93.243 STRATEGIC PREVENTION FRAMEWORK STATE INCENTIVE GRANT (SPF SIG) APRIL 2008 State Project/Program: STRATEGIC PREVENTION FRAMEWORK STATE INCENTIVE GRANT (SPF SIG) U. S. Department of Health and Human Services Substance Abuse and Mental Health Services Administration Federal Authorization: Section 516 of the Public Health Service Act Public Health Service Act, Title XIX, Part B, Subpart II, as amended, Public Law 102-321; 42 U.S.C. 300X; and 45 CFR, Part 96 State Authorization: General Statutes 122C-117; 122C-141, 122C-143.2, and NCAC T10.1159 N. C. Department of Health and Human Services Division of Mental Health, Developmental Disabilities and Substance Abuse Services Agency Contact Person Program Janice Petersen, Project Administrator Prevention & Early Intervention Team Community Policy Management NC Division of MH/DD/SAS 3021 Mail Service Center Raleigh, NC 27699-3021 (919) 715-5989 Janice.Petersen@ncmail.net Agency Contact Person Financial Katrina Blount Budget and Finance NC Division of MH/DD/SAS 3012 Mail Service Center Raleigh, NC 27699-3012 (919) 881-2446 Katrina.Blount@ncmail.net N. C. DHHS Confirmation Reports: SFY 2008 audit confirmation reports for payments made to Counties, Local Management Entities/Area Authorities, Councils of Government and District Health Departments will be available by around late August to early September at the following web address: http://www.dhhs.state.nc.us/control/ At this site, page down to Letters/reports/forms for ALL Agencies and click on Audit Confirmation Reports (State Fiscal Year 2007-2008). Additionally, audit confirmation reports for Nongovernmental entities receiving financial assistance from the DHHS are found at the same website except select Non- Governmental Audit Confirmation Reports (State Fiscal Years 2006-2008). The auditor should not consider the Supplement to be safe harbor for identifying audit procedures to apply in a particular engagement, but the auditor should be prepared to justify departures from the suggested procedures. The auditor can consider the Supplement a safe harbor for identification of compliance requirements to be tested if the auditor performs reasonable procedures to ensure that the requirements in the Supplement are current. The grantor agency may elect to review audit working papers to determine that audit tests are adequate. B-4 93.243-1 1
1. PROGRAM OBJECTIVES The SPF SIG program is one of SAMHSA s Infrastructure Grant programs. SAMHSA s Infrastructure Grant programs support an array of activities to help grantees build a solid foundation for delivering and sustaining effective substance abuse and/or mental health services. The SPF SIGs, in particular, will provide funding to States to implement SAMHSA s Strategic Prevention Framework in order 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. The Strategic Prevention Framework is built on a community-based risk and protective factors approach to prevention and a series of guiding principles that can be operationalized at the Federal, state and community levels. Although the direct recipients of SPF SIG funds will be the states, SAMHSA envisions the SPF SIGs being implemented through partnerships between the states and communities. The SPF-SIG award will enable the State to assess needs through assistance from an epidemiological workgroup, work with local management entities (LMEs) to assess local needs, refine the comprehensive prevention strategy,select appropriate evidenced based practices, implement these practices to populations in need,and monitor state and local outcomes. The grant identified a regional structure that will enable the state to compile a comprehensive assessment and to provide on-going programming on a state-wide basis. The State will work with the Local Management Entities/Area Authorities (LME/AA) to select regional centers to provide appropriate evidence-based practices. II. PROGRAM PROCEDURES The SPF-SIG grant award will enable the State to assess needs through assistance from an epidemiological workgroup, work with the local management entities (LMEs) to assess local needs, refine the comprehensive prevention strategy, select appropriate evidence-based practices, implement these practices to populations in need, and monitor State and local outcomes. The grant identified a regional structure that will enable the State to compile a comprehensive assessment and to provide on-going programming on a state-wide basis. Four regional Centers for Prevention Resources (CPRs) were identified in strategic geographical locations to represent the east, north central, south central, and western portions of the State. The Research Triangle Institute (RTI) and Pacific Institute for Research and Evaluation (PIRE) were awarded contracts to carry out the goals and objectives of this grant. Through the SPF SIG, states will provide the requisite leadership, technical support and monitoring to ensure that identified communities are successful in implementing the five steps of the framework listed below. These steps are required, and all targeted communities must implement all five steps: 1) Profile population needs, resources, and readiness to address the problems and gaps in service delivery B-4 93.243-1 2
Communities must accurately assess their substance abuse-related problems using epidemiological data provided by the State as well as other local data. The epidemiological data must identify the magnitude of the problem to be addressed, where the problem is greatest, and risk and protective factors associated with the problem. Communities must also assess community assets and resources, gaps in services and capacity and readiness to act. 2) Mobilize and/or build capacity to address needs Engagement of key stakeholders at the State and community levels is critical to plan and implement successful prevention activities that will be sustained over time. Key tasks may include, but are not limited to, convening leaders and stakeholders; building coalitions; training community stakeholders, coalitions, and service providers; organizing agency networks; leveraging resources; and engaging stakeholders to help sustain the activities. 3) Develop a Comprehensive Strategic Plan Communities must develop a strategic plan that articulates not only a vision for the prevention activities, but also strategies for organizing and implementing prevention efforts. The strategic plan must be based on documented needs, build on identified resources/strengths, set measurable objectives and include the performance measures and baseline data against which progress will be monitored. Plans must be adjusted as the result of ongoing needs assessment and monitoring activities. The issue of sustainability should be a constant throughout each step of planning and implementation and should lead to the creation of a long-term strategy to sustain policies, programs and practices. 4) Implement evidence-based prevention programs and infrastructure development activities Local stakeholders will use the findings of their needs assessments to guide selection and implementation of policies, programs and practices proven to be effective in research settings and communities. Community implementers must ensure that culturally competent adaptations are made without sacrificing the core elements of the program. 5) Monitor process, evaluate effectiveness, sustain effective programs/activities, and improve or replace those that fail Ongoing monitoring and evaluation are essential to determine if the outcomes desired are achieved and to assess program effectiveness and service delivery quality. Communities must provide performance data to the SPF SIG States on a regular basis, so that the States can monitor, evaluate, sustain and improve the Strategic Prevention Framework activities in the State. Although the first three steps of the Strategic Prevention Framework will continue at some level throughout the course of the project, SAMHSA expects that the SPF SIG grantees will be ready to begin implementing steps 4 and 5 by the end of the first year of the project. III. COMPLIANCE REQUIREMENTS Crosscutting Requirements The DHHS/Division of Mental Health, Developmental Disabilities and Substance Abuse Services (DMHDDSAS) mandates that all the testing included within the crosscutting B-4 93.243-1 3
section be performed by the local auditors. Please refer to that section, which is identified as DMH-0 for those mandated requirements. A. Activities Allowed or Unallowed Community based organizations may expend SPF-SIG funds as approved in their performance contract and as approved by SAMSHA grants management and the division budget office. B. Allowable Costs/Cost Principles All grantees that expend State funds (including federal funds passed through the N. C. Department of Health and Human Services) are required to comply with the cost principles described in the N. C. Administrative Code at 09 NCAC 03M.0201. C. Cash Management These funds are disbursed on a reimbursement basis; therefore, Cash Management should not be tested at the local level. D. Davis-Bacon Act This requirement does not apply to DMH/DD/SAS contracts. E. Eligibility This requirement does not apply to this grant. F. Equipment and Real Property Management Equipment Management This requirement refers to tangible property that has a useful life of more than one year and costs of $5,000 or more. Such equipment may only be purchased per the conditions of the approved contract or grant agreement. Should the contract be terminated, any equipment purchased under this program shall be returned to the Division. Real Property Management This requirement does not apply to DMH/DD/SAS contracts. G. Matching, Level of Effort, Earmarking No Match is required. H. Period of Availability of Federal Funds This requirement does not apply at the local level. I. Procurement and Suspension and Debarment Procurement All grantees that expend federal funds (received either directly from a federal agency or passed through the N. C. Department of Health and Human Services) are required to conform with federal agency codifications of the grants management common rule accessible on the Internet at http://www.whitehouse.gov/omb/grants/chart.html. All grantees that expend State funds (including federal funds passed through the N. C. Department of Health and Human Services) are required to comply with the procurement standards described in the North Carolina General Statutes and the North Carolina Administrative Code, which are identified in the State of North Carolina B-4 93.243-1 4
Agency Purchasing Manual accessible on the Internet at http://www.doa.state.nc.us/pandc/agpurman.htm#p6_65. Nongovernmental subrecipients shall maintain written Procurement policies that are followed in procuring the goods and services required to administer the program. Suspension and Debarment All grantees awarded contracts utilizing Federal dollars must be in compliance with the provisions of Executive Order 12549, 45 CFR Part 76 and Executive Order 12689. J. Program Income This requirement does not apply. K. Real Property Acquisition and Relocation Assistance This requirement does not apply to DMH/DD/SAS contracts. L. Reporting Compliance Requirement Progress and Financial Reports Grantees must provide quarterly and final progress reports. The final progress report must summarize information from the quarterly reports, describe the accomplishments of the project, and describe next steps for implementing plans developed during the grant period. Grantees must provide monthly and final financial status reports. M. Subrecipient Monitoring Monitoring is required if the agency disburses or transfers any State funds to other organizations, except for the purchase of goods or services, the grantee shall require such organizations to file with it similar reports and statements as required by G.S. 143-6.2 and the applicable prescribed requirements of the Office of the State Auditor s Audit Advisory #2 (as revised January 2004) including its attachments. If the agency disburses or transfers any pass-through federal funds received from the State to other organizations, the agency shall require such organizations to comply with the applicable requirements of OMB Circular A- 133. Accordingly, the agency is responsible for monitoring fiscal compliance of subcontractors as described above. N. Special Tests and Provisions Compliance Requirement The agency must comply with specific terms and conditions described in individual contracts for services. Conflicts of Interest and Certification Regarding Overdue Tax Debts All non-state entities (except those entities subject to the audit and other reporting requirements of the Local Government Commission) that receive, use or expend State funds (including federal funds passed through the N. C. Department of Health and Human Services) are subject to the financial reporting requirements of G. S. 143C-6 effective July 1, 2007. These requirements include the submission of a Notarized Conflict of Interest Policy (see G. S. 143-6.2(b1)) and a written statement (if applicable) that the entity does not have any B-4 93.243-1 5
overdue tax debts as defined by G. S. 105-243.1 at the federal, State or local level (see G. S. 143-6.2(b2)). All non-state entities that provide State funding to a non-state entity (except any non-state entity subject to the audit and other reporting requirements of the Local Government Commission) must hold the subgrantee accountable for the legal and appropriate expenditure of those State grant funds. B-4 93.243-1 6