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FY 2009 RFA Grant Application Information (RFA)

Application Information Center for Substance Abuse Prevention (CSAP)

Request for Applications (RFA)

Strategic Prevention Framework State Incentive Grant Program
Short Title: SPF SIG

(Initial Announcement)


Request for Applications (RFA) No. SP-09-001
Posting on August 26, 2008
Receipt date: November 7, 2008
Announcement Type: Initial

Catalogue of Federal Domestic Assistance (CFDA) No
.: 93.243

Key Dates:

Application Deadline

Applications are due by November 7, 2008

Intergovernmental Review
(E.O. 12372)

Applicants must comply with E.O. 12372 if their State(s) participates.  Review process recommendations from the State Single Point of Contact (SPOC) are due no later than 60 days after application deadline.

Public Health System Impact Statement (PHSIS)/Single State Agency Coordination

Applicants must send the PHSIS to appropriate State and local health agencies by application deadline. Comments from Single State Agency are due no later than 60 days after application deadline.

The Substance Abuse and Mental Health Services Administration, Center for Substance Abuse Prevention is accepting applications for fiscal year (FY) 2009 to fund Strategic Prevention Framework State Incentive Grants (SPF SIGs).  The purpose of the SPF SIG program is to provide funding to States, Federally recognized Tribes and U.S. Territories* in order to:

  • Prevent the onset and reduce the progression of substance abuse, including childhood and underage drinking;
  • Reduce substance abuse-related problems; and
  • Build prevention capacity and infrastructure at the State, tribal, territorial and community-levels.

*For the purposes of this announcement, the dual term “States/Tribes” used throughout the text will also be inclusive of the U.S. Territories and the District of Columbia.

The Strategic Prevention Framework (SPF) is built on a community-based approach to prevention and a series of implementation principles that can be operationalized at the Federal, State and community levels.  Although the direct recipients of SPF SIG funds will be States/Tribes, SAMHSA envisions the SPF SIGs being implemented through partnerships between the States/Tribes and communities. 

Descriptions of Required Activities (Part I, Sections 2.2 and 2.3) and Evaluation Criteria (Part V, Sections 1.1 and 1.2) under this announcement are divided into two discrete parts: one directed to States and Territories and the other directed to Federally recognized Tribes.  Applicants should pay close attention to the instructions and guidance provided to the eligible group under which they may apply.  Where appropriate, instructions that pertain to both groups will be specified accordingly.

The SPF SIG program provides an effective, comprehensive prevention process, a direction and a common set of goals to be adopted and integrated at all levels.  Research has shown that to effectively change attitudes, perception, and ultimately, behavior, prevention strategies must include a comprehensive approach that addresses both the individual and the environment.  Substance abuse prevention strategies that address the shared environment are the most effective approach for large populations and are the most cost effective.  It is critical for States/Tribes to develop an infrastructure that supports the implementation of the most effective programs, policies and practices.     

The SPF SIG program is one of SAMHSA’s infrastructure and service delivery grant programs.  The program supports an array of activities to help grantees build a solid foundation for delivering and sustaining effective substance abuse prevention services and reducing substance abuse problems.  Following the SPF five-step process, SPF SIG grantees develop comprehensive plans for prevention infrastructure and systems at the State and tribal levels.  Ultimately, SPF SIG States/Tribes assist and support selected subrecipient communities to implement effective programs, policies and practices to reduce substance abuse and its related problems.

SAMHSA recognizes that each applicant will start from a unique point in developing infrastructure and will serve subrecipient communities and populations with specific needs.  Awardees may pursue diverse strategies and methods to achieve their infrastructure development and capacity expansion goals.  Successful applicants will provide a coherent and detailed conceptual “roadmap” of the process by which they have assessed or intend to assess service system needs and plan/implement infrastructure development strategies that meet those needs.  The plan put forward in the grant application must show the linkages among needs, the proposed infrastructure development strategy, and increased system capacity that will enhance and sustain effective programs and services.

As of April 2008, approximately 1.64 million men and women have deployed to serve in Operation Enduring Freedom (OEF) and Operation Iraqi Freedom (OIF) in support of the Global War on Terror.  Individuals returning from Iraq and Afghanistan are at increased risk for suffering post-traumatic stress and other related disorders.  Experts estimate that up to one-third of returning veterans will need mental health and/or substance abuse treatment and related services.  In addition, the family members of returning veterans have an increased need for related support services.  To address these concerns, SAMHSA strongly encourages all applicants to consider the unique needs of returning veterans and their families in developing their proposed project.

The use of alcohol by children and youth under the age of 21 continues to be a severe and persistent problem in States, Territories and Tribes.  SAMHSA/CSAP is committed to bringing down the rates of underage drinking.  The SPF SIG program offers an excellent vehicle for supporting this goal.  Accordingly, SAMHSA/CSAP encourages applicants to carefully consider the problem of underage drinking in their respective communities and population(s) of focus and address it when documented in their needs assessment as part of Step 1 of the SPF process.

The SPF SIG program is authorized under section 516 of the Public Health Service Act, as amended.  This announcement addresses Healthy People 2010 focus area 26, Substance Abuse.


Eligible applicants are the immediate Office of the Chief Executive (e.g., Governor) in the States, U.S. Territories or District of Columbia; and Federally recognized Tribes. The Chief Executive of the State, Territory, or District of Columbia; or of the Federally recognized Tribe must sign the application. Following the initial award, the Chief Executive or highest ranking official may delegate responsibility for the grant, including signatory authority for continuation applications, to a State Agency, State Official, or duly authorized official. Only those applicants that have not previously received a SPF SIG are eligible.

All tribal applicants must be listed in the Federal Register Notice as Federally recognized Tribes.

(Go to for a link to Federally recognized Tribes.) Refer to Appendix F, Glossary, for a definition of the term “Federally recognized Tribes.”)

Award Information

Funding Mechanism:

Cooperative Agreement

Anticipated Total Available Funding: Approximately $38.1 million
Anticipated Number of Awards: Approximately 20 Awards for States/Territories and/or Federally recognized Tribes
Anticipated Award Amount:

Up to $2.3 million per year

Length of Project Period: Up to five years

Proposed budgets cannot exceed $2.3 million dollars in total costs (direct and indirect) in any year of the proposed project.  Annual continuation awards will depend on the availability of funds, grantee progress in meeting project goals and objectives, timely submission of required data and reports, and compliance with all terms and conditions of award.  Total awards will be based on the per capita population, utilizing the base amount of $500,000.  An additional $7.20 will be added for each person above the population base, with the total grant award not to exceed $2.3 million.

This program is being announced prior to the appropriation for FY 2009 for SAMHSA’s programs, with funding estimates based on the President’s budget request for FY 2009.  Applications are invited based on the assumption that sufficient funds will be appropriated for FY 2009 to permit funding of a reasonable number of applications solicited.  All applicants are reminded, however, that we cannot guarantee that sufficient funds will be appropriated to permit SAMHSA to fund any applications.

Contact Information

For questions on program issues, contact:

Mr. Mike Lowther
Division Director, Division of State Programs
Center for Substance Abuse Prevention
1 Choke Cherry Road, Room 4-1037
Rockville, MD 20857
(240) 276-2581

Mr. Allen Ward
Lead Public Health Advisor, Division of State Programs
Center for Substance Abuse Prevention
1 Choke Cherry Road, Room 4-1048
Rockville, MD 20857
(240) 276-2444

For questions on grants management issues, contact:

Edna Frazier
Office of Program Services, Division of Grants Management          
Substance Abuse and Mental Health Services Administration
1 Choke Cherry Road
Room 7-1087
Rockville, Maryland 20857
(240) 276-1405

Documents needed to complete a grant application:

Applications that are not submitted on the required application form will be screened out and will not be reviewed.

You must respond to the requirements in the RFA in preparing your application.

PHS 5161-1 (revised July 2000): Includes the face page, budget forms and checklist. Applications that are not submitted on the required application form will be screened out and will not be reviewed.

Additional Materials

For further information on the forms and the application process, see Useful Information for Applicants

Additional materials available on this website include:


Last updated: 03/27/2009