[Federal Register Volume 59, Number 57 (Thursday, March 24, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-6863]


[[Page Unknown]]

[Federal Register: March 24, 1994]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES
RIN 0905-ZA22

 

Substance Abuse Prevention Demonstration Grants for High Risk 
Youth Populations

AGENCY: Center for Substance Abuse Prevention, Substance Abuse and 
Mental Health Services Administration (SAMHSA), HHS.

ACTION: Availability of funds and request for applications.

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SUMMARY: The Center for Substance Abuse Prevention (CSAP) announces the 
availability of support for projects that demonstrate and evaluate 
comprehensive strategies to prevent and/or reduce the use of alcohol, 
tobacco, and other drugs (ATOD), including inhalants and steroids, 
among youth at high risk for such behaviors.
    Since its inception, an important component of CSAP's mission has 
been to direct its efforts toward youth at high risk for using ATOD. To 
this end, CSAP has funded a number of projects to demonstrate the 
effectiveness of various preventive interventions to reduce the use of 
ATOD, and to change the behavior and attitudes of high risk youth about 
ATOD. In this Announcement, four related but distinct efforts (program 
priority areas) are proposed:
     High Risk Youth (Module A)
     Female Adolescents (Module B)
     Alcohol and Other Drug-Related Violence Among High Risk 
Youth (Module C)
     Replications of Model Programs for the Prevention of 
Alcohol, Tobacco, and Other Drug (ATOD) use Among High Risk Youth 
(Cooperative Agreements) (Module D)
    It should be noted that support for three of these program priority 
areas (High Risk Youth, Female Adolescents, and AOD-Related Violence 
Among High Risk Youth) will be in the form of prevention demonstration 
grants, while the fourth (Replications) will provide support for 
cooperative agreements. Compared with demonstration grant programs, 
cooperative agreements involve substantially greater involvement on the 
part of the Federal funding agency in the conduct of the project.
    Any single project for which support is requested under this 
announcement may be addressed to only one of the above program priority 
areas. Applicants seeking support for more than one project, whether in 
the same priority area or in different priority areas, must submit a 
separate and different application for each project.
    Eligibility: Applications may be submitted by public organizations, 
such as units of State or local governments or eligible agencies of the 
Federal government, and by private nonprofit organizations such as 
community-based organizations, universities, colleges, and hospitals.
    In accordance with section 517(b)(3) of the Public Health Service 
Act, applications from community-based organizations will be given 
special consideration by CSAP in its award decision-making process.
    Target Population: High Risk Youth: Youth who experience multiple 
risk factors are considered to be at high risk for alcohol and other 
drug use. Section 517(g) of the Public Health Service (PHS) Act 
identifies the following groups of youth who are likely to be at high 
risk.
    Youth under the age of 21 who: (a) Are children of substance 
abusers;
    (b) Are victims of physical, sexual, or psychological abuse;
    (c) Have experienced chronic failure in school;
    (d) Have dropped out of school;
    (e) Have become pregnant;
    (f) Are economically disadvantaged;
    (g) Have committed a violent or delinquent act;
    (h) Are experiencing mental health problems;
    (i) Have attempted suicide;
    (j) Have experienced long-term physical pain due to injury.
    The PHS Act (in section 517(b)(1)) specifies that priority be given 
to substance abuse prevention projects directed at children of 
substance abusers, latchkey children, children at risk of abuse or 
neglect, preschool children eligible for services under the Head Start 
Act, children at risk of dropping out of school, children at risk of 
becoming adolescent parents, and children who do not attend school and 
who are at risk of being unemployed. CSAP will therefore give special 
consideration in its award decision-making process to projects 
addressing these populations and their prevention needs.
    Conceptual Framework: Based on research and knowledge gleaned from 
CSAP's previous demonstration projects, CSAP expects applicants to 
propose a comprehensive prevention approach that is conceptualized, 
implemented, and evaluated in a logical manner. To ensure 
comprehensiveness, CSAP strongly recommends that applicants use a risk/
protective factor approach, an approach that delineates factors that 
appear to be correlated with the use of ATOD among children and youth 
(risk factors) and that appear to protect youth from ATOD use 
(protective factors). These risk and protective factors can be 
organized according to six major life areas or ``domains''--the 
individual, family, school, peer group, neighborhood/community, and 
society. Each domain represents an important sphere of influence in the 
lives of children and youth.
    To ensure that the demonstration is based in a logically sound 
framework, CSAP strongly recommends that applicants use the logic 
model, a model that articulates the links between the specific risk and 
protective factors that have been identified and are to be addressed, 
the specific project objectives, the proposed intervention strategies, 
and the anticipated outcomes.
    CSAP strongly encourages applicants to use the risk/protective 
factor approach and the logic model. However, applicants may propose 
alternative frameworks and will be given fair and due consideration, so 
long as the applicant provides a clear description of any alternative 
frameworks, the alternative frameworks are comprehensive and logical, 
and the applicant offers a rationale for their selection over the risk/
protective factor approach and/or the logic model.
    Guidelines for using the risk/protective factor approach and the 
logic model for ATOD prevention programs targeting high risk youth 
populations are included as part of the complete application kit.
    This notice consists of four parts:
    Part I covers information on the legislative authority and 
applicable regulations and policies of the Substance Abuse Prevention 
Demonstration Grants for High Risk Youth Populations Program.
    Part II is a summary of the application receipt date, estimate of 
funds available, anticipated number of awards, period of support, and 
project start dates.
    Part III describes the four programmatic priority areas (Modules A-
D) under which CSAP is inviting applications.
    Part IV provides additional guidance related to the application 
process and requirements, review criteria, award decision criteria, and 
contacts for additional information.

Part I--Legislative Authority and Other Applicable Regulations and 
Policies

    Grants awarded under this Program Announcement are authorized under 
section 517 of the Public Health Service Act, (42 U.S.C. 290bb-23) as 
amended.
    The Catalog of Federal Domestic Assistance (CFDA) number for this 
program is 93.144.
    Federal regulations at title 45 CFR parts 74 and 92, generic 
requirements concerning the administration of grants, are applicable to 
these awards.
    Grants must be administered in accordance with the PHS Grants 
Policy Statement (Rev. April 1, 1994).
    Interim progress reports, a final report, and Financial Status 
Reports (FSRs) will be required and specified to awardees in accord 
with PHS Grants Policy Requirements.
    Healthy People 2000: 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 Announcement, ``Substance Abuse Prevention Demonstration 
Grants for High Risk Youth Populations,'' is related to the priority 
areas of Alcohol, Tobacco, and Other Drugs (ATOD), HIV Infection, and 
Violent and Abusive Behaviors. 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).
    Non-Use of Tobacco: The medical dangers and high risk of addiction 
associated with first-hand use of tobacco products have been thoroughly 
documented (for example, see Boyle, 1993). Moreover, data presented in 
leading medical journals (for example, New England Journal of Medicine, 
June 10, 1993) and reported widely in the press, associate 
environmental exposure to tobacco smoke (passive smoking) with 
increased rates of cancer and other pulmonary diseases among people of 
all ages and with increased rates of asthma among children. Further, 
scientific evidence supports the connection between the use of 
smokeless tobacco products, such as chewing tobacco and snuff, and 
cancer of the mouth, jaw and throat.
    Critical questions now facing public health experts concern the 
most effective methods for preventing youth from using tobacco products 
in the first place and for preventing and/or reducing infants' and 
children's exposure to smoke in both public and private environments. A 
combined approach involving public policy, media awareness, and 
prevention education strategies appears to be a promising way to 
address this serious problem; however, careful development, 
implementation, and evaluation of specific tobacco use prevention 
strategies is required to establish their efficacy.
    The Center for Substance Abuse Prevention recognizes that its 
target populations are vulnerable to a variety of preventable health 
and social problems, including substance abuse. Therefore, CSAP 
believes that preventative education concerning use of tobacco products 
must be a priority for grantees. Further, CSAP encourages all grantees 
to provide smoke-free programs and work environments.
    Health Care Reform: The Public Health Service is committed to 
furthering the aims of Health Care Reform. By preventing and/or 
reducing the use of alcohol, tobacco, and other drugs among youth, 
prevention programs can enhance the overall health status of 
participants. As a consequence, ATOD prevention programs can contribute 
to a reduction in health care costs related to the medical illnesses, 
disorders, and conditions associated with ATOD.
    Secretarial Themes for the Fiscal Year 1995 Legislative Program: In 
a Special Message For All Health and Human Service (HHS) Employees, the 
HHS Secretary articulated three key priorities to support a Department-
wide continuous improvement process. These priorities are: fostering 
independence through empowering the people served, preventing future 
problems, and improving services to customers through modern management 
approaches. Each of the four demonstration programs proposed in this 
Announcement supports the Secretary's priorities. By addressing 
alcohol, tobacco, and other drug use and related health and social 
problems among high risk youth, these programs hold substantial promise 
for reducing future public health problems among the target population. 
In addition, the programs seek to empower communities, including youth, 
to identify particular ATOD problems facing their communities and to 
design interventions to address them. Further, these proposed programs 
encourage applicants to consider enhancements to service delivery 
systems, such as increasing access and coordination of programs, 
thereby supporting the Secretary's emphasis on improving service to 
customers.

                                                                Part II.--Summary Table                                                                 
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                                                                                        Estimated                                                       
                   Module                        Applic. receipt date      Est. funds   number of       Period of support        Estimated award date   
                                                                           available     awards                                                         
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A............................................  May 24, 1994.............       $4.7 m           17  Up to 5 years............  Sept. 1994.              
B............................................  May 24, 1994.............        4.0 m           15  Up to 5 years............  Sept. 1994.              
C............................................  May 24, 1994.............        2.0 m            5  Up to 5 years............  Sept. 1994.              
D:                                                                                                                                                      
  (Pt A).....................................  May 24, 1994.............        2.0 m            8  Up to 5 years............  Sept. 1994.              
  (Pt B).....................................  .........................        1.0 m           4                                                       
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    Subject to the availability of funds in future fiscal years, CSAP 
may reissue this announcement and publish future receipt dates and a 
notice of availability of funds in the Federal Register. Because the 
President's 1995 budget request proposes to consolidate SAMHSA's 
categorical substance abuse prevention demonstrations, certain aspects 
of this program could change. Therefore, applicants are strongly 
encouraged to verify the availability and terms of funding for new 
awards for this program.
    Consequences of Late Submission: Applications must be received by 
the above 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. However, private 
metered postmarks are not acceptable as proof of timely mailing.

Part III--Program Priority Areas

Module A: High Risk Youth

    Introduction: CSAP will provide support in the high risk youth 
priority area for projects that will demonstrate and assess the 
effectiveness of comprehensive strategies to prevent and/or reduce the 
use of alcohol, tobacco and other drugs (ATOD), including inhalants and 
steroids, among youth at high risk for such behaviors.
    This program priority area takes several major steps forward from 
CSAP's earlier High Risk Youth Demonstration Grants Program. 
Specifically: All programs in this priority area are to include 
strategies for the prevention and reduction of tobacco and alcohol use 
among high risk youth in addition to strategies for the prevention of 
use of any other drugs that may be included or emphasized in the 
program.
    It strongly recommends a multiple risk factor approach for 
designing prevention programs. With the understanding that substance 
use is a function of multiple factors in multiple risk factor domains 
(viz., the individual, the family, the school, the peer group, the 
neighborhood/community, and society), a multiple risk factor approach 
is considered necessary to respond comprehensively and effectively to 
the problem of substance use among youth.
    The program further differs from its predecessor in that applicants 
are asked to involve youth and others in the community both in 
identifying the relevant risk factors for ATOD use that are to be 
addressed and in selecting appropriate interventions to address these 
risk factors.
    It also requires all programs that serve youth 12 years of age and 
over to ascertain the effectiveness of their intervention strategies in 
reducing the incidence and prevalence of alcohol, tobacco, and/or other 
drug use. Programs serving youth 12 years and over are required to 
obtain incidence measures in addition to assessing the effectiveness of 
the intervention strategies in reducing the risk factors or enhancing 
the protective factors on which the project is focused. This will be 
the first time CSAP will be receiving data on common outcome variables, 
specifically on the incidence and reduction of use for alcohol and 
tobacco and other drugs. These common outcomes will be generated by 
programs using culturally tailored strategies and addressing different 
combinations of risk factors.
    It also tests the hypothesis that factors that place youth at risk 
for ATOD use may also place them at risk for engaging in violent acts.
    The high risk youth priority area also has a special interest in 
effective strategies that are designed to positively influence youth by 
the time they reach 8th grade. Recent studies lead us to believe that 
it is important to intervene with prevention programs prior to 8th 
grade because the inception of substance use frequently occurs at about 
this age. CSAP also has a special interest in youth residing in public 
housing.
    Program Goals and Objectives: One of CSAP's most fundamental 
program goals is the prevention of ATOD use among high risk youth. This 
implies the elimination of the problems associated with such use, such 
as engaging in acts that interfere with the achievement, maintenance, 
and restoration of optimal health at the individual, family, and 
community levels. As part of its mission to decrease the incidence and 
prevalence of ATOD use and resulting problems, CSAP is dedicated to 
identifying and disseminating strategies that prevent or delay the use 
of alcoholic beverages, tobacco products, and other drugs among 
children and youth.
    To fulfill this goal, CSAP has established the following outcome 
objectives to demonstrate the effectiveness of the projects supported 
under this Announcement:
    1. To decrease the incidence of ATOD use among high risk youth by
    (a) Identifying and reducing factors in the individual, the family 
and significant others, the school, the peer group, the neighborhood/
community, and society that place youth at high risk for ATOD use;
    (b) Enhancing factors in the individual, the family and significant 
others, the school, the peer group, the neighborhood/community, and 
society that may strengthen youth resiliency and protect youth from 
using alcohol, tobacco, and other drugs.
    2. To delay and reduce the consumption of alcoholic beverages, and 
the use of tobacco products and other drugs among high risk youth.
    Recommended Approach: CSAP invites applications that address, at a 
minimum, the following questions:
    1. What combination of strategies is most effective in improving 
family management practices and/or establishing a healthy family 
environment for various racial/ethnic/gender populations? Which risk 
factors and risk factor domains must be addressed?
    2. What combination of strategies is most effective in increasing 
bonding/commitment to school for populations differing with respect to 
age, gender and race/ethnicity? Which risk factors and risk factor 
domains must be addressed?
    3. Which combination of strategies is most effective (and hence, 
which risk factors and risk factor domains must be addressed) in 
decreasing the influence and association of drug-using peer groups on 
members of the target population and/or to increase the association and 
influence of non-drug-using peer groups on the target population? For 
whom are they effective?
    4. What combination of strategies is most effective in increasing a 
negative attitude toward alcohol, tobacco, and other drug use by: (a) 
The target population; or (b) the peer group; or (c) the family; or (d) 
the school; or (e) the community? Which risk factors and risk factor 
domains must be addressed?
    These questions are in addition to the ATOD-specific questions 
listed in the Outcome Evaluation section of part IV.
    All applications are to address the prevention and reduction in use 
of alcoholic beverages and tobacco products and other drugs. Also 
applicants are strongly encouraged to develop policies that promote 
nonuse of tobacco products by staff, clients, and visitors at project 
sites.
    Contact for Additional Information: F. Tommie Johnson, Division of 
Demonstrations for High Risk Youth Populations, Center for Substance 
Abuse Prevention, Rockwall II, Room 9B-03, 5600 Fishers Lane, 
Rockville, Md. 20857, (301) 443-0353.

Module B: Female Adolescents

    Introduction: Through its High Risk Youth initiative, CSAP has 
sought to develop model projects that demonstrate successful techniques 
to alter the behaviors and attitudes toward, and prevent and/or reduce 
the use of alcohol, tobacco and other drugs (ATOD), including inhalants 
and steroids, among youth at high risk for such behavior.
    CSAP recognizes that female adolescents are at great risk for ATOD 
use and other related negative outcomes, and present a unique challenge 
to individuals and organizations that seek to provide outreach and 
prevention services to them. Female adolescents (ages 10 to 21) may use 
ATOD for different reasons than males, have different needs and 
problems associated with their use of ATOD, and require different 
intervention strategies to successfully prevent and decrease their ATOD 
use.
    While we know that gender differences in ATOD use exist, we know 
very little about what exactly these differences are.
    We know that interventions designed for males--such as using 
confrontational strategies--may not be effective for females. We do not 
know nearly enough, however, about how to design effective 
interventions for females.
    What factors place female adolescents at risk for ATOD abuse, 
sexually-transmitted diseases (STDs) including HIV/AIDS, early 
pregnancy/childbirth and single parenting, school dropout and 
delinquency, and poverty and un/under-employment? What strategies can 
be devised that will address these factors, and that will successfully 
reach out to young women not often targeted by traditional school, 
social service or medical programs? What prevention strategies will 
result in changes in attitudes and behaviors of young women with 
respect to their ATOD use and related problems, and how can we measure 
such outcomes?
    This Announcement will support demonstration programs that seek to 
answer questions such as those above, and to develop, implement, 
document, evaluate, and disseminate information about comprehensive 
strategies to address and respond to the unique needs of female 
adolescents.
    Program Goals and Objectives: The overriding goal of this program 
priority area is to demonstrate strategies that decrease ATOD use among 
female adolescents and promote optimal health at the individual, 
family, and community levels. More specifically, the goals are:
    1. Primary Prevention: To decrease (and delay) the incidence of 
ATOD use among female adolescents by:
    (a) Identifying and specifying methods to reduce factors in the 
individual, family and/or significant others, school, peer group, 
neighborhood/community, and society/media that increase young women's 
vulnerability to initiating ATOD use; and
    (b) Enhancing factors in the individual, family and/or significant 
others, school, peer group, neighborhood/community and society/media 
that strengthen young women's resiliency and protect them against using 
alcohol, tobacco, and other drugs.
    2. Secondary Prevention: To decrease the prevalence of ATOD use 
among female adolescents by providing appropriate early intervention 
strategies to female adolescents who have already initiated ATOD use or 
who have engaged in other problem behaviors which are associated with 
ATOD use, such as early sexual activity, truancy, or running away from 
home.
    3. To decrease the incidence and prevalence of negative outcomes 
associated with ATOD use among female adolescents by addressing risk 
factors that significantly contribute to these outcomes, especially 
childhood sexual and physical abuse. Related negative outcomes include 
early pregnancy and parenthood; HIV transmission and AIDS, and other 
sexually-transmitted diseases; adolescent mental disorders, including 
eating disorders, depression, and suicidal behaviors; school dropout; 
involvement in prostitution, delinquency, or violent behaviors that may 
lead to criminal justice involvement; and homelessness.
    Target Population: Where appropriate, applicants are encouraged to 
target the following populations who, traditionally, have been 
underserved: (a) Female adolescents, ages 10-21, not normally targeted 
by traditional school, social service or medical programs, such as 
young women who have dropped out of school or female adolescents in the 
work force.
    (b) Female adolescents who have been involved with the criminal/
juvenile justice system;
    (c) Female adolescents with HIV/AIDS or other STDs, or those at 
especially high risk for these diseases;
    (d) Female adolescents with disabilities;
    (e) Female adolescents who are lesbian or bisexual;
    (f) Female adolescents who have a current or past history of 
physical/sexual abuse or incest.
    The applicant must clearly document that the target group chosen is 
at high risk for ATOD use by specifying the relevant risk factors.
    Although applicants may target female adolescents aged 10-21, 
provisions must be made in the data collection plan to disaggregate 
data for participants aged 12-21. Collecting data on females aged 12-21 
will allow for comparisons with other SAMHSA programs targeting 
females.
    In identifying female adolescents who are ``at risk'' for ATOD use, 
CSAP proposes this framework for considering risk (See Resnick, 1993):
    Risk factors are: (1) Those environmental forces that have a 
negative impact on the individual by producing an increased 
vulnerability to ATOD use. These include family dysfunction, including 
childhood physical/sexual abuse and incest; high risk neighborhoods/
environments; and poverty.
    (2) Those visible indicators of problems in individuals, which 
represent the onset of potentially negative behaviors related to ATOD 
use and other negative outcomes. These may often be found in public 
records, and include poor school performance and involvement with child 
protective services, such as out-of-home placement in the foster care 
system.
    Risk factors for the use of alcohol, tobacco, and other drugs may 
be found in six domains: The individual, the family, the school, peer 
groups, the neighborhood/community, and society.
    Primary prevention efforts for ATOD use should identify female 
adolescents who are affected by multiple risk factors (environmental 
forces and visible indicators). Secondary prevention efforts should 
target female adolescents who may have already initiated ATOD use or 
have engaged in other problem behaviors such as early sexual activity, 
truancy, or running away from home.
    Recommended Approach: CSAP encourages applicants to develop 
comprehensive programs that will address one or more of the following 
questions:
    1. What combination of strategies is most effective in improving 
the self-image, including body image, and the generalized self-esteem 
and self-efficacy of female adolescents?
    2. What combination of strategies is most effective in developing 
the competencies or life skills of female adolescents in such areas as 
intra/interpersonal communications and problem-solving?
    3. Which combination of strategies is most effective in improving 
the family functioning and strengthening the families of female 
adolescents, and increasing adolescents' levels of parenting skills so 
that they will be prepared to parent effectively and appropriately when 
they have children?
    4. What combination of strategies is most effective in combatting 
the long-lasting effects of sexual abuse/assault?
    5. What combination of strategies is most effective in promoting 
healthy life styles and life skills (e.g., negotiation, conflict-
handling, self-assertion) among female adolescents?
    These questions are in addition to the ATOD-specific questions 
listed in the Outcome Evaluation section of Part IV.
    Applicants are asked to involve representatives of youth and others 
in the community to: (1) Identify the risk factors for ATOD use that 
are to be addressed in the project and (2) select the appropriate 
interventions.
    Successful interventions should also impact not only on ATOD use, 
but on other negative outcomes associated with ATOD use. Related 
negative outcomes include adolescent pregnancy and parenting;
    HIV/AIDS and other sexually-transmitted diseases; adolescent mental 
disorders, including eating disorders and depression; suicide; violent 
acts and criminal justice involvement; and homelessness. CSAP is 
especially interested in programs which will address physical/sexual 
abuse, teen pregnancy, and HIV/AIDS and STDs, in addition to ATOD use.
    Contact for Additional Information: Ulonda B. Shamwell, M.S.W., 
Division of Demonstrations for High Risk Populations, Center for 
Substance Abuse Prevention, Rockwall II, room 9B-03, 5600 Fishers Lane, 
Rockville, MD 20857, (301) 443-4564.

Module C: Alcohol and Other Drug-Related Violence Among High Risk Youth

    Introduction and Background: CSAP announces the availability of 
funds to support projects that demonstrate and evaluate comprehensive 
strategies to prevent alcohol and other drug-related (AOD-related) 
violence among or affecting youth aged 6 to 14. Under this program 
priority area, applicants should propose prevention demonstrations 
directed to youth who are at high risk for becoming witnesses, victims, 
or perpetrators of violent acts associated with the use of alcohol and 
other drugs (AOD).
    For the purpose of this Announcement, CSAP defines violence as a 
public health, social, and economic issue that affects people of all 
races, ethnicities, and socioeconomic classes with enormous 
consequences to all Americans. CSAP recognizes that substance abuse is 
both correlated with and causes violence and that, in turn, violence 
give rise to substance abuse. Thus, substance abuse and violence are 
inextricably intertwined. Violence may be understood as any act that 
causes psychological, emotional, or physical harm to individuals and/or 
communities, or that causes damage to property. In this context, 
violence arises from substance use and abuse, the trade in illicit 
substances, racism, misogyny, homophobia, among other factors, and 
results in homicide; assaults, including rape and sexual assault; 
spouse abuse and battering; child physical and sexual abuse; child 
neglect; suicide; and vandalism and other forms of property 
destruction. This broad CSAP definition of violence illustrates the 
fact that violence affects its victims, witnesses, and perpetrators.
    CSAP recognizes that violence is linked to a host of social and 
health problems that plague many communities; however, the Center is 
particularly concerned with the relationship of violence to the use and 
abuse of alcohol and other drugs.
    The Center seeks to identify those strategies that will be 
effective in preventing and/or reducing AOD-related violence among or 
affecting youth, ages 6 to 11 and 12 to 14. CSAP wishes to fund 
prevention programs that include strategies targeting risk/protective 
factors in the individual, family, school, peer group, neighborhood/
community, and society.
    Because AOD-related violence is a highly complex problem, effective 
prevention of it requires a comprehensive, community-based approach. 
Community-based initiatives offer advantages over more individually-
focused strategies by encouraging the various segments of the community 
to accept an active role in AOD prevention. Further, the community-
based approach emphasizes that a wide range of environmental factors 
influence youth who become involved with AOD-related violence. 
Therefore, efforts predicated on this approach avoid the error of 
developing programs based on a conceptual framework that blames the 
victim.
    This demonstration grant program differs from its predecessor, the 
High Risk Youth Demonstration Grant Program, in two significant ways: 
(1) It encourages applicants to examine risk factors that are common to 
both AOD use/abuse and AOD-related violence, and (2) it asks applicants 
to involve all appropriate segments of the community in the prevention 
effort targeted to high risk youth. Applicants are expected already to 
have established a community coalition capable of addressing risk 
factors in multiple domains. Members of the community, including youth, 
should be involved in identifying relevant risk/protective factors and 
in designing interventions to address them.
    Program Goals and Objectives: The overall goal of this program 
priority area is to demonstrate strategies that will: (1) prevent or 
reduce those factors that place youth aged 6-14 at risk for AOD-related 
violence, and (2) reduce the incidence and prevalence of AOD-related 
violent acts and of AOD use among the target population.
    To achieve these goals, CSAP encourages applicants to design 
projects that will positively influence the target population by:
    1. Increasing children's and youth's communication and other social 
and life skills, including conflict-handling skills.
    2. Promoting youth bonding/commitment to school, church, and/or 
community.
    3. Improving communication and other necessary skills among 
participants' parents to reduce the level of family conflict and 
domestic violence.
    4. Increasing school policies, procedures, and staff attitudes that 
promote school bonding/commitment.
    5. Linking children and youth with positive community role models.
    6. Organizing media awareness and media advocacy initiatives to 
address inappropriate portrayal of AOD and violence.
    Target Population: In keeping with CSAP's emphasis on primary 
prevention and early intervention, the target population for this 
program is youth. Children experience developmental challenges 
requiring them to master age-specific tasks; their particular needs and 
the approaches appropriate to meet those needs vary significantly from 
age to age. This program, therefore, divides the target population into 
two sub-populations: children and youth aged 6 to 11, and youth aged 12 
to 14.
    Within both sub-populations, youth may experience factors or 
conditions that increase their vulnerability to AOD use and to being 
witnesses, victims, or perpetrators of AOD-related violence. These risk 
factors can be organized according to six domains: The individual, 
family/significant others, school, peer group, neighborhood/community, 
and society. Youth who experience risk factors in multiple domains are 
considered to be at ``high risk.''
    Recommended Approach: CSAP invites applications that will permit 
CSAP to answer questions such as, but not limited to, those identified 
here:
    1. What combination of strategies is effective in developing 
communication, social, and life skills among youth at risk for becoming 
witnesses, victims, and/or perpetrators of AOD-related violence?
    2. Which combination of strategies is effective in improving family 
functioning to reduce levels of family violence and AOD use?
    3. What combination of strategies is effective in promoting and 
sustaining the involvement of youth at risk for AOD-related violence in 
positive, pro-social activities?
    4. What strategies are effective in promoting a community-based 
approach to identifying and addressing the AOD-related problems in the 
target population?
    5. Which strategies are suitable and effective in AOD-related 
violence prevention with sub-sets of youth (for example, by age, 
gender, race/ethnicity/culture) as well as with their families, 
schools, peers, and communities?
    6. What strategies are effective in changing the behavioral norms 
that support violence in communities experiencing high rates of AOD 
use?
    These questions are in addition to the ATOD-specific questions 
listed in the Outcome Evaluation section of part IV.
    CSAP strongly recommends that applicants propose to implement 
comprehensive, community-based prevention strategies that address 
multiple risk and/or protective factors in three or more domains. 
Applicants may choose to target one or both of the designated sub-
populations of high risk youth; that is, applicants may propose 
programs for 6 to 11 year olds and/or 12 to 14 year olds.
    Applicants should design interventions to influence not only 
alcohol and other drug use and AOD-related violence, but also such 
associated conditions and outcomes as lack of neighborhood structure, 
lack of positive role-models, school drop-out, and vandalism.
    Programs are asked to address risk factors outside the individual 
that can precipitate, precede, or co-exist with AOD use and AOD-related 
violence. Applicants are particularly encouraged to design prevention 
projects that involve significant persons in the youthful participant's 
family and social network, especially siblings.
    At the same time that programs should be comprehensive, they should 
also take into account the particular needs of individual program 
participants. Strategies should be developmentally appropriate.
    Strategies must also be tailored to meet the cultural, linguistic, 
gender, and ethnic characteristics of program participants.
    In order to ensure a community-based approach, applicants are 
requested to demonstrate that they have in existence a coalition 
consisting of community members who are willing and able to address 
relevant risk/protective factors. Representatives of the community, 
including youth, should be involved in identifying the relevant risk/
protective factors and in developing the strategies to address them.
    Applicants are encouraged to consider implementing improvements in 
the way services are delivered in their community to ensure that the 
local service delivery system can support the multifaceted, community-
based prevention approach recommended for AOD and AOD-related violence 
prevention. For example, applicants should consider the need and 
appropriateness of linking and coordinating services through formal or 
informal agency and organizational agreements.
    CSAP recommends that vigorous recruitment and innovative strategies 
for retaining participants be an integral part of the proposed project. 
Applicants are requested to discuss how they will accomplish this in 
their applications.
    Youth at high risk for AOD use may also be at risk for HIV/AIDS. As 
appropriate and feasible, applicants are urged to consider this 
ancillary problem of substance use in designing their interventions.
    Award Criterion: Consistent with HHS policy, in addition to the 
award criteria listed in part IV of this Federal Register Notice, CSAP 
will give consideration to applications from Historically Black 
Colleges and Universities in making funding decisions under this 
priority area.
    Contact for Additional Information: Rose C. Kittrell, M.S.W., 
Division of Demonstrations for High Risk Populations, Center for 
Substance Abuse Prevention, Rockwall II, room 9B-03, 5600 Fishers Lane, 
Rockville, MD 20857, (301) 443-0353.

Module D: Replications of Model Programs for the Prevention of Alcohol, 
Tobacco, and Other Drug Use Among High Risk Youth (Cooperative 
Agreements)

    Introduction: CSAP announces the availability of Cooperative 
Agreement Awards to support projects that demonstrate and evaluate 
strategies to replicate one of twelve identified models of High Risk 
Youth Substance Abuse Prevention. Utilizing Cooperative Agreement 
Awards to support replication projects will ensure coordination of a 
national effort to increase knowledge about the mechanics of 
demonstration project replication. Through extensive technical 
assistance and consultation, this mechanism will facilitate efforts to 
standardize and integrate information forwarded to, and derived from 
ongoing program efforts.
    Definition of Replication: All projects identified in this 
Announcement as ready for replication (referred to as ``replicant'' 
projects) are CSAP funded High Risk Youth projects that have 
demonstrated promising strategies in altering the behaviors and 
attitudes toward and preventing and/or reducing the use of alcohol and 
other drugs (AOD) among youth at high risk for such behaviors. The 
identified replicant projects are a representative sample of the most 
promising projects that were chosen based on specific criteria. 
Criteria for choosing these projects is described in this module under 
``Recommended Approach.''
    This replication effort is a pilot project to determine whether, 
and to what extent, the identified promising models may be:

    Part A. Replicated by entities other than the original 
developers of the demonstration; or
    Part B. Replicated by the original developers of the 
demonstration.

    Although CSAP has stressed the importance of demonstrating project 
replicability, until now it has not provided funding specifically for a 
replication initiative. This replication is a pilot project and, as 
such, is limited by the scope and range of identified projects. Subject 
to the results of this effort, CSAP expects that future replication 
initiatives may be more inclusive with respect to expanding the 
identified replicant population as well as with other aspects, such as 
introducing a wider range of variables that may be incorporated into 
the replication.
    CSAP recognizes the difficulty inherent in reproducing an existing 
project regardless of who developed it and would prefer to define 
replication in a broad enough sense to give applicants some flexibility 
in their approach to this effort. For purposes of this announcement, 
replicability may be defined as reproducing original projects as 
closely as possible in all aspects, or as reproducing an identified 
project and adapting it in some respects to meet particular needs of an 
applicant. For example, the applicant might wish to determine if an 
urban-developed project could, with appropriate alterations in 
interventions, be successfully reproduced in a suburban or rural area. 
In making the choice to alter a project for replication purposes, the 
applicant should carefully examine the circumstances, resources, 
evaluation, etc., of the chosen project, and be able to present a 
logical case for linking the final choice of the project being 
replicated to expected outcomes.
    Therefore, at this time, CSAP is not inviting applications that 
propose to change the cultural group or age group of the target 
population, although such an adaptation might provide some interesting 
outcomes. Because of its nature as a pilot project and because of the 
limited number of applications to be funded, introducing too many 
variables into this current effort would be counter-productive. The 
instruction regarding cultural groups is not relevant to all the 
identified replicant projects, as some of them are multicultural.
    CSAP will accept applications which propose to reproduce the 
identified projects in their entirety, unless advised by the replicant 
project that replicating all components would not be practicable within 
the context of the replication.
    CSAP legislation did not require the original replicant projects to 
address tobacco use prevention. However, replications will be expected 
to address tobacco use prevention if the replicant project addressed 
this issue.
    This initiative should increase CSAP's knowledge of the mechanics 
of demonstration project replication--its costs, pitfalls and 
probability of success--as well as increase knowledge in the general 
area of preventing ATOD use and abuse by high risk youth. CSAP invites 
applications that will provide information regarding:
    1. Whether interventions and techniques that have been promising in 
modifying ATOD use under a given set of circumstances can be as or more 
promising with a change in circumstances, e.g., a different 
administering agency, a different geographical/demographic area, 
different personnel, etc.
    2. How minor alterations in program objectives or implementation 
will affect replicability and outcomes.
    3. How the general replication process may be effected and 
evaluated both from CSAP's standpoint and the standpoint of the 
organizations implementing the replications. This Announcement 
requires, in addition to the outcome evaluation, a process evaluation 
that includes an evaluation of the overall replication process as well 
as other areas generally addressed in a process evaluation.
    Program Goals and Objectives: CSAP's overriding program goal is the 
elimination of ATOD use among high risk youth and of the problems 
associated with such use that interfere with the achievement, 
maintenance, and restoration of optimal health at the individual, 
family, and community levels. As part of its mission to decrease the 
incidence and prevalence of ATOD use and the resulting problems, CSAP 
is dedicated to identifying and disseminating strategies that prevent 
or delay the use of alcoholic beverages, tobacco products, and other 
drugs among youth. The identification of effective replication models 
will add to this knowledge. If CSAP can demonstrate that promising 
interventions and strategies can be replicated in diverse areas and, 
ultimately, among diverse populations, and if CSAP can determine the 
effectiveness of these promising approaches, the field of ATOD 
prevention will have been advanced and youth will be better served.
    Recommended Approach: CSAP subjected all of its High Risk Youth 
grantees' projects to a multi-level screening process, the criteria for 
which included comprehensiveness, theoretical foundation, empowerment 
of served populations, cultural appropriateness, strength of evaluation 
design, accessibility to the target population, coordination, and 
overall readiness for replication. The selected projects represent a 
spectrum of completion that includes projects now in their fourth year, 
as well as projects which are completed and no longer receive CSAP 
funding. Through this process, CSAP has identified the replicable 
projects listed in the matrix that follows. Abstracts for each of the 
identified projects have been included in the complete application kit.
    All of the identified grantees have been contacted and have agreed 
to be included in the replication effort. They have developed manuals 
describing their projects and containing information regarding their 
specific aims, target population(s), approach/methods, project 
management and implementation plans, project staffing and organization, 
staff skill levels (including job descriptions), financial resources 
required, participant protection plans, and an overview of their 
perceptions of what the necessary ingredients are to effectively 
replicate the project. High Risk Youth Replicant manuals are available 
to potential applicants through the National Clearinghouse on Alcohol 
and Drug Information (NCADI), 1-800-729-6686. CSAP suggests that 
organizations who anticipate applying to replicate any of the 12 
following projects look first at the abstract(s), and then obtain and 
examine carefully the applicable manual(s) from NCADI. If, after 
scrutinizing the information prepared by potential replicants, 
applicants desire additional information, they may call the project 
they wish to replicate. Replicant organizations will participate in 
Technical Assistance Workshops sponsored by CSAP. These workshops are 
planned to take place within a 60-day period following publication of 
this announcement.
    Upon award of a Cooperative Agreement to replicate a project, a 
grantee may obtain further technical assistance and training from the 
replicant agency. Upon request of the applicant (in the application 
budget), provision will be made in the individual awards for projects 
funded to reimburse the replicant agency for such assistance. 
Negotiations will be conducted directly between the grantee and the 
replicant agency. It is strongly recommended that the applicant discuss 
such technical assistance with the replicant agency prior to writing 
the application in order to provide an accurate estimate of the 
required cost.

                         Replication Candidates                         
------------------------------------------------------------------------
    Grant No.       Grantee agency      State           Ethnicity       
------------------------------------------------------------------------
1246.............  Youth Health      WV          Caucasian.             
                    Services Inc.                                       
1295.............  Lancaster         PA          Multiple.              
                    Schools.                                            
1397.............  Colorado State    CO          Multiple.              
                    University.                                         
1756.............  Schertz-Cibola    TX          Multiple.              
                    School District.                                    
2205.............  Red Cliff Band..  WI          Native American.       
1800.............  Progressive Life  DC          African American.      
                    Center, Inc.                                        
3073.............  Southwest         CA          Hispanic.              
                    Regional                                            
                    Laboratory.                                         
2403.............  Lac du Flambeau   WI          Native American.       
                    Band.                                               
0230.............  Asian Youth       CA          Asian.                 
                    Project.                                            
0618.............  Student           NY          Multiple.              
                    Assistance                                          
                    Services.                                           
0767.............  Boys and Girls    NY          Multiple.              
                    Clubs.                                              
1405.............  Metro Atlanta     GA          African American.      
                    Council of                                          
                    Alcohol and                                         
                    Drugs.                                              
------------------------------------------------------------------------



    CSAP will accept applications that attempt to replicate an 
identified model with as much fidelity as possible, regarding 
comprehensiveness, targeted domains, setting, target population, 
demographics, level of staff expertise, etc. Applicants wishing to 
adapt a project to specific needs in their area may do so, but should 
provide sufficient justification for proposed changes.
    Applicants are expected to provide a logical rationale for choosing 
a particular project for replication, that is, linking this choice to 
an identified need for such a project in their area and proposed 
outcomes for the target population.
    It is important that applicants understand that they are proposing 
not only to replicate an existing project, but that this project is, as 
well, a high risk youth project. Consequently they must be prepared to 
address: a. Outcomes to assess the impact of the interventions to be 
delivered on participating youth,
    b. The process of implementing and conducting a project targeted to 
a high risk youth population, and
    c. The process of implementing and conducting the project as a 
replication.
    Questions that need to be addressed that pertain to High Risk Youth 
participant outcomes may be found in Module A, under Recommended 
Approach. For this effort, CSAP invites applications that will, 
additionally, address the following replication-specific questions:
     Does the fidelity with which projects are replicated 
affect participant outcomes and the overall success of the project as a 
replication? In what respects?
     How can lessons learned from the replicants' 
implementation process be applied to improve a like project?
     What impact did the availability of ancillary services and 
resources have on: (a) The success of the replicant project; and (b) 
how closely the applicant's available resources must parallel those of 
the replicant in order to conduct a successful project?
     How can the impact of such intangibles as combinations of 
personnel attributes and characteristics on the success of the 
replicant project be measured; and how can this information be used in 
developing a replication?
    Evaluation: All applications must include a plan for documenting 
program implementation and performance, particularly with regard to the 
replication process (process evaluation), and for measuring results 
(outcome evaluation), as outlined in part IV of this notice. It is 
important to note that the replication requires an evaluation that 
exceeds the usual evaluation requirements. The evaluation design should 
provide for evaluating outcomes with respect to the effect of the 
intervention on participants, just as it would in any other High Risk 
Youth project. The process evaluation, however, requires a two-part 
approach. On one level, the process evaluation would parallel the 
process evaluation in the replicant project. On an additional level, 
data would need to be collected to ascertain how the project worked as 
a replication. All applications, in their process evaluation design, 
should pay particular attention to documenting implementation as it 
relates to the replication process.
    It is the purpose of this effort to replicate promising 
interventions, and assess their effectiveness. Regardless of the 
evaluation design of the original replicant project, the evaluation 
plan for this application should be rigorous and should be designed to 
answer the specific questions detailed in the High Risk Youth priority 
area (Module A, Recommended Approach), and in the Evaluation section of 
part IV of this notice.

Special Requirements

    Role of Federal Staff in Cooperative Agreements: The Cooperative 
Agreement mechanism includes significant post-award Federal 
programmatic participation in the conduct of the project. It is 
anticipated that CSAP staff participation in this program will be 
substantial. Such involvement may include: Provision of extensive 
technical assistance; contribution of guidance to enhance the potential 
replication of results; provision of support services for training, 
evaluation, and data collection both for the benefit of individual 
grantee evaluations and with respect to any national evaluation CSAP 
may conduct; arrangement of meetings designed to support activities of 
the individual cooperative agreement awardees; membership on policy 
steering or other working groups established to facilitate 
accomplishment of the project goals; authorship or co-authorship of 
publications to make results of the project available to other 
prevention programs.
    Role of Awardee in Cooperative Agreements: The awardee is expected 
to participate/cooperate fully with CSAP staff in the implementation 
and evaluation of the project. Activities include compliance with all 
aspects of the terms and conditions for the cooperative agreement, 
cooperation with guidance provided by and requests from CSAP staff, and 
response to all requests for client interviews and admissions.
    Review Criteria: In addition to the criteria listed in Part IV of 
this Federal Register Notice, the criteria listed below for 
replications will be included in the technical merit review of 
applications for replications.

General

     Potential as a demonstration project to make a significant 
contribution to knowledge regarding replicability of existing projects 
as effective strategies for substance abuse prevention in youth.

Proposed Approach and Activities

     Adequacy of overall replication plan, including 
understanding of replicant's project's theoretical basis and context 
for execution, as well as its application to the area/population being 
chosen, plans for execution of interventions, etc.
     Evidence indicating that the applicant has thoroughly 
researched the chosen replicant project and is cognizant of what 
replicating that project will entail, including evaluation costs and 
the kind, amount, and cost of technical assistance the applicant may 
need to acquire from the replicant project.

Evaluation Plan

     Qualifications of evaluator, particularly as they relate 
to appropriate educational background and experience with research and 
evaluation in the ATOD field.

Personnel, Management Plan, and Resources

     Qualifications of the Program Director, chief evaluator, 
and other key personnel, particularly as they relate to counterpart 
personnel in the project chosen for replication.
    Contact for Additional Information: Rose C. Kittrell, M.S.W., 
Division of Demonstrations for High Risk Populations, Center for 
Substance Abuse Prevention, Rockwall II, room 9B-03, 5600 Fishers Lane, 
Rockville, MD 20857, (301) 443-0353.

Part IV--Additional Guidance for Applicants

    Coordination With Other Federal/Non-Federal Programs: Applicants 
seeking support under this announcement are encouraged to coordinate 
with other Federal, State, and local public and private programs 
serving their target population. Program coordination helps to better 
serve the multiple needs of the client population, to maximize the 
impact of available resources, and to prevent duplication of services. 
Applicants should identify, by name and address, all organizations with 
which they are coordinating and describe the process to be used for 
coordinating efforts. Special consideration will be given in the award 
decision-making process to applications that demonstrate a coordinated 
approach to providing comprehensive substance abuse prevention and 
related services. Copies of letters of commitment from organizations 
that have agreed to collaborate with the applicant to implement the 
proposed project must be provided in an appendix to the application, 
entitled ``Letters of Commitment from Collaborating Organizations/
Agencies/Individuals.'' These letters must specify the kind(s), 
level(s), and period of support the organization has agreed to commit.
    Single State Agency Coordination: Coordination with the Single 
State Agency (SSA) for alcohol and other drug abuse is encouraged to 
ensure communication, reduce duplication, and facilitate continuity. 
Therefore, a copy of a letter sent by the applicant to the SSA that 
briefly describes the application should be included in an appendix to 
the application entitled ``Letters to/from SSAs.'' A list of SSAs can 
be found in the grant application kit. If the target population falls 
within the jurisdiction of more than one State, all representative SSAs 
should be involved. Evidence of support for the proposed project from 
the SSA will be considered in making funding decisions.
    Intergovernmental Review (Executive Order 12372): Applications 
submitted in response to this Announcement are subject to the 
intergovernmental review requirements of Executive Order 12372, as 
implemented through DHHS regulations at 45 CFR part 100. Executive 
Order 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 and to receive any necessary 
instructions on the State 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 kit. The SPOC should send the recommendations from the 
State review process to the following office at CSAP (not to the 
Division of Research Grants, NIH, which is the central receipt point 
for applications): Office of Review, Center for Substance Abuse 
Prevention, Rockwall II Building, room 630, 5600 Fishers Lane, 
Rockville, MD 20857, ATTN: SPOC.
    The due date for the State review process recommendations is no 
later than 60 days after the deadline date for the receipt of 
applications. CSAP does not guarantee to accommodate or explain SPOC 
comments that are received after the 60-day cutoff.
    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 
applications submitted by community-based, non-governmental 
organizations within their jurisdictions.
    Community-based, non-governmental 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 no later than the pertinent receipt date for 
applications. The 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 Submission Procedures: All applicants must use 
application form PHS 5161-1 (Rev. 7/92), which contains Standard Form 
424 (face page).
    Grant application kits (including form PHS 5161-1 with Standard 
Form 424, complete application procedures, and accompanying guidance 
materials for the narrative approved under OMB No. 0937-0189) may be 
obtained from: National Clearinghouse on Alcohol and Drug Information 
(NCADI), Post Office Box 2345, Rockville, Maryland 20852, 1-800-729-
6686.
    An audio-cassette of the Announcement is also available from the 
above address.
    Applicants must submit: a. An original copy of the application 
signed by the authorized official of the applicant organization, with a 
complete set of the appropriate appendices; and
    b. Two additional, legible copies of the application and all 
appendices. Faxes are not permissible.
    The above materials should be sent to the following address: Center 
for Substance Abuse Prevention Programs, Division of Research Grants, 
NIH, Westwood Building, room 240, 5333 Westbard Avenue, Bethesda, 
Maryland 20892.*
---------------------------------------------------------------------------

    *If an overnight carrier or express mail is used, the correct 
ZIP Code is 20816.
---------------------------------------------------------------------------

    The Division of Research Grants (DRG) serves as the central receipt 
point for applications. When received, applications will be screened 
for eligibility, completeness, and compliance with instructions for 
submission.
    Evaluation: This Announcement requires more rigor in the 
conceptualization, design and implementation of projects and in their 
evaluation than the previous High Risk Youth Demonstration Grant 
Program. The goal is to achieve and document measurable reductions in 
ATOD use incidence, prevalence, and related negative consequences among 
appropriately aged high risk youth populations, in addition to 
assessing the effectiveness of specified intervention strategies in 
reducing the risk factors, or enhancing the protective factors on which 
the project is focused.
    CSAP will support only applicant projects that have a well 
developed and comprehensive evaluation plan. The evaluation plan must 
be conceptually and procedurally integrated with the overall project, 
and must have both an outcome evaluation component and a process 
evaluation component (discussed below).
    Since the purpose for issuing this Announcement is to reduce the 
incidence and prevalence of ATOD use and its related negative 
consequences and to assess the effectiveness of specified intervention 
strategies with selected high risk youth populations, instruments 
should be used which will provide periodic measures of all delineated 
indicators. Applicants must specify the means to be used to collect 
these data. Applicants are required to collect baseline data, yearly 
progress report data, end of project data, and follow-up data on all 
indices.
    The evaluation plan must present a sound methodology for the 
collection, storage, analysis, and interpretation of data. The 
evaluation plan must utilize psychometrically sound measures and 
instruments for data collection. Applicants must describe the selection 
of instruments to be used and must provide information about their 
normative properties, including the appropriateness of their use for 
the culture(s) under study. The presented evaluation methods, measures 
and instruments must be sensitive and relevant to the target groups of 
the community with respect to age and gender distribution, reading 
level, and culture. The evaluation plan must also present a time-line 
for carrying out all evaluation procedures.
    The evaluation plan must be designed and carried out by a 
professional who is highly experienced in comparative evaluation 
methodology, independent of the project, and able to work closely with 
the grantee.
    A range of from fifteen to twenty-five percent of the funds 
available may be used for the evaluation component.

Process Evaluation

    Process evaluation is a quantitative and qualitative description of 
a project that documents its evolution from inception through 
implementation and completion. The purpose of the process evaluation is 
to document what happened in the project and what was learned, what 
barriers existed to inhibit implementation, what was done to overcome 
these barriers, and what should be done differently in future projects. 
A process evaluation should also document the context for the project, 
that is, how the program fit into the community and interacted with the 
existing relevant human service programs and resources that were 
available to serve the target population. The use of resources and the 
acceptability and appropriateness of the program activities for the 
target population to meet the project objectives should also be 
addressed. Formal and on-going linkages between project objectives and 
program interventions should be developed to ensure feedback and 
appropriate project modifications.

Outcome Evaluation

    The purpose of the outcome evaluation is to determine the 
effectiveness of the intervention, and applicants must propose an 
evaluation design which will allow this determination to be made. 
Outcome evaluation assesses whether the project was effective in 
achieving its goals, objectives and activities. The plan to generate, 
process and analyze data should be detailed and clearly articulated. 
For the purposes of this grant program, the outcome evaluation must: 
(a) Identify the specific factors to be addressed according to the 
terms of the model selected to conceptualize the program;
    (b) Specify the proposed interventions to be implemented detailing 
frequency and intensity of exposure of each intervention proposed, per 
member of target population;
    (c) Specify the desired outcomes in relation to both the identified 
factors (generally these are intermediate outcome measures), and the 
selected interventions;
    (d) Identify the instruments for measuring the factors to be 
addressed and for monitoring changes related to desired outcomes and 
submit copies of any non-standard instruments;
    (e) Specify the indicators of ATOD use to be monitored;
    (f) Identify the instruments to be used for gathering those 
measurements related to ATOD indicators;
    (g) Describe the plan for data collection, data processing and data 
analysis.
    The outcome evaluation design should be as rigorous as possible. 
Whenever feasible, the outcome evaluation design should employ a time 
series design that allows for comparisons within and between control or 
matched comparison groups. For capturing changes at the community 
level, a pre-post with repeated measures design, for community 
indicators, is acceptable. For measuring changes at the individual/
group level, control or comparison groups, utilizing either random 
assignment or matched comparison, should be used. However, if an 
applicant chooses another design without the use of a randomized 
control or matched comparison group, the applicant must describe the 
alternate design in detail and explain the method for determining the 
effectiveness of the intervention. If the target group(s) is to be 
randomly selected, indicate the method for randomization of target and 
control group. If a matched comparison group is to be used, detail the 
method for matching the groups. In all cases, applicants must include a 
discussion of plans to deal with attrition, accretion, and other 
threats to internal and external validity. All applicants must also 
collect baseline data, yearly progress report data, and end of project 
data on all indices. In accordance with the age guidelines provided in 
the Modules, these data should be designed to answer questions that 
include, but are not limited to, the following: (Additional questions 
specific to each priority area are included in the Recommended Approach 
section of each module).
    1. What measurable changes have occurred as a result of the 
combination of intervention strategies regarding the number of new 
users in the target population, compared to the control/comparison 
group, for each of the following substances:
     Alcoholic beverages;
     All types of tobacco products; and
     Other drugs such as marijuana, cocaine, crack/cocaine, 
inhalants, steroids, heroin, etc.?
    2. What measurable changes have occurred as a result of the 
combination of intervention strategies regarding the number of users in 
the target population, compared to the control/comparison group, who 
have used each of the following substances in the past month:
     Alcoholic beverages;
     All types of tobacco products; and
     Other drugs such as marijuana, cocaine, crack/cocaine, 
steroids, inhalants, heroin, etc.?
    3. What measurable changes have occurred as a result of the 
combination of intervention strategies regarding the amount of regular 
use of alcoholic beverages, all types of tobacco products, and other 
drugs such as marijuana, cocaine, crack/cocaine, steroids, inhalants, 
heroin, etc., by the users in the target population, as compared to the 
control/comparison group?
    4. What measurable changes have occurred as a result of the 
combination of intervention strategies regarding the numbers of the 
target population compared to the control/comparison group, who 
disapprove of the use of alcoholic beverages, tobacco products, and 
other drug use?
    5. What measurable changes have occurred as a result of the 
combination of intervention strategies regarding participants' and 
control/comparison groups' perceptions of harm associated with ATOD 
use?
    6. What measurable changes have occurred as a result of the 
combination of intervention strategies regarding the target 
population's, compared to the control/comparison group's, self-reported 
involvement in physical fighting, victimization, assault injuries, 
aggressive behavior, carrying and usage of weapons, and activities that 
bring youth in contact with the juvenile/criminal justice system?
    Grantees will be required to collect uniform baseline and yearly 
data on some indicators using standardized instruments common to all 
grantees. Details regarding the specific instruments, data collection 
and analysis, aggregation to group, and procedures for transmitting the 
results to CSAP will be provided at the first grantee meeting following 
award. OMB clearance will be obtained for these instruments.
    Substance abuse and related problems have frequently been measured 
through surveys and archival indicator data. CSAP encourages applicants 
to make use of such available data in their communities, such as crime 
statistics and Drug Abuse Warning Network (DAWN) data.
    CSAP Cross-Site Evaluation: In addition to the requirement for 
individual project evaluation, CSAP is planning to conduct a cross-site 
evaluation of the High Risk Youth Demonstration Grant Program. All 
applicants must provide written assurance that they will cooperate 
fully in the conduct of the cross-site evaluation.
    Review Process: Applications accepted for review will be assigned, 
at the central receipt point (Division of Research Grants, NIH), to an 
Initial Review Group (IRG) composed primarily of non-Federal experts. 
Applications will be reviewed by the IRG for technical merit in 
accordance with established PHS/SAMHSA peer review procedures for 
grants. Notification of the IRG's recommendation will be sent to the 
applicant upon completion of the initial review. In addition, the IRG 
recommendations on the technical merit of applications will undergo a 
second level of review by the appropriate advisory council, whose 
review may be based on policy considerations as well as technical 
merit. Applications may be considered for funding only if the advisory 
council concurs with the IRG's recommendation for approval.
    Review Criteria: The following criteria will be included in the 
technical merit review of all applications and apply to priority areas 
A, B, C and D. Additional criteria specific to replications are 
identified in Module D.

General

     Potential as a demonstration project to make a significant 
contribution to knowledge of effective substance abuse prevention 
strategies for youth of different ages, of different cultures, and/or 
from different environments, e.g., urban, suburban, or rural areas.

Proposed Approach and Activities

     Adherence to the risk/protective factor framework and the 
logic model in conceptualizing the proposal or adequate explanation of 
and rationale for alternative framework(s) selected.
     Comprehensiveness and clarity of the applicant's approach, 
and appropriateness of the identified intermediate and long-term 
objectives. (For Modules A, B, and C, a comprehensive approach is 
defined as one with interventions targeting three or more risk factor 
domains. For Module D, applicants are expected to address the same 
domains as in the replicant project. For Modules A, B, C, and D, 
applicants not using the risk/protective factor model are expected to 
demonstrate the comprehensiveness of the selected alternative 
approach.)
     Adequacy and appropriateness of the proposed strategies 
and interventions to fulfill the applicant's stated objectives for the 
specified population, taking age, culture, and gender into 
consideration.
     Accessibility and acceptability of program to the target 
population and community; adequacy of procedures to identify, recruit, 
and retain the target population; and adequacy of procedures to empower 
program participants such that they actively participate in the 
planning and implementation of the prevention process, including the 
inclusion of youth and other community members in the identification of 
risk and protective factors and interventions (or, in the case of 
projects proposing an alternative conceptual framework, inclusion of 
youth and other community members in identifying problems and 
approaches in terms consistent with the conceptual framework selected).
     Commitment and ability to implement a gender-appropriate 
and culturally competent project, as evidenced in such areas as 
staffing, intervention strategies, instrumentation, and evaluation.

Evaluation Plan

     Clarity, feasibility, appropriateness, completeness, and 
adequacy, including adequacy of resources of the evaluation plan to 
meet the requirements for process and outcome evaluation as outlined in 
this Announcement. For the outcome evaluation, particularly, the 
adequacy of the design and methodology to demonstrate the effectiveness 
of the intervention must be shown.

Personnel, Management Plan, and Resources

     Evidence of (1) capability and experience of the applicant 
organization; (2) appropriate qualifications of the Program Director, 
Chief Evaluator, and other key personnel.
     Feasibility of the proposed project in terms of (1) time 
frames, (2) adequacy, availability and accessibility of facilities and 
resources, and (3) reasonable and effective project management plan.
     Documentation of specific commitments from proposed 
collaborators for resources committed to the project (e.g., shared 
staff, work space, training or other services) as well as support for 
the project from relevant sources (e.g., Government agencies, community 
agencies, other local groups).

Budget

     Appropriateness of the budget for each year of the 
proposed activities.

Participant Protection

     Adequacy of procedures for the protection of participants.
    Award Decision Criteria: Applications recommended for approval by 
the Initial Review Group and by the appropriate advisory council will 
be considered for funding primarily on the basis of their overall 
technical merit as determined through the review process.
    Other award considerations will include:

     Availability of funds.
     Geographic (within the U.S.) and urban/rural balance.
     Balance among types of prevention strategies in CSAP's 
grant portfolio.
     Balance among multi-cultural populations in CSAP's grant 
portfolio.
     Evidence of support for the proposed project from the 
Single State Agency for Alcohol and/or Drug Abuse.
     Applications from community-based organizations.
     Applications that address the needs of children of 
substance abusers, latchkey children, children at risk of abuse or 
neglect, preschool children eligible for services under the Head Start 
Act, children at risk of dropping out of school, children at risk of 
becoming adolescent parents, and children who do not attend school and 
who are at risk of being unemployed.
     Evidence that project will demonstrate a coordinated 
approach to providing comprehensive substance abuse and prevention and 
related services to the target population.

Contacts for Additional Information

    Questions concerning program issues may be directed to: Michele M. 
Basen, M.P.A. or Catherine D. Nugent, M.S., Division of Demonstrations 
for High Risk Populations, Center for Substance Abuse Prevention, 
Rockwall II, room 9B-03, 5600 Fishers Lane, Rockville, MD 20857, (301) 
443-9110.
    Questions regarding grants management issues may be directed to: 
Margaret E. Heydrick, Grants Management Officer, Center for Substance 
Abuse Prevention, Rockwall II Building, room 640, 5600 Fishers Lane, 
Rockville, Maryland 20857, (301) 443-3958.

    Note: For the hearing impaired, a TDD machine is available. 
However, prior notification, including date and time of TDD call, 
must be given by voice to (301) 443-9110 to ensure staff coverage of 
the TDD. The TDD number is (301) 443-2261.

    Dated: March 18, 1994.
Richard Kopanda,
Acting Executive Officer, SAMHSA.
[FR Doc. 94-6863 Filed 3-23-94; 8:45 am]
BILLING CODE 4162-20-P