[Federal Register Volume 62, Number 31 (Friday, February 14, 1997)]
[Notices]
[Pages 6974-6977]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-3713]


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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), 
Center for Substance Abuse Prevention (CSAP), and Center for Substance 
Abuse Treatment (CSAT) announce the availability of FY 1997 funds for 
Knowledge Development and Application cooperative agreements for the 
following activity. This activity, a collaborative effort of SAMHSA and 
The Casey Family Program, is discussed in more detail under Section 4 
of this notice. This notice is not a complete description of the 
activity; 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    number of      period  
                                                                            (million)      awards      (years)  
----------------------------------------------------------------------------------------------------------------
Starting Early Starting Smart...............................     04/17/97         $6.4           11            4
----------------------------------------------------------------------------------------------------------------

    Note: SAMHSA published notices of available funding 
opportunities in FY 1997 in the Federal Register (Vol. 62, No. 16) 
on Friday, January 24, 1997, and in (Vol. 62, No. 27) on Monday, 
February 10, 1997. It anticipates publishing additional notices of 
available funding opportunities 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 
Pub. L. 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: 202-512-1800).

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 in 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

[[Page 6975]]

all necessary forms and information, including any specific program 
review and award criteria.
    The PHS 5161-1 application form 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 the activity (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 deadline for receipt of applications is 
listed in the table above.
    Competing applications must be received by the indicated receipt 
date 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 in Section 4.
    Requests for information concerning business management issues 
should be directed to the grants management contact person identified 
in 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.
    <bullet> Application Deadline.
    <bullet> Purpose.
    <bullet> Priorities.
    <bullet> Eligible Applicants.
    <bullet> Grants/Cooperative Agreements/Amounts.
    <bullet> Catalog of Federal Domestic Assistance Number.
    <bullet> Contacts.
    <bullet> 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 1997 Substance Abuse and Mental Health Services 
Administration Activities
    4.1  Cooperative Agreements
    4.1.1  Cooperative Agreements for Integrating Mental Health and 
Substance Abuse Prevention and Treatment Services with Primary 
Health Care Service Setting or with Early Childhood Service 
Settings, for Children Ages Birth to 7 and their Families/Caregivers 
(Short Title: Starting Early Starting Smart)
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 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. As part of this 
reinvention effort, SAMHSA has also explored collaborating with other 
organizations which share our interest in funding the development of 
knowledge in which we share a mutual interest. In the instant case, 
SAMHSA is engaging in a limited collaborative effort with The Casey 
Family Program to fund, monitor, and evaluate the projects funded under 
this GFA. The Casey Family Program has provided a portion of the funds 
SAMHSA will use in making awards under this GFA. In addition, The Casey 
Family Program may decide to select several of the projects funded by 
this program to assist in supporting program operations beyond the life 
of Federal support. The selection of these grantees will be solely 
within The Casey Family Program's discretion.
    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 application or knowledge development and 
application projects. Applications seeking funding for

[[Page 6976]]

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 activity 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:
    <bullet> Potential significance of the proposed project;
    <bullet> Appropriateness of the applicant's proposed objectives to 
the goals of the specific program;
    <bullet> Adequacy and appropriateness of the proposed approach and 
activities;
    <bullet> Adequacy of available resources, such as facilities and 
equipment;
    <bullet> Qualifications and experience of the applicant 
organization, the project director, and other key personnel; and
    <bullet> 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:
    <bullet> 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 
Administration Activities

4.1  Cooperative Agreements

    A major 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.

4.1.1  Cooperative Agreements for Integrating Mental Health and 
Substance Abuse Prevention and Treatment Services With Primary Health 
Care Service Settings or With Early Childhood Service Settings, for 
Children Ages Birth to 7 and Their Families/Caregivers (Short Title: 
Starting Early Starting Smart)

    <bullet> Application Deadline: April 17, 1997
    <bullet> Purpose: Cooperative agreements will be awarded to support 
knowledge development and application (KDA) efforts to generate new 
knowledge about and test the effectiveness for children ages birth to 7 
and their families/caregivers, of integrating mental health and 
substance abuse prevention and treatment services (behavioral health 
services), with primary health care service settings and/or with early 
childhood service settings, and to synthesize the results of this 
effort, and compare it to the usual standard of community care.
    Cooperative agreements will be awarded for two kinds of 
applications: Knowledge Development Starting Early Starting Smart 
(SESS) sites and a data coordinating center.
    The primary goal of this program is to provide answers to the 
following questions:
    (1) Will the integration of behavioral health services with a 
primary health care or early childhood service site lead to higher 
rates of entry into prevention, early intervention or treatment of 
children/families identified as in need of behavioral health services 
as compared to children/families served in primary health care or early 
childhood service settings where no such integration or services takes 
place?
    (2) Will the integration of behavioral health services with a 
primary health care or early childhood service site promote and sustain 
measurable improvements (social, emotional, and cognitive) in children 
and families served, compared to children and families in primary 
health care or early childhood service settings where no such 
integration of services takes place?
    <bullet> Priorities: None.
    <bullet> Eligible Applicants: Applications for either SESS sites or 
the data coordinating center 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.
    Each SESS site proposal must include documentation regarding the 
existence of an infra-structure and two years of experience providing 
behavioral health and other relevant services to the target population.
    <bullet> Cooperative Agreements/Amounts: Approximately $5.9 million 
will be available to support approximately 10 SESS site awards and 
$500,000 to support one data coordinating center award under this GFA 
in FY 1997. Actual funding levels will depend upon the availability of 
appropriated funds.
    <bullet> Catalog of Federal Domestic Assistance Number: 93.230
    <bullet> Program Contact: For programmatic or technical assistance, 
contact:

Rose C. Kittrell, MSW, Starting Early--Starting Smart, Early Childhood 
Collaboration, Substance Abuse and Mental health Services 
Administration, Rockwall II, Room 1075, 5600 Fishers Lane, Rockville, 
MD 20857, (301) 443-0354 or (301) 443-9110.
    <bullet> Grants Management Contact: For business management 
assistance, contact: Mary Lou Dent, Division of Grants Management, OPS, 
Substance Abuse and Mental Health Services Administration, Rockwall II, 
Room 640, 5600 Fishers Lane, Rockville, MD 20857, (301) 443-5702.
    <bullet> Application Kits: Application kits are available from: 
National Clearinghouse for Alcohol and Drug Information, PO Box 2345, 
Rockville, MD 20847-2345, 1-800-729-6686; 1-800-487-4889 TDD, Via 
Internet: www.health.org (go into Forum Section of the web site, click 
on ``CSAP FY 97 grant opportunities'').
    Visually impaired: disk versions of the application may be 
requested.

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

[[Page 6977]]

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 the 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, 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.
    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.

117. Executive Order 12372

    Applications submitted in response to the FY 1997 activity listed 
above are subject to the intergovernmental review requirements of 
Executive Order 12372, as implemented through DHHS regulations at 45 
CFR part 100. E.O. 12372 sets up a system for State and local 
government review of applications for Federal financial assistance. 
Applicants (other than Federally recognized Indian tribal governments) 
should contact the State's Single Point of Contact (SPOC) as early as 
possible to alert them to the prospective application(s) and to receive 
any necessary instructions on the State's review process. For proposed 
projects serving more than one State, the applicant is advised to 
contact the SPOC of each affected State. A current listing of SPOCs is 
included in the application guidance materials. The SPOC should send 
any State review process recommendations directly to: Office of 
Extramural Activities Review, Substance Abuse and Mental Health 
Services Administration, Parklawn Building, Room 17-89, 5600 Fishers 
Lane, Rockville, Maryland 20857.
    The due date for State review process recommendations is no later 
than 60 days after the specified deadline date for the receipt of 
applications. SAMHSA does not guarantee to accommodate or explain SPOC 
comments that are received after the 60-day cut-off.

    Dated: February 10, 1997.
Richard Kopanda,
Executive Officer, Substance Abuse and Mental Health Administration.
[FR Doc. 97-3713 Filed 2-13-97; 8:45 am]
BILLING CODE 4162-20-P