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FY 2011 Grant Request for Applications (RFA)

Strategic Prevention Framework State Prevention Enhancement Grants (Short Title: SPE Grants)

Initial Announcement

Request for Applications (RFA) No. SP-11-004
Posting on April 8, 2011
Original Receipt date: June 3, 2011
Announcement Type: Initial

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

Key Dates

Application Deadline Applications are due by June 3, 2011
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 (SAMHSA), Center for Substance Abuse Prevention (CSAP), is accepting applications for fiscal year (FY) 2011 Strategic Prevention Framework State Prevention Enhancement grants (Short Title: SPE grants). These awards are designed to strengthen and extend SAMHSA's national implementation of the Strategic Prevention Framework (SPF), so as to bring the SPF to scale and support communities of high need nationwide (see Part I, Section 2.2 for more details).

The SPF process is an integral part of SAMHSA's mission to reduce the impact of substance abuse and mental illness on America's communities. (“Communities,” in the broadest sense, should include community coalitions, which play a vital role in creating successful State and Tribal prevention systems.) With a broad, national scope, the SPE Program is designed to support States, Territories and Tribes (hereinafter referred to as States and Tribes) in enhancing their infrastructures to reduce the impact of substance abuse. Through stronger, more strategically aligned substance abuse infrastructures, SPE States and Tribes will be better positioned to apply the SPF process to implement data-driven, evidence-based prevention programs, policies and practices in their communities.

These 1-year SPE cooperative agreements are intended to support States, Territories and Tribal entities in strengthening and enhancing their current prevention infrastructure to support more strategic, comprehensive systems of community-oriented care. SPE funding will foster more responsive, interactive State and Tribal systems that can better address and adjust to the complexities of evolving health care initiatives and their fiscal implications for communities of high need.

The SPE Program calls upon Single State Agency Directors and Tribal Leaders to capitalize on their State or Tribe's ability to implement the SPF process, to assess the current state of their prevention infrastructure, identify gaps and develop a long-term, data-driven strategic plan to restructure, enhance and further strengthen their State and Tribal system to better meet the emerging needs of populations throughout their communities. It provides the foundation for assuring that behavioral health plays an essential role in responding to the Nation's rapidly evolving health care delivery system. It is rooted in the belief that SAMHSA's State and Tribal grantees have a pivotal, strategic role to play at this time in helping to shape the direction and implementation of their State-wide systems in support of SAMHSA's overall prevention mission.

Key SPE grant requirements include the development and submission to SAMHSA/CSAP of two State/Tribal plans: 1) a Capacity Building/Infrastructure Enhancement Plan at the end of the 3rd month of the grant and 2) a comprehensive, 5-year Strategic Prevention Plan at the end of the 11th month of the grant. The Strategic Prevention Plan must provide a description of progress and accomplishments made to date, outline the work that remains to be done, and provide an action plan for the future, with action steps, estimated timelines, available resources and responsible parties.

SPE grants are authorized under Section 516 of the Public Health Service Act, as amended. This announcement addresses Substance Abuse Topic Area HP 2020-SA. This RFA addresses SAMHSA's Strategic Initiative #1: Prevention of Substance Abuse and Mental Illness.

SAMHSA strongly encourages all grantees to provide a smoke-free workplace and to promote abstinence from all tobacco products (except in regard to accepted Tribal traditions and practices.)

Addressing SAMHSA's Goals for Prevention

Grantees must ensure that their SPE projects address and are closely aligned with the four goals listed in SAMHSA Initiative #1: Prevention of Substance Abuse and Mental Illness; and with two other SPE-specific goals (i.e., workforce development and policy development) as listed below. Additionally, grantees must ensure that all components of their Capacity Building/Infrastructure Enhancement Plan and their 5-year, comprehensive Strategic Plan align closely with these goals. (In the sections below, we provide detailed discussion about these two important plans and other SPE requirements.)

SAMHSA Initiative #1 Goals

Goal 1.1: With primary prevention as the focus, build emotional health, prevent or delay onset of, and mitigate symptoms and complications from substance abuse and mental illness.

Goal 1.2: Prevent or reduce consequences of underage drinking and adult problem drinking.

Goal 1.3: Prevent suicides and attempted suicides among populations at high risk, especially military families, LGBTQ youth, or American Indians and Alaska Natives.

Goal 1.4: Reduce prescription drug misuse and abuse.

Additional SPE-specific Goals

  1. Enhance State/Tribal workforce development (e.g., training, support for licensure, credentialing, or accreditation).
  2. Enhance State/Tribal Policy development to support needed service system improvements (e.g., rate-setting activities, establishment of standards of care, development/revision of credentialing, licensure, or accreditation requirements).


Eligible applicants are States, Territories, the District of Columbia, and federally recognized American Indian/Alaska Native Tribes or Tribal organizations. Applications must be submitted by the agency that receives the Substance Abuse Prevention and Treatment (SAPT) Block Grant (i.e., by the Director of the Single State Agency for Substance Abuse in the States and the District of Columbia; by the equivalent officer in the U.S. Territories; and by the highest ranking Tribal official in federally recognized American Indian/Alaska Native Tribes or tribal organizations.)

"Tribal organization" means the recognized body of any AI/AN Tribe; any legally established organization of American Indians/Alaska Natives which is controlled, sanctioned, or chartered by such governing body or which is democratically elected by the adult members of the Indian community to be served by such organization and which includes the maximum participation of American Indians/Alaska Natives in all phases of its activities.

The SPE grant is not open to community applicants, as it is designed for the sole purpose of strengthening and enhancing State- and Tribal-level infrastructures and systems.

Award Information

Funding Mechanism: Grant
Anticipated Total Available Funding: Up to $27.1 million
Anticipated Number of Awards: Up to 80 awards
Anticipated Award Amount: Between $150,000 and $600,000
Length of Project Period: Up to 1 year

Contact Information

For questions about program issues contact:

Tonia Gray
Substance Abuse and Mental Health Services Administration
Center for Substance Abuse Prevention, Division of State Programs
1 Choke Cherry Road
Room 4-1040
Rockville, Maryland 20857
(240) 276-2492


Flo Dwek
Substance Abuse and Mental Health Services Administration
Center for Substance Abuse Prevention, Division of State Programs
1 Choke Cherry Road
Room 4-1042
Rockville, Maryland 20857
(240) 276-2574

For questions on grants management and budget issues contact:

Eileen Bermudez
Substance Abuse and Mental Health Services Administration
Office of Program Services, Division of Grants Management
1 Choke Cherry Road
Room 7-1079
Rockville, Maryland 20857
(240) 276-1412

Documents Needed to Complete a Grant Application



2. GRANT Application Package


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: 04/11/2011