Overview

Background: President Bush called on the U.S. Department of Health and Human Services (HHS) to realize his vision of a Healthier US in which its citizens use the power of prevention to help lead longer, healthier lives. Today, HHS Secretary Tommy Thompson is using the power of prevention to help prevent, delay, and/or reduce disability from chronic disease and illnesses, including substance abuse and mental illnesses, which take a toll on health, education, workplace productivity, community engagement, and overall quality of life. Research has shown that a broad array of evidence-based programs can effectively prevent substance abuse, promote mental health, and prevent related health and social problems by reducing risk factors and increasing protective factors. SAMHSA’s National Registry of Effective Programs (www.modelprograms.samhsa.gov) identifies 50 models proven to work.

Barriers to Effective Prevention: All too often, individuals, communities, or State and Federal agencies do not translate into action what is known about prevention. The result is increased health care costs, lost education and employment opportunities, disability, and lost lives. Efforts to promote prevention have been hindered, in part, by insufficient collaboration and coordination to accomplish what needs to be done. Separate funding silos and the absence of a common strategic prevention framework have frustrated the kind of cross-program and cross-system approach that health promotion and disease prevention demand.

1. Profiling needs and response capacity;
2. Mobilizing and building needed capacity;
3. Developing a prevention plan;
4. Implementing programs, policies and strategies based on what is known to be effective; and
5. Evaluating program effectiveness; sustaining what has worked well.
6. This five-step process provides an effective prevention framework that can be embraced by multiple agencies and levels of government that share common goals.

How It Will Work

SAMHSA has announced the availability of $45 million in FY 2004 to enable States, Territories and the District of Columbia to adopt and implement SFP to deliver and sustain effective substance abuse prevention and mental health promotion programs in their communities. Applicants must leverage and coordinate all prevention-related sources of funding, including the 20 percent prevention Substance Abuse Block Grant set-aside and other resources. For this reason, eligibility is limited to the immediate office of the Governor.

The program will be implemented through a partnership between the State and community-level organizations. A minimum of 85 percent of the total grant award must be allocated to communities for data-based decision-making and evidence-based prevention efforts. Both State and community funding recipients are expected to be involved in each of the five SPF steps. Grant applications are due on July 2, 2004. For more information contact SAMHSA’s Office of Communications (301) 443-8956.

Competitive Grant Program: To provide the Nation with a structured approach to substance abuse prevention and mental health promotion based on the best that science has to offer, HHS Secretary Tommy G. Thompson launched the Strategic Prevention Framework. A Notice of Funding Availability for Strategic Prevention Framework State Incentive Grants (SPF) was published by SAMHSA in the Federal Register on April 29, 2004. The $45 million competitive grant program enables States, Territories and the District of Columbia to bring together multiple funding streams from multiple sources to create and sustain a community-based approach to substance abuse prevention and mental health promotion that cuts across existing programs and systems. The program goals are to: prevent the onset and reduce the progression of substance abuse, including childhood and underage drinking, reduce substance abuse related problems in communities, and build prevention capacity and infrastructure at the State and community levels.

Risk and Protective Factor Approach: The SPF is built on a community-based risk and protective factors approach to prevention. For example, family conflict, low school readiness, and poor social skills increase the risk for conduct disorders and depression, which in turn increase the risk for adolescent substance abuse, delinquency, and violence. Protective factors such as strong family bonds, social skills, opportunities for school success, and involvement in community activities can foster resilience and mitigate the influence of risk factors. Risk and protective factors exist in the individual, the family, the community, and the broader environment.

A Step-by-Step Process: Moving SPF from vision to practice is a process that States and communities must undertake in partnership. States will provide leadership, technical support and monitoring to ensure that participating communities are successful in implementing the five steps known to promote youth development, reduce risk-taking behaviors, build assets and resilience, and prevent problem behaviors across the life span: These steps include:

1. Profile Needs and Response Capacity – Communities must assess their mental health and substance abuse-related problems including magnitude, location, and associated risk and protective factors. Communities must also assess assets and resources, service gaps, and readiness.
2. Mobilize and Build Needed Capacity – Communities engage key stakeholders, build coalitions, organize and train, and leverage resources to ready for prevention efforts.
3. Develop a Prevention Plan – Communities establish a strategic plan that includes strategies for organizing and implementing prevention resources. It must be based on documented needs, build on identified resources, set baselines, objectives and performance measures.
4. Implement Programs, Policies and Strategies Based on What is Known to be Effective – Communities implement evidence-based prevention efforts specifically designed to reduce risk and promote protective factors identified.
5. Evaluate Program Effectiveness; Sustain What has Worked Well – Communities monitor and report outcomes to assess program effectiveness and service delivery quality, and to determine if objectives are being attained.

Focusing on Results: SPF success will be measured by specific outcomes, among them: abstinence from drug use and alcohol abuse, reduction in substance abuse-related crime, attainment of employment or enrollment in school, increased stability in family and living conditions, increased access to services, and increased social connectedness. Communities will work collaboratively with their State to collect, analyze, report and track these critical data.

Funding Now Available: SAMHSA anticipates making approximately 20 awards of up to $3 million per year for each of up to 5 years to applicants that compete successfully through a rigorous grant review process. Because applicants must have the ability to leverage and coordinate prevention-related sources of funding and other resources, eligibility for the SPF grant is limited to the immediate office of the Governor in States and Territories that receive the Substance Abuse Prevention and Treatment Block Grant. A minimum of 85 % of the grant award must be allocated to communities for local activities. The remaining funds maybe used by States for program coordination, technical assistance, and evaluation. Applications are due July 2, 2004. Copies are available on this site and by phone from SAMHSA’s National Clearinghouse on Alcohol and Drug Information, at 1-800-729-6686. For more information contact SAMHSA’s Office of Communications (301)443-8956.