence
of the community, the applicant must be representative of the
community, in addition to demonstrating the ability to fulfill the
technical requirements of the GFA.
Grants/Amounts: It is estimated that approximately $2.4
million will be available to support approximately 6-8 awards in FY
1998. Actual funding levels for subsequent years will depend on
availability of appropriated funds.
Catalog of Federal Domestic Assistance Number: 93.230
Program Contact: For programmatic or technical assistance
contact: Gary De Carolis, M.ED., Center for Mental Health Services,
Substance Abuse and Mental Health Services Administration, Parklawn
Building, Room 18-49, 5600 Fishers Lane, Rockville, Maryland 20857,
(301) 443-1333.
Grants Management Contact: For business management
assistance, contact: Stephen J. Hudak, Grants Management Specialist,
Division of Grants Management, OPS, 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, D.C. 20015, Voice: (800) 789-2647, TTY: (301)
443-9006.
CMHS intends to sponsor two technical assistance workshops
for potential applicants to provide guidance on completing the grant
application. One workshop will be held in the eastern part of the
country; the other will be held in the western part of the country.
Letters from CMHS will be mailed to all 550 federally recognized tribes
and urban Indian organizations to inform them of the meeting(s). For
more information, potential applicants may contact: Kathy McGregor,
Project Coordinator, National Indian Child Welfare Association, 3611 SW
Hood Street, Suite 201, Portland, OR 97201, (503-222-4044).
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 Evaluate Consumer-Operated Human
Service Programs for Persons With Serious Mental Illness (Consumer-
Operated Service Program)
Application Deadline: April 9, 1998.
Purpose: This Guidance for Applicants (GFA) solicits
applications for two types of cooperative agreements--Study Sites and a
Coordinating Center. The purpose of this Program is to assess the
extent to which consumer-operated services are effective in improving
rehabilitation and recovery of individuals with serious mental illness.
It also seeks to determine to what extent participation in such
services affect costs.
Specific questions to be addressed are:
1. To what extent does participation in a consumer-operated service
program affect selected consumer outcomes for consumers who use
traditional service programs?
The selected outcomes are empowerment, housing, employment
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(such as transition from unemployment to employment), social inclusion,
and satisfaction with services. This core question is to be addressed
in both the individual Study Site evaluation and the multi-site
evaluation to be coordinated by the Coordinating Center.
2. To what extent does participation in a consumer-operated service
program affect costs for the following: inpatient hospitalization,
crisis intervention, and emergency room utilization as well as
offsetting costs in housing, criminal justice, vocational
rehabilitation, physical health care, and income support?
Examination of patterns of service use of retrospective or
prospective ``claims'' data on service utilization will be coordinated
by the Coordinating Center.
While individual Study Sites will provide the necessary information
for the cost-study, the Coordinating Center will be responsible for
developing a design and method for collecting and analyzing all
information for the cost-study.
A goal of the Program is to create strong and productive
partnerships among consumers, service providers and services
researchers that demonstrate to the field that these groups are capable
of complementing each other's strengths and that their joint efforts
will yield the most effective service delivery models possible.
Another goal is to disseminate the knowledge gained about the
effectiveness of these projects and the specific components that
contributed to their success.
Priorities: None.
Eligible Applicants: Applications to be a Study Site or a
Coordinating Center may be submitted by public 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, and family and/or consumer
operated organizations. Since CMHS seeks to study established consumer-
operated and traditional programs, both program entities must have been
operational for a minimum of 2 years at the time of the submission of
the study site application. Applicants may apply to be a Study Site or
a Coordinating Center, but not both.
Cooperative Agreements/Amounts: It is estimated that
approximately $5 million will be available to support approximately
eight (8) Study Site awards and one (1) Coordinating Center under this
GFA in FY 1998. The average award to support each Study Site is
expected to range from $400,000 to $600,000 in total costs
(direct+indirect) per year. The award to support the Coordinating
Center is expected to be in the range of $700,000 to $900,000 in total
costs (direct+indirect) per year. 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: William R. McKinnon, Ph.D., Community Support Programs Branch,
Division of Knowledge Development and Systems Change, Center for Mental
Health Services, Substance Abuse and Mental Health Services
Administration, 5600 Fishers Lane, Room 11C-22, Rockville, MD 20857,
(301) 443-3655, or Paolo del Vecchio, Office of External Liaison,
Center for Mental Health Services, Substance Abuse and Mental Health
Services Administration, 5600 Fishers Lane, Room 13C-103, Rockville, MD
20857, (301) 443-2619.
Grants Management Contact: For business management
assistance, contact: Stephen J. Hudak, Grants Management Specialist,
Division of Grants Management, OPS, Substance Abuse and Mental Health
Services Administration, 5600 Fishers Lane, Room 15C-05, 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.
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.
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Dated: January 11, 1998.
Richard Kopanda,
Executive Officer, SAMHSA.
[FR Doc. 98-1217 Filed 1-16-98; 8:45 am]
BILLING CODE 4162-20-P