NIH GUIDE, Volume 23, Number 16, April 29, 1994

PA NUMBER:  PA-94-061



National Institute on Drug Abuse


The purpose of this program announcement is to encourage the

scientific study of drug abuse prevention strategies that are based

in the school environment to determine their efficacy in preventing

the initiation of drug use and dependent patterns of drug abuse.  Two

major types of research are included under this program announcement:

new innovative, theory-based school-based programs/curricula; and,

the evaluation of existing school-based programs/curricula that have

been well-established within schools for a number of years.  Research

must include both process and controlled outcome studies and must

examine the relationship between process and outcome.  Where

possible, impact measures should be included.  Process studies

examine the extent to which the program has been implemented as

designed.  Outcome studies assess the extent to which the programs

have achieved their desired effects.  These studies should focus not

only on drug use behaviors but also on those behavioral, attitudinal,

cognitive, and environmental factors that are to be influenced by the

intervention.  Finally, impact studies analyze the extent to which

the programs have altered drug use practices at the school,

neighborhood or community level.  Follow-up analyses should emphasize

the relationship between the mediating variables and drug usage

patterns.  Studies focused upon rural and inner city schools are



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 program

announcement, School-based Prevention Intervention Research, is

related to the priority area of alcohol and other drug abuse.

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).


Applications may be submitted by foreign and domestic, for-profit and

non-profit organizations, public and private, such as universities,

colleges, hospitals, laboratories, research institutions, units of

State or local governments, and eligible agencies of the Federal

government.  Applicants from minority individuals and women are

encouraged.  Foreign institutions are not eligible for First

Independent Research Support and Transition (FIRST) (R29) Awards.


Support mechanisms include research projects grants (R01), small

grants (R03), FIRST awards (R29), and program projects (P01).

Because the nature and scope of the research proposed in response to

this program announcement may vary, it is anticipated that the size

of an award will also vary.


The goal of this program announcement is to invite applications from

researchers who wish to study the efficacy and effectiveness of

school-based interventions.  The specific objectives of this research

program are to promote research studies that examine the relationship

between theory-based prevention intervention strategies and drug

using behaviors with special emphasis on delineating the effects of

these interventions on one or more of the following domains:

cognitive, affective/interpersonal, behavioral, environmental/policy,

and therapeutic as discussed below.

Cognitive preventive strategies focus primarily on increasing the

target population's knowledge of the pharmacologic effects and

physical/social consequences of drug use and abuse, and on

establishing attitudes and belief structures that are supportive of a

drug-free lifestyle.

Prevention strategies that include affective and interpersonal

factors attempt to strengthen children's inner emotional and

psychological resources by improving feelings of self-concept and

self-worth and by assisting children to become more aware of their

own feelings and those of others.  Although these intervention

strategies may not directly target drug using behaviors per se, their

underlying premise is that by focusing on children's psychological

development, the potential for involvement with drugs will be


The foundation of behavioral intervention strategies are the

philosophy and tools of behavioral therapy.  Through these

interventions children are taught resistance scenarios and skills to

prevent involvement in drug using behaviors.  Six steps usually form

the program:  instruction and coaching in resistance techniques,

modeling of the desired behaviors by peers, guided practice and role

playing, feedback from peers and instructors, social reinforcement

through praise, and training for generalization of the new skill to

the children's natural environment.

Environmental/policy strategies include school management activities

to deal with student drug problems.  These would include the

implementation of school drug policies, drug-free school zones, and

may involve parents and community agencies such as the police

department.  The impact on drug abuse and related behaviors of recent

efforts to re-tool school environments (for example, by involving

parents in classrooms, by increasing the use of schools for

non-academic activities, and by encouraging supportive interactions

among students about academic and non-academic problems) could also

be studied.

Finally, therapeutic strategies are designed for children who are

already experiencing adjustment problems in school, the family, and,

the community.  These programs focus on early identification and

referral and may also include alternative day school learning

environments.  The purpose of these programs is to keep children in

school as long as possible while at the same time providing needed

therapy in the form of special educational modules and individual and

group counselling.

A variety of techniques should be employed to realize the aims of

these intervention approaches including peer group discussions,

special classroom activities, dissemination of policy guidelines,

special parent and community organizations, and, individual and group

counselling.  Both the intensity and methods of these interventions

need to be evaluated with respect to immediate effectiveness in

intervening factors (cognitive, behavioral, affective/interpersonal,

environmental/policy and therapeutic) and to long-term drug using


Further study is needed to identify and determine the effects of risk

and protective factors.  Studies that assess long-term effects need

to be carried out.  The relationship between process and outcome

requires examination.  The effect of various strategies in

combination with other strategies needs additional investigation.

Health Services Research

Research specifically targeted toward determining the effectiveness

of school-based drug prevention programs as part of the health care

services system is encouraged.  These studies should assess the

effectiveness of drug prevention programs under real world


Prevention Research in Rural Communities

Drug prevention research within rural communities is encouraged.

Studies are needed to determine the efficacy and effectiveness of

drug prevention programs uniquely suited to the needs of youth and

young adults living in rural America.

Research should ultimately address these questions:

o  what is the validity of the theoretical basis of the intervention?

o  does the intervention achieve the desired effects?

o  to what extent are these effects achieved?

o  for whom is the intervention most effective?

o  what process factors are associated with positive outcomes?

o  what is the cost effectiveness/cost benefit of the intervention?

Application characteristics should include:

o  Specification of a theoretical or conceptual framework for the

intervention and associated hypotheses

o  Specification of the intervention strategy being studied

o  Involvement of some community segment or agency as part of the


o  Specification of target populations and intent of the

intervention, e.g., knowledge, resistance skills, improved academic

competence, measures of increased school/family/community bonding

o  Clarity as to the sampling unit and unit of analysis

o  Experimental or quasi-experimental research designs

o  Specification of period of follow-up both of the intervention and

of the data collection effort

o  Identification of tracking and follow-up into the "at risk" years,

i.e., late adolescence, early adulthood




It is the policy of the NIH that women and members of minority groups

and their subpopulations must be included in all NIH supported

biomedical and behavioral research projects involving human subjects,

unless a clear and compelling rationale and justification is provided

that inclusion is inappropriate with respect to the health of the

subjects or the purpose of the research.  This new policy results

from the NIH Revitalization Act of 1993 (Section 492B of Public Law

103-43) and supersedes and strengthens the previous policies

(Concerning the Inclusion of Women in Study Populations, and

Concerning the Inclusion of Minorities in Study Populations) which

have been in effect since 1990. The new policy contains some new

provisions that are substantially different from the 1990 policies.

All investigators proposing research involving human subjects should

read the "NIH Guidelines For Inclusion of Women and Minorities as

Subjects in Clinical Research", which have been published in the

Federal Register of March 9, 1994 (FR 59 11146- 11151), and reprinted

in the NIH GUIDE FOR GRANTS AND CONTRACTS of March 18, 1994, Volume

23, Number 11.

Investigators may obtain copies from these sources or from the

program staff or contact person listed below.  Program staff may also

provide additional relevant information concerning the policy.


Applications are to be submitted on the grant application form PHS

398 (rev. 9/91) and will be accepted at the standard application

deadlines indicated in the application kit.  Receipt dates for

applications for AIDS-related research are found in the PHS 398


Application kits are available at most institutional offices of

sponsored research and may be obtained from the Office of Grants

Information, Division of Research Grants, National Institutes of

Health, Westwood Building, Room 449, Bethesda, MD 20892, telephone

301/710-0267.  The title and number of this program announcement must

be typed in Item 2a on the face page of the application form PHS 398.

FIRST applications must include at least three sealed letters of

reference attached to the face page of the original application.

FIRST applications submitted without the required number of reference

letters will be considered incomplete and will be returned without


Other NIDA program announcements may be obtained from the Grants

Management Branch, National Institute on Drug Abuse, 5600 Fishers

Lane, Room 8A54, Rockville, MD 20857, telephone 301/443-6710.

The completed original and five legible copies of the application

form PHS 398 must be sent or delivered to:

Division of Research Grants

National Institutes of Health

Westwood Building, Room 240

Bethesda, MD  20892**


Applications will be assigned on the basis of established PHS

referral guidelines.  Applications will be reviewed for scientific

and technical merit by initial review groups in accordance with the

standard NIH peer review procedures.  Following the

scientific-technical review, the applications will receive a

second-level review by the appropriate national advisory council.

Small grant applications (R03) do not receive a second-level review.


Applications will compete for available funds with all other

applications assigned to the NIDA.  The following will be considered

in making funding decisions:

o  Quality of the proposed project as determined by peer review;

o  Availability of funds; and

o  Program balance among research areas of the announcement.


Written and telephone inquiries are encouraged.  The opportunity to

clarify any issues or questions from potential applicants is welcome.

Direct inquiries regarding programmatic issues to:

Larry A. Seitz, Ph.D.

Division of Epidemiology and Prevention Research

National Institute on Drug Abuse

Parklawn Building, Room 9A53

5600 Fishers Lane

Rockville, MD  20857

Telephone:  (301) 443-1514

Direct inquiries regarding fiscal matters to:

Gary P. Fleming, J.D., M.A.

Grants Management Branch

National Institute on Drug Abuse

Parklawn Building, Room 8A54

5600 Fishers Lane

Rockville, MD  20857

Telephone:  (301) 443-6710


This program is described in the Catalog of Federal Domestic

Assistance No. 93.279.  Awards are made under authorization of Public

Health Service Act, Section 301 (42 USC 241) and administered under

PHS grants policies and Federal Regulations at Title 42 CFR Part 52,

"Grants for Research Projects," Title 45 CFR part 74 & 92,

"Administration of Grants," and 45 CFR Part 46, "Protection of Human

Subjects."  Title 42 CFR Part 2 "Confidentiality of Alcohol and Drug

Abuse Patient Records" may also be applicable to these awards.  This

program is not subject to intergovernmental review requirements of

Executive Order 12372 or Health Systems Agency review.  Sections of

the Code of Federal Regulations are available in booklet form from

the U.S. Government Printing Office.  Awards must be administered in

accordance with the PHS Grants Policy Statement (rev. 10/90), which

may be available from your office of sponsored research.


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