Full Text HS-94-007 EVALUATION OF THE USE OF CLINICAL PRACTICE GUIDELINES NIH GUIDE, Volume 23, Number 16, April 29, 1994 RFA: HS-94-007 P.T. 34 Keywords: 0715123 AIDS Burns Depression Agency for Health Care Policy and Research National Institute of Mental Health Letter of Intent Receipt Date: June 17, 1994 Application Receipt Date: July 21, 1994 PURPOSE The Agency for Health Care Policy and Research (AHCPR) and the National Institute of Mental Health (NIMH) invite applications for cooperative agreements related to evaluating AHCPR-supported clinical practice guidelines. Specifically, cooperative agreements are sought to evaluate the effects of implementing practice guidelines in primary care. The AHCPR-supported clinical practice guidelines relevant to this Request for Applications (RFA) are: (1) Urinary Incontinence in Adults; (2) Early HIV Infection: Evaluation and Management; (3) Sickle Cell Disease: Screening, Diagnosis, Management, and Counseling in Newborns and Infants; (4) Unstable Angina: Diagnosis and Management; and (5) Depression in Primary Care: Detection, Diagnosis and Treatment. NIMH will support grants only on the depression guideline. 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 RFA, Evaluation of the Use of Clinical Practice Guidelines, is related to several priority areas. 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). ELIGIBILITY REQUIREMENTS Applications may be submitted by domestic organizations, public and private, including universities, clinics, State and local governments, and non-profit foundations; or consortium of organizations. The AHCPR by law can support only non-profit organizations or a consortium of organizations, if the application is submitted by a domestic, non-profit, public or private organization. The NIMH can directly support for-profit organizations. Applications from minority and women investigators are encouraged. MECHANISM OF SUPPORT The administrative and funding instrument for this program will be the cooperative agreement (U01), an "assistance" mechanism in which substantial AHCPR scientific and programmatic involvement with the awardee is anticipated during the performance of the project. The total project period for each application submitted in response to this RFA may not exceed three years. The anticipated award date is September 30, 1994. Award of funding beyond the initial budget period will depend upon annual progress reviews by the AHCPR/NIMH and the availability of funds. FUNDS AVAILABLE The AHCPR expects to award a total of $750,000 for the first year to support up to three awards. NIMH expects to award a total of $750,000 for the first year to support up to three awards for studies on the depression guideline. This is a one time solicitation. RESEARCH OBJECTIVES Background A major effort of the AHCPR has been to facilitate the development and dissemination of clinical practice guidelines to help practitioners provide appropriate and effective care. Evaluation of AHCPR-supported clinical practice guidelines has been ongoing, with several contracts and cooperative agreements underway. An RFA for cooperative agreements released January 24, 1992 led to the award of agreements to demonstrate methods to evaluate the implementation of two guidelines. This previous RFA required the studies to be conducted in large group practice settings and incorporate principles of continuous quality improvement (CQI). The current RFA does not have these restrictions, deals with five AHCPR-supported clinical practice guidelines, and is not directed at evaluation of the implementation method. Interest in clinical practice guideline development in the United States has grown steadily in recent years, and is anticipated to continue. Guidelines have many possible intended and unintended effects. AHCPR-supported guidelines are intended to enhance the quality, appropriateness, and effectiveness of health care. The authorizing legislation for the AHCPR requires guidelines that "may be used by physicians, educators, and health care practitioners to assist in determining how diseases, disorders, and other health conditions can most effectively and appropriately be prevented, diagnosed, treated and managed clinically." Guidelines are expected to facilitate the appropriate use of specific interventions, while discouraging inappropriate use. Consequently, many guidelines are expected to have some effect on health care costs. Although guidelines may have many different effects, this RFA is limited to studying the effects specified below. In general, the effectiveness of clinical practice guidelines in improving the quality of health care depends on the degree to which practitioners alter practice behavior to incorporate the guidelines. A prerequisite to determining practice guidelines' effects on cost, quality and appropriateness of clinical services is to assess their effect on practitioner and patient behavior. Practitioner behavior is therefore an important subject for this RFA. A review of these issues was presented in the previous RFA (see January 24, 1992 NIH Guide or retrieve Document 94-5007 from AHCPR Instant FAX, (301) 594-2800), and more recently by Woolf (Archives Internal Medicine 1993; 153:2646-55) and by Grimshaw and Russell (Lancet 1993; 342: 1317-22). The effect of guidelines on health status is difficult to measure, and may require large and long-term studies. Nevertheless, the effect of guidelines on health status and, in particular, on short-term or intermediate health outcomes is also a legitimate topic for projects under this RFA. Specific Objectives and Methodological Considerations Applicants may study the effects of one or more of the following AHCPR-supported clinical practice guidelines: (1) Urinary Incontinence in Adults; (2) Early HIV Infection: Evaluation and Management; (3) Sickle Cell Disease: Screening, Diagnosis, Management, and Counseling in Newborns and Infants; (4) Unstable Angina: Diagnosis and Management; and (5) Depression in Primary Care: Detection, Diagnosis and Treatment. For copies of these guidelines, contact: AHCPR Publications Clearinghouse P.O. Box 8547 Silver Spring, MD 20907 Telephone: (800) 358-9295 Each AHCPR-supported guideline is available in at least three formats: clinical practice guideline, quick reference guide for clinicians, and patient guide. Applicants may focus their investigation on particular guideline formats or on specific guideline components, providing that the intent and integrity of the guidelines are preserved. The focus of the investigation should be specified clearly in the application. This RFA addresses the question: "How do these AHCPR-supported guidelines make a difference?" Generally, proposed evaluation activities should take the form of experimental or quasi-experimental designs. The evaluation should include pre- and post-intervention measures. A concurrent comparison group not targeted for intervention should be included. The concurrent comparison group need not be insulated from the guidelines, and may receive some information ("attention control"). Alternative research designs may be considered, but applicants should describe a firm scientific basis for the approach(es) approved. Applicants should clearly identify the target group(s) who will be the focus of the intervention and the methods by which the guidelines will be introduced. Research under this RFA should evaluate one or more of the following potential effects of clinical practice guidelines on the delivery of primary care. This may be done in any setting in which the research goal(s) may be met. o What are the guidelines' effects on practitioner behavior? o What is the effect of guidelines on practitioner attitudes towards treating or managing the subject disease/condition? o What is the effect of guideline implementation on health care service utilization? o What is the effect of guideline implementation on health care costs, considering both decreased costs associated with decreasing inappropriate care and increased costs associated with improved detection, recognition, or treatment? o What effects do guidelines have on patient outcomes, health status, quality of life, or satisfaction with care for the condition under study? o How can methods to measure the effect of clinical practice guidelines be improved or made more efficient? An additional question for research under this RFA is the following: how is guideline implementation affected by the type of organization or practitioner with which implementation occurs? For those evaluating the depression guideline, the following additional questions are suggested: o What is the impact of the guideline implementation on the diagnosis, treatment (pharmacological and psychosocial), and referral of patients suffering from depression? o What is the impact of the depression guideline on patients as measured by self report and clinician ratings? SPECIAL REQUIREMENTS The issuance of awards will be contingent on the availability of funds and on the quality of the applications. No awards will be made if, as a result of the scientific and technical review, applications are not judged to be of high merit. The initial review committee may recommend support for less than the requested period or amount. AHCPR policy regarding evaluation of clinical practice guidelines requires that if a current or former chair, member, consultant, or contractor staff of an AHCPR-supported practice guideline panel is involved in seeking a grant or contract to evaluate an AHCPR-supported guideline that the individual helped develop, this prior relationship must be disclosed in the grant application. AHCPR generally will not award a grant if there is the possible perception of bias or lack of objectivity, except in unusual circumstances to ensure the interests of scientific progress and public health. (The AHCPR policy was published in the July 23, 1993 issue of the NIH Guide. It is available as document number 94-5006 via AHCPR Instant FAX, (301) 594-2800.) Terms and Conditions of Award The administrative and funding instrument to be used for this program will be the cooperative agreement (U01), an assistance mechanism (rather than an acquisition mechanism) in which substantial AHCPR/NIMH scientific and programmatic involvement with the awardee(s) is anticipated during the performance of the activity. The awardee(s) will have primary responsibility for all tasks and activities, including any sampling, protocol development, data collection, data analysis, preparation of publications, community involvement, and liaison with health care providers. The AHCPR/NIMH role in the cooperative agreement will include providing advice in study development; priority setting; establishing two coordinating committees; participation in preparing publications; and disseminating research findings. 1. Awardee Responsibilities The awardee(s) will have primary and lead responsibility for all activities and should describe in the application the plans to: o obtain all data necessary to complete the proposed evaluation(s); o establish and maintain suitable arrangements with health care providers and others appropriate to the evaluation; o use appropriate scientific and analytical expertise to design and complete the evaluation; and o share information with the AHCPR/NIMH collaborating research official and provide feedback to guideline panels regarding any information gained regarding how practitioners sought clarification, revised, or otherwise adapted the guidelines for application to their practices; and o cooperate with AHCPR/NIMH on coordinating committee functions, such as data analysis, the preparation of background information, or other analytical activities relating to the evaluation (since committee structure and scheduling is as yet undetermined, applicants should not budget for committee activities; additional costs associated with committee activities are planned to be funded by grant supplements). The AHCPR/NIMH is committed to disseminating the products of the evaluation as rapidly as possible. In this context, products include both written reports of project information and results, and the data themselves. The AHCPR/NIMH will have access to the products of the evaluation upon request. All rights of access to the data will be consistent with AHCPR regulations 42 CFR 67, Subpart A, as well as with section 903(c) of the PHS Act. 2. AHCPR/NIMH Staff Responsibilities The AHCPR/NIMH collaborator will have substantial scientific and programmatic involvement during the conduct of this activity, through technical assistance, advice, and coordination beyond the normal program stewardship for grants. Collaboration on study design, protocol development, and analysis will occur after the award(s) is (are) made. Specifically, AHCPR's/NIMH's role during the project period will include providing technical assistance, advice, and support to the Principal Investigator in the areas of: o monitoring the evaluation; o contributing to various analyses and their presentations; o establishing two coordinating committees described below; and o disseminating project information and results through AHCPR's/NIMH's publication program and assisting in selecting additional mechanisms for effective dissemination. However, AHCPR's/NIMH's role will not interfere with the individual Principal Investigator's role and responsibility to describe the project and present the results in scientific journals. The AHCPR/NIMH will work with awardees and any other appropriate parties, such as co-funding Institutes, to establish two coordinating committees. One committee will assist various awardees under this RFA in selecting comparable or similar data elements, in order to strengthen the opportunities for pooling data and making broader analyses and inferences. A second committee will oversee collaborative efforts to develop joint papers and other research products that involve pooled data, i.e., data and findings from more than one awardee. There may be considerable overlap in membership of the two coordinating committees. The AHCPR/NIMH collaborators will be ex-officio members of each committee. Each year's continuation award is subject to a progress review by AHCPR/NIMH, in addition to the availability of funds. The progress review may involve a site visit to the awardee by AHCPR/NIMH staff and expert consultants to AHCPR/NIMH. The progress review will address the awardee's progress, compliance with the basic review criteria listed below, and adherence to the provisions of its approved application. If such a continuation review indicates that insufficient progress has been made, AHCPR/NIMH may discontinue funding. The substantial AHCPR/NIMH involvement will apply in addition to and not in lieu of otherwise applicable PHS policies and Federal regulations. If the creation of educational tools or other devices to facilitate implementation of practice guidelines is supported in whole or in part by the award, rights to such tools or devices will be in the public domain. STUDY POPULATIONS INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS 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 NIMH program contact listed under INQUIRIES. The NIMH program contact may also provide additional relevant information concerning the policy. It is the policy of the AHCPR that women and members of minority groups must be included in all AHCPR supported health services 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. The AHCPR supports the new NIH policy, which supersedes and strengthens NIH's previous policies that the AHCPR had adopted. The AHCPR plans to publish guidelines on women and minorities specific to the AHCPR. In the interim, the AHCPR will follow the NIH guidelines, as applicable. The AHCPR program contact listed under INQUIRIES may also provide additional relevant information concerning AHCPR's policy. LETTER OF INTENT Prospective applicants are asked to submit, by June 17, 1994, a letter of intent that includes the name, address, and telephone number of the Principal Investigator, co-investigators and other key personnel; the guidelines selected for evaluation; member institutions, including any other participating organizations or institutions; and the number and title of the RFA. Although a letter of intent is not required, is not binding, and does not enter into the consideration of any subsequent application, the information allows staff to estimate the potential review workload and avoid conflict of interests in the review. The letter of intent is to be sent to the Dr. James Cooper at the address listed under INQUIRIES. APPLICATION PROCEDURES The application receipt date is July 21, 1994. Applications are to be submitted on the research grant application form PHS 398 (rev. 9/91). State and local government applicants may use form PHS 5161, Application for Federal Assistance. These forms are available at most institutional offices of sponsored research; the Office of Grants Information, Division of Research Grants, National Institutes of Health, Westwood Building, Room 449, Bethesda, MD 20892, telephone (301) 710-0267; and, for AHCPR applications, from Global Exchange Inc., 7910 Woodmont Avenue, Suite 400, Bethesda, MD 20814-3015, telephone (301) 656-3100 (FAX 301 652-5264). The RFA label available in the PHS 398 application form must be affixed to the bottom of the face page of the original copy of the application. Failure to use this label could result in delayed processing of the application such that it may not reach the review committee in time for review. In addition, type "RFA HS-94-007" and "Evaluation of the Use of Clinical Practice Guidelines" in Section 2a on the face page of the application form and the YES box must be marked. Complete information must be submitted with the application. Consortium arrangements typically take the form of a formal agreement between the grantee and other organization(s). In the grant application, a separate budget page must be included for each organization involved in the proposed consortium arrangement. The completed, signed, original application, including the Checklist, and four legible copies (two copies when using the PHS 5161) must be sent or delivered to: Division of Research Grants National Institutes of Health Westwood Building, Room 240 Bethesda, MD 20892** Applications submitted under this RFA must be received in the Division of Research Grants, NIH, by July 21, 1994. If an application is received after that date, it will be returned to the applicant. One copy, labeled "Advance Copy," must be submitted simultaneously to: James Cooper, M.D., Project Officer Center for General Health Services Extramural Research Agency for Health Care Policy and Research 2101 East Jefferson Street, Suite 502 Rockville, MD 20852-4908 REVIEW CONSIDERATIONS Upon receipt, applications will be reviewed by the Referral Office, Division of Research Grants, NIH, for completeness, and by AHCPR/NIMH staff for responsiveness to the RFA. Incomplete and nonresponsive applications will be returned to the applicant without further consideration. The determination of any application as nonresponsive will be the sole responsibility of AHCPR/NIMH. Applications may undergo triage by an appropriate peer review group on the basis of relative competitiveness. The AHCPR/NIMH will withdraw from further consideration those applications judged to be non- competitive for award and notify the applicant Principal Investigator and institutional official. Those applications judged to be competitive will undergo further peer review for scientific merit by a review committee of experts convened by the AHCPR. When an application is reviewed, the peer review committee may recommend further consideration for funding or no further consideration. The committee also assigns priority scores to the applications for which further consideration was recommended. Recommendations of the peer review committee will be reviewed subsequently by AHCPR's National Advisory Council for Health Care Policy, Research, and Evaluation; or the Mental Health National Advisory Council. For NIMH, by law, only applications recommended by the Mental Health National Advisory Council can be considered for funding. The peer review process is rigorous, and only those applications judged to be of greatest merit will be recommended for further consideration. Review Criteria The general review criteria for AHCPR/NIMH grant and cooperative agreement applications are: significance and originality from a scientific and technical viewpoint; adequacy of the proposed method(s); availability of data or proposed plan to collect data required for the project; adequacy of the plan for organizing and carrying out the project; qualifications and experience of the principal investigator and proposed staff; reasonableness of the proposed budget; and adequacy of the facilities and resources available to the applicant. Special Review Criteria In addition to the review criteria noted above, the following special scientific and technical review criteria will apply: o the generalizability of the evaluation model, (e.g., the potential to use the evaluation model to evaluate the effect of implementing other guidelines or evaluate guidelines in similar practice settings); o the degree to which the evaluation data (dependent variables) are measures of the intended effects of AHCPR- supported guidelines and of whether the guidelines are being utilized; o the feasibility of widespread implementation of the guidelines in the manner studied; o the implementation assures that subject practitioners are aware of the guidelines, and have adequate knowledge of their content, (i.e. the application provides enough description of how implementation is planned to assure reviewers that the implementation is feasible and suitable); and o accommodation of the effect of time, i.e., secular trends and other time-associated effects, in the concept and analysis. AWARD CRITERIA Applications will compete for available funds with all other applications for this RFA. The following will be considered in making funding decisions: quality of the proposed project as determined by peer review, program balance, and availability of funds. For applications principally assigned to NIMH, the right to convert applications to the research project grant mechanism (R01), as necessary, is reserved by NIMH. INQUIRIES Direct inquiries regarding programmatic issues, including information on the policy of inclusion of women and minorities in study populations, to: James Cooper, M.D., Project Officer Center for General Health Services Extramural Research Agency for Health Care Policy and Research 2101 East Jefferson Street, Suite 502 Rockville, MD 20852-4908 Telephone: (301) 594-1354, ext. 141 Kathy Magruder, Ph.D., M.P.H. Division of Epidemiology and Services National Institute of Mental Health 5600 Fishers Lane, Room 10C-06 Rockville, MD 20857 Telephone: (301) 443-3364 Harold H. Goldstein, Ph.D. Division of Epidemiology and Services National Institute of Mental Health 5600 Fishers Lane, Room 10C-06 Rockville, MD 20857 Telephone: (301) 443-3364 Direct inquiries regarding fiscal matters to: Ralph Sloat Grants Management Office Agency for Health Care Policy and Research 2101 East Jefferson Street, Suite 601 Rockville, MD 20852-4908 Telephone: (301) 594-1447 Bruce Ringler Grants Management Branch National Institute of Mental Health 5600 Fishers Lane, Room 7C-08 Rockville, MD 20857 Telephone: (301) 443-3065 AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance numbers 93.226 and 93.242. Awards are made under authorization of the Public Health Service Act, Title IX and Title IV, Part A (Public Law 78-410 as amended by Public Law 99-158, 42 USC 241 and 285); and administered under the PHS Grants Policy Statement and Federal Regulations 42 CFR 67, Subpart A, 42 CFR 52, and 45 CFR Part 74 and 92. This program is not subject to the intergovernmental review requirements of Executive Order 12372. The Public Health Service strongly encourages all grant recipients to provide a smoke-free workplace and promote the non-use of all tobacco products. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people. .
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