Subject: RFA MH-9l-13 NIH Guide 5/3/9l
From: Dot Baker <[email-masked]>
To: [email-masked]
Date: Tue, 30 Apr 91 12:54 EST

Hi Paul,
   I was wrong.  There will be seven transmissions today for posting
to the listserver.   Please post this one as:
     RFAMH-91-13.910503
Thanks.   dottie
 ---------------------------- Text of forwarded message -----------------------
 
$$XID RFA MH9113 MH-91-13 P1O1 *****************************************
 
STATE SERVICE SYSTEMS IMPROVEMENT THROUGH
CONSUMER AND FAMILY SUPPORT ACTIVITIES
 
RFA:  MH-91-13
 
P.T. 34; K.W. 0730050, 0715095, 0715129, 0403004
 
National Institute of Mental Health
 
Application Receipt Date:  June 24, 1991
 
PURPOSE
 
Since its inception, the Community Support Program
(CSP) of the National Institute of Mental Health (NIMH)
has supported a variety of initiatives to enhance the
involvement of consumers and family members in the
public mental health system and to increase the number
of consumer self-help and family support groups.  These
efforts have been reinforced by recent statutory
requirements for consumer and family roles in planning
community-based services, for example through the
Advisory Councils mandated under P.L. 99-660, The State
Comprehensive Mental Health Services Plan Act of 1987.
 
To support the developing role of consumers and family
members in service delivery and systems planning, NIMH
is inviting applications under this Request for
Applications (RFA) for three-year grants to demonstrate and
evaluate service system improvement strategies that
integrate consumers and family members into the
planning and provision of mental health and support
services at State and local levels.
 
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.  This RFA, "State
Service Systems Improvement Through Consumer and Family Support
Activities," is related to the priority area of mental health.
Potential applicants may obtain a copy of "Healthy People 2000" (Full
Report:  Stock No. 017-001-00474-0) or "Healthy People 2000" (Summary
Report:  Stock No. 017-001-00473-1) through the Superintendent of
Documents, Government Printing Office, Washington, D.C. 20402-9325
(telephone 202-783-3238).
 
NIMH intends that the activities supported in this
effort be relevant to the State's comprehensive mental
health service plan submitted to NIMH for review in
accordance with the requirements of Title V of P.L. 99-
660 and its subsequent amendments, and to the required
involvement of consumers and family members on the
Advisory Councils.
 
POPULATION OF CONCERN
 
The population of concern for CSP grants includes
individuals 18 years and over with a severe and
persistent mental disorders that seriously impair
functioning in primary aspects of daily living, such as
interpersonal relations, living arrangements, and
employment.  Applicants should pay attention to the
unique needs and special concerns of racial and ethnic
minorities and women.
 
SPECIAL INSTRUCTIONS TO APPLICANTS REGARDING IMPLEMENTATION OF
NIH POLICIES CONCERNING INCLUSION OF WOMEN AND MINORITIES IN
CLINICAL RESEARCH STUDY POPULATIONS
 
NIH and ADAMHA policy is that applicants for NIH/ADAMHA clinical
research grants and cooperative agreements will be required to
include minorities and women in study populations so that
research findings can be of benefit to all persons at risk of the
disease, disorder or condition under study; special emphasis
should be placed on the need for inclusion of minorities and
women in studies of diseases, disorders and conditions which
disproportionately affect them.  This policy is intended to apply
to males and females of all ages.  If women or minorities are
excluded or inadequately represented in clinical research,
particularly in proposed population-based studies, a clear
compelling rationale should be provided.
 
The composition of the proposed study population must be
described in terms of gender and racial/ethnic group.  In
addition, gender and racial/ethnic issues should be addressed in
developing a research design and sample size appropriate for the
scientific objectives of the study.  This information should be
included in the form PHS 398 in Section 2, A-D of the Research
Plan AND summarized in Section 2, E, Human Subjects.
Applicants/offerors are urged to assess carefully the feasibility
of including the broadest possible representation of minority
groups.  However, NIH recognizes that it may not be feasible or
appropriate in all research projects to include representation of
the full array of United States racial/ethnic minority
populations (i.e., Native Americans (including American Indians
or Alaskan Natives), Asian/Pacific Islanders, Blacks, Hispanics).
 
The rationale for studies on single minority population groups
should be provided.
 
For the purpose of this policy, clinical research includes human
biomedical and behavioral studies of etiology, epidemiology,
prevention (and preventive strategies), diagnosis, or treatment
of diseases, disorders or conditions, including but not limited to
clinical trials.
 
The usual NIH policies concerning research on human subjects also
apply.  Basic research or clinical studies in which human tissues
cannot be identified or linked to individuals are excluded.
However, every effort should be made to include human tissues
from women and racial/ethnic minorities when it is important to
apply the results of the study broadly, and this should be
addressed by applicants.
 
For foreign awards, the policy on inclusion of women applies
fully; since the definition of minority differs in other
countries, the applicant must discuss the relevance of research
involving foreign population groups to the United States'
populations, including minorities.
 
If the required information is not contained within the
application, the application will be returned.
 
Peer reviewers will address specifically whether the research
plan in the application conforms to these policies.  If the
representation of women or minorities in a study design is
inadequate to answer the scientific question(s) addressed AND the
justification for the selected study population is inadequate, it
will be considered a scientific weakness or deficiency in the
study design and will be reflected in assigning the priority
score to the application.
 
All applications for clinical research submitted to NIH are
required to address these policies.  NIH funding components will
not award grants or cooperative agreements that do not comply
with these policies.
 
ELIGIBILITY
 
Only mental health authorities in States and
Territories that do not currently have a CSP State
Service System Improvement Demonstration Grant or are
in the final year of a CSP State Service System
Improvement Demonstration Grant for general community
support development activities are eligible to apply
for these grants.  Each State and Territory may submit
only one application.
 
PROGRAM GOALS
 
NIMH encourages the demonstration and evaluation of
strategies that are directed toward the following
programmatic goals:
 
o  Integrating primary consumers and family members
into State and local service delivery, systems
planning, decision-making, and research activities in
order to develop mental health and support services
that are considered responsive to consumer and family
needs and preferences;
 
o  Improving linkages between consumer self-help and
family support groups and the formal community support,
treatment, and rehabilitation service systems;
 
o  Increasing the effectiveness of consumers and family
members in identifying and fostering needed system,
program, and service improvements;
 
o  Fostering participation of minority individuals in
consumer self-help and family support groups;
 
o  Increasing opportunities for consumer employment
within the formal service system.
 
PROJECT ACTIVITIES
 
The following are examples of supportable project
activities:
 
o  Demonstrating and evaluating approaches to support
the establishment or ongoing maintenance of consumer
self-help and family support activities (e.g.,
providing start-up funding or ongoing funding,
staffing, office space, supplies, travel).
 
o  Assessing the effectiveness of providing training
and educational opportunities for consumers and family
members (areas for assistance could include leadership
training; educating families on mental illness;
informing families and consumers on the organization
and delivery of mental health services in the
applicant's State or Territory; providing information
on state-of-the-art service approaches; disseminating
information on starting, operating, and evaluating
self-help groups; providing support to attend key
conferences and meetings; and training families and
consumers on how to use data and research outcomes to
improve mental health service systems).
 
o  Assessing effective approaches for recruiting and
training consumers and family members to participate on
State and local mental health planning councils,
planning committees, governing boards, and task forces.
etc.
 
o  Developing and evaluating a program to hire and
train consumers for employment at the State level or in
local programs in various positions such as peer
support counselors, case management aides, research
assistants, data technicians, computer programmers, and
word processors.
 
o  Evaluating the impact of using consumers at in-
service training sessions for mental health program
staff in order to educate them on the consumer
perspective of having a mental disorder and the
consumer experience in the mental health system.
 
o  Conducting statewide surveys to determine consumer
and family needs and preferences with respect to mental
health and supportive services.
 
NIMH funds may not be used for lobbying activities to
influence Federal legislation.
 
APPLICATION PROCEDURES
 
All applicants must use form PHS-5161 (revised 3/89).
The title of the announcement, "CSP State Systems
Improvement, RFA MH-91-13," must be typed in Item 10
on the face page of the application.
The
descriptive title of the application should be entered
in Item 11 but should not exceed 56 typewritten spaces.
Applications must be complete and contain all
information needed for initial and Advisory Council
review.  No subsequent addenda will be accepted unless
specifically requested by the Science Review
Administrator of the review committee.  No site visits
will be made.
 
Application kits are available from:
 
Grants Management Branch
National Institute of Mental Health
Parklawn Building, Room 7C-15
5600 Fishers Lane
Rockville, MD  20857
Telephone:  (301) 443-4414
 
The original and two (2) permanent, legible copies of
the completed application must be received (not
postmarked) by the close of business June 24, 1991.
Applications must be sent to:
 
Division of Research Grants
National Institutes of Health
Westwood Building, Room 240
Bethesda, MD  20892**
 
To facilitate the timely review of your application, it
is also requested that one additional copy of the
application be sent directly to:
 
Ms. Edna M. Hardy-Hill
Division of Extramural Activities
National Institute of Mental Health
5600 Fishers Lane, Room 9C-15
Rockville, MD  20857
 
The mailing envelope (including that provided by an
express carrier) for this additional copy must be
clearly marked, "RFA MH-91-13, CSP Demonstrations,
SSIP."
 
APPLICATION REQUIREMENTS
 
The application must be written in a manner that is
self-explanatory to objective, outside reviewers who
may not be familiar with prior related activities of
the applicant.  The application must be as brief as
possible.  The narrative is limited to 20 single-spaced
pages and must contain the necessary information for
reviewers to understand the project.  Appendices may be
attached but must not be used to merely extend the
narrative; extensive appendices are discouraged.  It is
important that the relationship between the proposed
project and ongoing State and/or local activities be
clearly explained.  It is also important that the
activities that are specific to the proposed project be
clearly identified.
 
To ensure that sufficient information is included for
technical merit review, please follow the instructions
for Program Narrative on page 16 of form PHS-5161.  In
addition, include the following:
 
o  Project abstract, which must not exceed one-half
of a single-spaced, typewritten page
 
o  Summary description of the proposed project and
discussion of the rationale for the project, including
factors such as gaps in consumer and family
involvement; relationship to the State's comprehensive
mental health services P.L. 99-660 plan and Advisory
Council, review of the literature and other relevant
knowledge that provides justification for the proposed
project; and previous activities and accomplishments
that the proposed project builds upon
 
o  Discussion of involvement of primary consumers and
family members in planning the project
 
o  Management plan that identifies the organizational
location for the project, describes how the project
will be managed, and explains the roles and
responsibilities of consumers and family members in
managing the project
 
o  Evidence of support from all organizations and
entities to be involved in the project
 
o  If the State proposes to fund single or multiple
projects through a Request for Proposals (RFP) process,
inclusion of the rationale for selecting this approach,
copy of the RFP, list of eligible applicants, and
description of the advertisement and review process
 
o  Evaluation plan that describes who will conduct the
evaluation of the project (should be an objective,
outside evaluator), how State evaluation staff will be
involved, and how the project will be evaluated
 
o  In addition to the budget information requested in
form PHS-5161, for the funds to be requested in this
application, a detailed justification for each line item of the
budget for each year of the project
 
o  Identification of all key staff and consultants who
will have major roles in implementing or evaluating the
project, including position descriptions and resumes
 
CLIENT SAFEGUARDS
 
If the project will be collecting identifiable
information about individual clients or project staff
for project evaluation purposes, assurances for
protecting client and staff confidentiality and
anonymity must be included.
 
TERMS AND CONDITIONS OF SUPPORT
 
Period of Support
 
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.
 
In Fiscal Year 1991, it is estimated that approximately
$1 million will be available to support approximately
10 projects.  The expected average amount of an award,
for direct costs, is estimated to be $100,000 per year.
However, the amount of funding available will depend on
appropriated funds and program priorities at the time
of award.
 
Allowable Costs
 
Applicants must include the following agreement in
their applications:  "(Applicant) agrees that not more
than 10 percent of any resultant grant award will be
expended for administrative purposes."
 
Grants are intended to assist in meeting the costs of
planning, developing, and implementing activities to
support attainment of the project objectives.
Applicants are expected to determine the costs of the
project for the proposed project period.  Grant funds
are to be additive, not substitutive; they are not to
be used to replace existing resources.
 
Grant funds may be used for expenses clearly related
and necessary to carry out the proposed project,
including both direct and indirect costs that are
specifically identified with the proposed project.
Grant funds may be used to obtain consultation (e.g.,
from primary consumers, family members, community
organizers, evaluators, and trainers) related to project
activities.  States are expected to provide in-kind
support for the staffing necessary to implement the
activities under the approved project.  States may,
however, request grant support for salaries, wages, and
fringe benefits for non-State agency staff involved in
project-related activities who are consumers or family
members.
 
Other items of expenditures, for which applicants may
request grant support include:
 
o  Travel and training directly related to carrying out
activities under the approved project (each grantee
will be asked to participate, along with a consumer and
a family leader, in one annual technical
assistance/problem-solving meeting to be held in the
Washington, D.C. area and to send a minimum of five
consumers to the NIMH-supported National Alternatives
Conferences);
 
o  Supplies, communications, and rental of space
directly related to approved project activities;
 
o  Contracts to consumer or family organizations or
programs and to consultants (preferably consumers or
family members) as necessary for performance of
activities under the approved project;
 
o  Other such items necessary to support project
activities, as approved by NIMH.
 
REVIEW PROCEDURES
 
Applications received under this announcement will be
assigned to an Initial Review Group (IRG) in accordance
with established PHS Referral Guidelines.  The IRGs,
consisting primarily of non-Federal scientific and
technical experts, will review the applications for
scientific and technical merit.  Notification of the
review recommendations will be sent to the applicant
after the initial review.  Applications will receive a
second-level review by the National Mental Health
Advisory Council whose review may be based on policy
considerations as well as technical merit.  Only
applications recommended for approval by the Council
may be considered for funding.
 
Applicants must comply with the intergovernmental
review requirements of Executive Order 12372, as
implemented through DHHS regulations at 45 CFR Part
100.  Through this process, States, in consultation
with local governments, are provided the opportunity to
review and comment on applications for Federal
financial assistance.  Applicants should contact the
State's single point of contact (SPOC) as early as
possible to determine the applicable procedure.  A
current listing of SPOCs will be enclosed with the
application kit.  SPOC comments should be forwarded to
Neal Brown, Chief, Community Support Section, System
Development and Community Support Branch, Division of
Applied and Services Research, National Institute of
Mental Health, Parklawn Building, Room 11C-22, 5600
Fishers Lane, Rockville, Maryland 20857, by August 1,
1991.  NIMH does not guarantee to accommodate or
explain comments from the SPOC after August 1, 1991.
 
REVIEW CRITERIA
 
Each grant application is evaluated on its own merits.
The following are the review criteria that will be
used:
 
o  Quality and clarity of the description of the
proposed project, rationale, relationship to the State
comprehensive mental health P.L. 99-660 services plan,
relationship to previous activities and
accomplishments, and potential benefits;
 
o  Evidence that the project was planned by and has the
endorsement of the major consumer and family support
organizations in the State;
 
o  Relevance of the project to the goals of the
announcement;
 
o  Quality, feasibility, and thoroughness of the
project plan;
 
o  Quality of the evaluation plan;
 
o  Capability and experience of the project director,
consultants, and other key staff proposed for the
project;
 
o  Quality of the management plan;
 
o  Potential of the project to empower consumers and
family members
 
o  Attention to racial, ethnic, and minority population
issues and concerns;
 
o  Appropriateness of budget estimates for the proposed
project activities.
 
RECEIPT AND REVIEW SCHEDULE
 
Receipt of                       Council     Earliest
Applications   Initial Review    Review      Start Date
 
June 24, 1991     July 1991      Sept. 1991  Sept. 1991
 
Applications received after the above receipt date will
be returned to the applicant without review.
 
AWARD CRITERIA
 
In the decision to fund approved applications, the
following criteria will be considered:
 
o  Quality of the proposed project as determined by the
review process;
 
o  Consistency of the proposed initiative with the
State's mental health service plan submitted to NIMH in
October 1989, in accordance with the requirements of
Title V of Public Law 99-660;
 
o  Geographical location in order to include States
from all sectors of the Nation to the extent possible;
 
o  Availability of funds.
 
FOR FURTHER INFORMATION
 
Neal Brown, Chief
Community Support Section
System Development and Community Support Branch
Division of Applied and Services Research
National Institute of Mental Health
Parklawn Building, Room 11C-22
5600 Fishers Lane
Rockville, MD  20857
Telephone:  (301) 443-3653
 
Inquiries pertaining to grants management should be
directed to:
 
Steven Hudak
Chief, Grants Management Section
Grants Management Branch
National Institute of Mental Health
Parklawn Building, Room 7C-23
Rockville, MD  20857
Telephone:  (301) 443-4456
 
The Catalog of
Federal Domestic Assistance Number is 93.125.
Grants must be administered in accordance with the PHS
Grants Policy Statement (revised October 1, 1990).
Federal regulations, 45 CFR Part 92, are applicable to
these awards, and
under the authority of Section 520 of the Public Health Service
Act, as amended by P.L. 101-93.