[Federal Register Volume 62, Number 16 (Friday, January 24, 1997)]
[Notices]
[Pages 3707-3712]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-1721]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Substance Abuse and Mental Health Services Administration
Fiscal Year (FY) 1997 Funding Opportunities for Knowledge
Development and Application Cooperative Agreements
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's (SAMHSA) Center for Mental Health Services (CMHS) and
Center for Substance Abuse Treatment (CSAT) announce the availability
of FY 1997 funds for Knowledge Development and Application cooperative
agreements for the following activities. These activities are discussed
in more detail under Section 4 of this notice.
[[Page 3708]]
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Estimated
Application funds Estimated No. Project period
Activity deadline available (in of awards (years)
millions)
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HIV/AIDS High-Risk Behavior..................... 03/28/97 $2.0 9 4
Cannabis Youth Treat-ments...................... 03/28/97 1.4 3 3
Housing Initiative.............................. 03/28/97 2.4 12 3
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Note: It is anticipated that additional notices of available funding opportunities in FY 1997 will be published
by SAMHSA in the coming weeks.
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 1997 funds for activities
discussed in this announcement were appropriated by the Congress under
Public Law No. 104-208. 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: 202-783-3238).
GENERAL INSTRUCTIONS: Applicants for cooperative agreements must
use application form PHS 5161-1 (Rev. 5/96; OMB No. 0937-0189). The
application kit contains the Guidance for Applicants (GFA) (complete
programmatic guidance and instructions for preparing and submitting
applications) and the PHS 5161-1 which includes Standard Form 424 (Face
Page). 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 is also available electronically via SAMHSA's World
Wide Web Home Page (address: http://www.samhsa.gov). Click on SAMHSA
Funding Opportunities for instructions. You can also click on the
address of the forms distribution Web Page for direct access.
The full text of each of the activities (i.e., the GFA) described
in Section 4 is available electronically via the following:
SAMHSA's World Wide Web Home Page (address: http://www.samhsa.gov)
and SAMHSA's Bulletin Board (800-424-2294 or 301-443-0040).
APPLICATION SUBMISSION: Applications must be submitted to: SAMHSA
Programs, Division of Research Grants, 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 categories of cooperative agreements.
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
Cooperative Agreements/Amounts
Catalog of Federal Domestic Assistance Number
Program Contact
Grants Management Contact
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 Approved Applications
4. FY 1997 Substance Abuse and Mental Health Services Activities
4.1 Cooperative Agreements
4.1.1 Cooperative Agreements for an HIV/AIDS High-Risk Behavior
Prevention/Intervention Model for Young Adults/Adolescents and Women
4.1.2 Cooperative Agreements for a Multisite Study of the
Effectiveness of Treatment for Cannabis (Marijuana) Dependent Youth
4.1.3 Cooperative Agreements to Evaluate Housing Approaches for
Persons with Serious Mental Illness
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
[[Page 3709]]
activities. As a result of that process, SAMHSA is moving 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.
The agency has transformed its demonstration grant programs from
service-delivery projects to knowledge acquisition and application. For
FY 1997, SAMHSA has developed an agenda of new programs designed to
answer specific important policy-relevant questions. These questions,
specified in this and subsequent Notices of Funding Availability, are
designed to provide critical information to improve the Nation's mental
health and substance abuse treatment and prevention services.
The 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 1997 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.
2. Special Concerns
SAMHSA's FY 1997 Knowledge Development and Application activities
discussed below do not provide funds for mental health and substance
abuse treatment and prevention services except for costs required by
the particular activity's study design. Applicants are required to
propose true knowledge acquisition studies. Applications seeking
funding for services projects 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 Approved 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 1997 Substance Abuse and Mental Health Services
Activities
4.1 Cooperative Agreements
Three major activities for SAMHSA cooperative agreement programs
are discussed below. Substantive Federal programmatic involvement is
required in cooperative agreement programs. Federal involvement will
include planning, guidance, coordination, and participating in
programmatic activities (e.g., participation in publication of findings
and on steering committees). Periodic meetings, conferences and/or
communications with the award recipients may be held to review mutually
agreed-upon goals and objectives and to assess progress. Additional
details on the degree of Federal programmatic involvement will be
included in the application guidance materials.
4.1.1 Cooperative Agreements for an HIV/AIDS High-Risk Behavior
Prevention/Intervention Model for Young Adults/Adolescents and Women
Application Deadline: March 28, 1997
Purpose: Cooperative agreements will be awarded to support study
sites and a coordinating center that will develop and test, through a
series of pilot studies, a model prevention/intervention approach to
encourage and enable (1) adolescents/young adults (ages 15-24)
(hereafter referred to as adolescents) or (2) women (age 25 and older),
who engage in high-risk behaviors associated with human
immunodeficiency virus/acquired immune deficiency syndrome (HIV/AIDS)
transmission, to change these behaviors.
The primary goal of this program is to identify the key elements/
factors/determinants that are both necessary and sufficient conditions
in implementing and evaluating a community-focused prevention/
intervention protocol to encourage and enable individuals,
specifically, adolescents and women, who are at risk for HIV/AIDS, to
reduce the incidence of high-risk behaviors.
A second goal is to develop and test reliable and valid outcome
measures, at both the individual and community level, to assess the
effectiveness of the intervention in the target/subgroup population(s).
Priorities: Applicants for study sites must propose to study one,
and only one, of the two primary target populations, i.e., adolescents
or women. Applicants who wish to study more than one of the two primary
target populations must submit a separate complete application for each
primary
[[Page 3710]]
target population group to be studied. Applicants must also be willing
to follow the common intervention, implementation, and evaluation/
research protocols developed jointly by the study sites and
coordinating center.
Eligible Applicants: Applications may be submitted by units of
State or local government, and by private domestic nonprofit and for-
profit organizations such as community-based organizations,
universities, colleges, hospitals, and family and/or consumer operated
organizations.
Cooperative Agreements/Amounts: Approximately $1.6 million will be
available to support approximately 8 to 10 study site awards and
$400,000 for one (1) coordinating center award under this GFA in FY
1997. Actual funding levels will depend upon the availability of
appropriated funds.
Catalog of Federal Domestic Assistance Number: 93.230
Program Contact: For programmatic or technical assistance contact:
Barbara J. Silver, Ph.D., Director, HIV/AIDS Provider Education
Program, Center for Mental Health Services, Substance Abuse and Mental
Health Services, Administration, Parklawn Building, Room 15-81, 5600
Fishers Lane, Rockville, MD 20857, (301) 443-7817.
Grants Management Contact: For business management assistance,
contact: LouEllen Rice, Grants Management Officer, Substance Abuse and
Mental Health Services, Administration, Parklawn Building, Room Number
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, FAX: (301) 984-8796.
The full text of the GFA only is available electronically via KEN's
Bulletin Board: (800) 790-2647 or its Web Site: http://
www.mentalhealth.org/
4.1.2 Cooperative Agreements For A Multisite Study Of The Effectiveness
Of Treatment For Cannabis (Marijuana) Dependent Youth
Application Deadline: March 28, 1997.
Purpose: The purpose of this program is to compare the
effectiveness of a variety of interventions and treatments for
adolescents (ages 12-18) meeting the criteria for cannabis dependence
as currently defined by DSM-IV. It is likely that while some of the
young people will seek treatment on their own, others will do so only
under pressure from parents, schools or other agencies (e.g., juvenile
justice agencies).
Applications are solicited for treatment sites and a coordinating
center.
This cooperative agreement program is intended to provide answers
to the following questions:
1. Are there existing interventions for cannabis abusing
adolescents that produce good outcomes both during treatment and for
significant periods of time post-treatment?
2. Are there differential levels of effectiveness (in terms of
post-treatment outcomes) among the models of intervention? If so, for
which sub-populations of adolescents do the intervention models appear
to be most effective? In particular, do adolescent girls respond
differently to specific intervention models than do adolescent boys?
3. Are successful interventions, (in terms of decreased drug use)
associated with better cognition/academic performance, or social
functioning?
4. What are the costs and cost-effectiveness associated with
treatments and outcomes?
5. Is there a relationship between types and costs of treatment
services and outcome?
Priorities: The target population for this GFA is adolescents
between the ages of 12 and 18 years old who meet DSM-IV criteria for
cannabis abuse or dependence, but do not meet criteria for heroin,
amphetamine or cocaine dependence. Appropriate interventions for
marijuana dependent adolescents are not well researched. To advance
knowledge in this area, CSAT will consider funding experimental and
quasi-experimental designs. While CSAT prefers to sponsor clinically
and ethically justifiable studies using random assignment to compare
two or more treatment approaches, carefully conceived quasi-
experimental studies comparing distinct treatment approaches will be
considered. Minimum requirements for quasi-experimental studies are
standard assessments at treatment entry, treatment exit, and six and
twelve month follow-up, and a comparison across two or more distinct
treatments, with statistical adjustments for between-group differences
at treatment entry. No studies sponsored through this GFA will employ
assignment to no-treatment or deferred-treatment control groups.
Applicants must pay particular attention to both the gender and
ethnicity of the proposed participant pool, so that treatment effects
related to these dimensions may be determined.
Eligible Applicants: Applications may be submitted by
organizations, such as units of State or local governments and by
domestic private for-profit and not-for-profit organizations such as
community-based organizations, universities, colleges, and hospitals.
Cooperative Agreements/Amounts: It is estimated that approximately
$1.4 million will be available to support up to two treatment sites at
approximately $425,000 each and a coordinating center at approximately
$550,000 under this GFA in FY 1997. 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:
Ms. Jean Donaldson, Division of Practice and Systems Development,
Clinical Interventions Branch, Center for Substance Abuse Treatment,
Substance Abuse and Mental Health Services, Administration, Rockwall
II, 9th Floor, (301) 443-6259.
Grants Management Contact: For business management assistance,
contact: Mrs. Peggy Jones, Grants Management Specialist, Substance
Abuse and Mental Health Services, Administration, Rockwall II, 9th
Floor, (301) 443-9666.
The mailing address for both of the individuals listed above is:
5600 Fishers Lane, Rockville, Maryland 20857.
Application Kits: Application kits are available from: National
Clearinghouse for Alcohol and Drug Information, P. O. Box 2345,
Rockville, Maryland 20847-2345, (800) 729-6686.
4.1.3 Cooperative Agreements to Evaluate Housing Approaches for
Persons with Serious Mental Illness
Application Deadline: March 28, 1997.
Purpose: Cooperative agreements will be awarded to conduct an
evaluation study that examines the effectiveness of different housing
approaches for persons with serious mental illness. The program is
divided into two phases. During Phase 1, study site grantees will be
required to conduct a process evaluation of at least two distinctly
different and fully operational housing approaches and to design an
outcome evaluation that will compare the effectiveness of the different
housing approaches. In addition, both study site and coordinating
center grantees will collaborate in designing a cross-site study that
includes developing a common data protocol that will permit an
assessment of the different housing approaches that will be evaluated
by the individual study sites during the second
[[Page 3711]]
phase. Continuation of study site grantees for Phase 2 will be based on
an assessment of the product from their Phase 1 process evaluation and
their plan for implementation of their individual site outcome
evaluation. The coordinating center will not be subject to a
competitive review at the end of Phase 1.
During Phase 2, study site grantees will implement an outcome
evaluation of the housing approaches described during Phase 1 and
participate with the coordinating center in conducting the cross-site
study.
The primary goal of this program is: to describe the major
components of different housing approaches that include provision of
treatment and supports to individuals with serious mental illness; to
develop a common data collection protocol across individual study sites
so as to evaluate the effectiveness of different housing approaches;
and to conduct both cross-site and individual-site evaluations that
assess the impact of the housing approaches on residential tenure,
level of functioning, quality of life, satisfaction, service
utilization, consumer perception of service quality, independence, and
cost.
The major questions to be addressed by this program are the
following:
1. What are the major differences and similarities between and
across housing approaches for individuals with serious mental illnesses
in their organizational structure, implementation, staffing, consumer
characteristics, array and intensity of services and supports provided,
quality of services and housing, cost, and relationships to the larger
housing and service systems?
2. Is a supported housing approach more effective than a housing
approach that is based on the linear residential continuum, in helping
people with serious mental illness achieve residential tenure, improved
level of functioning, quality of life and independence?
Priorities: Study site applicants are required to submit study
designs for a process and outcome evaluation of two or more housing
approaches that have been fully operational for at least 2 years. One
of the housing approaches under study must be a supported housing
approach. Applicants must also be willing to follow a common protocol
for implementing a cross-site study.
Eligible Applicants: Applications to be a study site or the
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. Applicants may apply to be either a study site
or a coordinating center, but not both.
Cooperative Agreements/Amounts: It is estimated that approximately
$2.0 million will be available to support approximately eleven (11)
study site awards under this GFA in FY 1997, and that approximately
$2.0 million will be available to support up to eight (8) competing
continuation awards under this GFA in FY 1998 and 1999. It is
anticipated that up to $180,000 will be available to support each study
site in year one. It is anticipated that up to $250,000 will be
available to support each study site approved for continuation in years
two and three.
It is anticipated that up to $400,000 per year will be available in
years one through three to support the coordinating center and up to
$250,000 will be available in year four to support the coordinating
center.
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:
Lynn Aronson, M.S.
For evaluation issues contact: Frances L. Randolph, Dr. P.H.
The mailing address for these individuals is: Homeless 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-05, Rockville, MD 20857,
(301) 443-3706.
Grants Management Contact: For business management assistance,
contact: Stephen J. Hudak, Grants Management Specialist, Substance
Abuse and Mental Health Services, Administration, 5600 Fishers Lane,
Room 15C-05, Rockville, MD 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, FAX: (301) 984-8796.
The full text of the GFA only is available electronically via KEN's
Bulletin Board: (800) 790-2647 or its Web Site: http://
www.mentalhealth.org/
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 1997
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.
Specific application guidance materials may include more detailed
guidance as to how a Center will implement SAMHSA's policy on promoting
the non-use of tobacco.
7. Executive Order 12372
Applications submitted in response to all FY 1997 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.
[[Page 3712]]
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: January 20, 1997.
Richard Kopanda,
Executive Officer, SAMHSA.
[FR Doc. 97-1721 Filed 1-23-97; 8:45 am]
BILLING CODE 4162-20-P
