DRUG FREE COMMUNITIES
SUPPORT PROGRAM
FY2012 Grant Application Workshop
Executive Office of the President of the United States
White House Office of National Drug Control Policy
&
Substance Abuse and Mental Health Services
Administration
www.ondcp.gov/dfc
Goals of the DFC Program
• To establish and strengthen collaboration
among communities, nonprofit agencies, and
Federal, State, local and tribal governments to
support the efforts of community coalitions to
prevent and reduce substance use among youth
• To reduce substance use among youth and,
over time, reduce substance abuse among
adults by addressing the factors in a community
that increase the risk of substance abuse and
promoting the factors that minimize the risk of
substance abuse
RFA pg. 2
Theory of the DFC Program
• A small amount of Federal funding combined with a
local match of resources and volunteer support can
reduce youth drug use
• By mobilizing community leaders to identify and
respond to the drug problems unique to their community,
DFC is designed to change the entire community
environment
• Focusing on environmental change ultimately
contributes to reductions in substance use among youth,
and over time, substance abuse among adults
DFC is Community Focused
DFC-funded coalitions:
– develop and implement a plan that is communityfocused; not focused only on individuals
– focus on changing the entire community by identifying
and implementing strategies that will affect community
beliefs, attitudes, perceptions, and practices around
drug issues
RFA pg. 3
DFC’s Definition of a Coalition
A formal arrangement for cooperation and
collaboration between groups or sectors of
a community, in which each group retains its
identity, but all agree to work together toward
a common goal of building a safe, healthy,
and drug free community
• DFC grants are intended to support communitybased coalitions
RFA pg. 3
FY2012 Funding Projection
Based on a $92M Congressional Appropriation:
• DFC first funds Continuation Awards then uses the
remainder of the appropriation for New Awards
– DFC Continuation Awards are those within an award
cycle (Years 2-5 and 7-10)
– DFC Mentoring Continuation Awards are those
entering Year Two of their Mentoring grant
For 2012 New Awards:
• $3.75M available for new DFC grants
• Up to 30 new DFC grants will be awarded in FY2012
RFA pgs. 1 & 7
Who Can Apply?
To apply for a DFC grant, a coalition must fall into
one of the following three categories:
1. Never received a DFC grant
2. Experienced a lapse in funding during a 5-year cycle
3. Completing Year 5 of the first DFC funding cycle in
September, 2010
RFA pg. 7
The Grant Cycle
January
RFA public
February
Recruit Peer
Reviewers
June/July
Rank Order
Funding Packages
Assembled
August
Funding Decisions
Announced
March
Applications Due
May/June
Peer Review
Process
March/April
HHS
Format/Requirement
Screening
April
Statutory Eligibility Screening
Eligible?
Ineligible?
September
Notice of Awards
Issued
October
Summary Sheets/Scores
Mailed
December
Mandatory New Grantee Training
in Washington, DC
Who are Peer Reviewers?
• Primarily DFC grantees in Years 1-4 or 6-10
– Can be former DFC grantees
• Trained by ONDCP and SAMHSA to review the
requirements of the FY2012 RFA and the goals of the
DFC program
• Add a human element to the process
– Do not make it hard for reviewers to find information
– Lose the “fluff”
• Want to read your “story”
– Write application for one of your peers to read
ELIGIBILITY
REQUIREMENTS
Table 2: Statutory Eligibility
Requirements
RFA pages 9-19
www.ondcp.gov/dfc
Proving the Applicant Eligible
• LABEL attachments so that eligibility screeners can
easily find them
– In order, as requested
– Bold the title
– Identify the Attachments (e.g., Attachment 1)
• NUMBER the Attachment pages
– even if you have to hand write the numbers
– Table 2 addresses Statutory Eligibility
Requirements and you must include evidence in
Attachments 1-8, 16
Proving Sector Involvement
• RFA asks for 2 pieces of evidence related to
sector involvement:
1. Sector Table
– Use Table 23/Appendix D
– Include as Attachment 1 in your application
2. Coalition Involvement Agreement (CIA)
– While you must have a CIA for each sector, you may alter
the Sample to best meet your needs.
– Sample CIA/Appendix E, Table 24
– Include as Attachment 2 in your application
RFA pgs. 9-10
Requirement 1: 12 Sectors
1. Youth
•
a person 18 years of age or younger
2. Parent
•
Mother/father/guardian/grandparent
3. Business
•
An individual actively involved in and/or connected to the local
business community; Chamber of Commerce/business owner
4. Media
•
A representative from a media outlet or other source where the
community gets information
5. School
•
Principal/Superintendent/Board Member
6. Youth-Serving Organizations
•
Boys and Girls Club/4-H
RFA pg. 9
Requirement 1: 12 Sectors
7. Law Enforcement
• Chief of Police/Sheriff
8. Religious/Fraternal Organizations
• Pastor/Rabbi/Imam/Interfaith Leader
9. Civic/Volunteer Groups
• Sertoma Club/Kiwanis Club Officer
• NOT a coalition volunteer, but someone representing a
community-based civic/volunteer organization
10. Healthcare Professionals
• Doctor/Nurse/Dentist/Health Professional
11. State/Local/Tribal Government
• SSA/State Prevention or Treatment Director
12. Other Substance Abuse Organizations
• Prevention/treatment provider/recovery organization
RFA pg. 9
Statutory Eligibility Requirements:
12 Sectors
• You MUST provide accurate evidence of 12
sector involvement
 Common Problems - Sector representatives that do not
match the sector table
 Adult with access to youth for youth sector not acceptable
 Random coalition volunteer for the Civic/Volunteer
Group sector
 Give a community member for Law Enforcement
sector—must be a sworn law enforcement officer
Sector Table Tips
• List one name per sector
– Give the name of the individual that is most capable
of leveraging resources of that sector
• No single person can represent more than 1 sector
• Use the “Specific Contribution to the Coalition”
column to provide context as to how the individual
serves the coalition/community
– Be specific for each person and sector
• Sector member name must match the individual signing
the CIA for that sector
RFA pg. 9
Coalition Involvement Agreement
Tips
• Provide only the 12 that match the names in the Sector
Table (Attachment 1)
– Will not increase score if there are more than 12 listed in the
Sector Table or 12 CIAs provided
• CIA cannot be more than 12 months old at the time of
application
• CIAs are NOT legally binding documents; just a way for
applicants to document sector member commitment
• If someone other than the person listed as the Sector Member
needs to sign the CIA, the person in the Sector Table MUST
be named on the CIA
• Must include Table 24 at the top of each CIA
• List the 1st page number of each CIA in the last column on
the Sector Table
RFA pgs. 9-10
The Sector Table
EXAMPLE: Attachment 1: Sector Table
Sector
Youth
Civic/Volunteer
Group
Sector Member
Name
Organization Name
& Role in
Organization
Specific
Contribution to
Coalition
Tim Jones
ABC High School
Senior (age 17);
President of the
SADD Club
Sits on Advisory
Board; provides
youth perspective;
participates in
youth training
events
42
President,
Sertoma Club
Recruits outside
volunteers to
participate in
coalition events
(fundraiser, car
wash, etc.)
52
Bring expertise in
the areas of drug
prevention,
intervention &
treatment; funded
by County
Government
60
Jane Smith
Does it make a direct link
to the sector? If not explain!
State/Local/
Tribal
Government
Agency w/
Expertise in
Substance
Abuse
Alex Lee
Executive
Director, ABC
County Alcohol &
Drug Council
Page Number for
First Page of
Matching CIA
A number!!
If it’s not obvious,
make it so.
Requirement 2: Six Months
Existence
• Two sets of coalition minutes are required
1. between JANUARY 1 & SEPTEMBER 30, 2011
2. between OCTOBER 1, 2011 & MARCH 22, 2012
• Must include a list of all attendees by sector
– All sectors do NOT have to be present in each set of minutes
• Include month, day, and year of the meeting
• Must demonstrate a focus on youth substance use
prevention
• Must be the coalition’s minutes--not those of an outside
agent applying on behalf of a coalition
• Include as Attachment 3 in your application
RFA pg. 11
Coalition Minutes Tips
• Check the month, date & year to ensure compliance
with the required timeframes
• Define attendees by name, sector represented,
agency/organization represented
• If the minutes do not reflect the name of the
applicant organization, explain any variance in
coalition name
Requirement 3: Mission Statement
• Coalition must have as its principal mission
the reduction of substance abuse, with a primary
focus on reducing youth substance use
• Must be the coalition’s mission--not that of an outside
agent applying on behalf of the coalition
• Include your mission statement as Attachment 4 in your
application
RFA pg. 12
Mission Statement Tips
• Make it easy to locate within the application
– Put on a sheet of paper by itself
– Label it “Attachment 4: Coalition’s Mission
Statement”
• Check to ensure that it clearly indicates youth
substance use prevention is the mission of the
COALITION
Requirement 4: Multiple Drugs
• “…developed a strategic plan to reduce substance use
among youth, which targets multiple drugs of abuse”
• Multiple = more than 1
– Cannot be an “underage drinking” coalition that does not
address other drugs
– Do not use the terms “ATOD”, “substances” or “substance
abuse” to account for all substances
– List multiple drugs in data question and in the Action
Plan
– Evidence: Discuss as answer in Narrative Question 3
and in the Action Plan (Question 9)
RFA pg. 12
Requirement 5: National Cross-Site
Evaluation/Reporting System
• Coalitions must be able to measure & report outcomes
in compliance with the National Cross-Site Evaluation of
the DFC Program
– Coalitions must collect the four core measures
• Past 30-day use, Perception of Risk/Harm of Use,
Perception of Parental Disapproval and Perception of
Peer Disapproval
– On four substances
• Alcohol, Tobacco, Marijuana and Prescription Drugs
– In at least three grades
• 6th-12th
– Every two years
RFA pgs. 13
Requirement 5: National Cross-Site
Evaluation/Reporting System
• Each applicant must provide:
1. Name of the survey instrument(s) used to
collect four core measures
2. How often/when will the survey(s) be
administered?
3. What, if any supplemental, survey(s) will be
used
•
Evidence: Answers are provided as
Attachment 16 (See Appendix J)
Requirement 6: Legally Eligible Entity
• Must be an entity legally eligible to receive
Federal funding
• Can be a coalition with 501(c)(3) status
• Can be an outside agent acting on behalf of the
coalition
• Evidence: MOU or statement of legal eligibility
• Include as Attachment 5 in your application
• Use Sample MOU in Appendix F
RFA pg. 14-15
Requirement 7: 1:1 Match
•
Must show a dollar-for-dollar match from non-Federal
sources equaling amount of request from the Federal
Government
–
–
–
•
Do not overpromise match
–
•
Cash (e.g., shared salary/benefit expenses for paid staff)
In-kind/donated (e.g., office/meeting space, paper, copying
services)
Applicants serving Native American/American Indian
communities with representation that includes at least one Native
American member may include Bureau of Indian Affairs or Indian
Health Service Federal funds as match
Must account for every matched dollar to the Government
Evidence: SF-424, Section 18, SF-424A, Budget
Narrative (see Appendix A, Sample Budget)
RFA pg. 16
DFC Match Requirements
• Funding Year & Match Requirement
– Years 1-6 = 100%
– Years 7-8 = 125%
– Years 9-10 = 150%
RFA pg. 19
Requirement 8: Funding Request Limit
• No more than $125,000/year
– Make sure budget calculations are correct
and do not exceed $125,000 for your
Federal request
• Evidence: SF-424, Section 18, SF-424A, and Budget
Narrative
RFA pg. 17
Requirement 9: Community
Overlap
Two coalitions may not serve the same community unless
both have clearly demonstrated a plan for collaboration
– Go to www.whitehouse.gov/ondcp/Drug-Free-CommunitiesSupport-Program to see if there is a DFC-funded coalition near you
and reach out to that coalition to check for overlap
– Zip codes serve as the method for identifying potential overlaps
– In your application, state which zip codes you propose to serve
and indicate any overlaps you have identified – clearly defining your
area of focus with specific boundaries (eg. Street names)
– Include in your application a signed letter explaining the overlap
of zip codes, and how the coalitions plan to collaborate
Evidence: Include Letter(s) of Mutual Cooperation as
Attachment 6 and list zip codes served in Attachment 10
(Section E, Table 5, General Applicant Information chart)
RFA pgs. 17-18
Community Overlap Tips
• More than one coalition may serve an
overlapping footprint provided they document
mutual support
• Sector representatives may not represent more
than one coalition at a time
• If two first-time applicants are applying for an
overlapping grant, each must show support
from the other
Requirement 10: One Grant at a Time
Grantee = Entity awarded a grant
Coalition
with 501(c)(3) status
Outside Agent
• No more than one “regular” DFC grant per
grantee or coalition at one time
• Evidence: Include as Attachment 7, the signed
Applicant Assurance of One Grant at a Time
(See Appendix G)
RFA pg. 18
Requirement 11: End of Grant Policy
• No coalition can receive DFC funding for more
than 10 years
• Outside agents cannot seek funding for more
than one coalition at a time or the same
coalition for more than 10 years
• Evidence: Include as Attachment 8, the signed
End of Grant Policy/Congressional 10-Year
Funding Limit Policy (See Appendix H)
RFA pg. 19
Review and Selection Process
1. Must receive application on time (March 22, 2012)
2. Screened for formatting, page limits and related HHS
requirements
3. Screened for Statutory Eligibility Requirements
4. If eligible, progresses to a Peer Review process (3
reviewers per application)
5. Rank ordered (average of the 3 scores)
6. Funding decisions announced (August 2012)
Other Helpful Tips
• DO NOT wait until the last minute to apply. Problems can
occur with both online and shipped applications that could
result in your elimination from consideration.
• Paper submissions ensure reviewers see your information in
the same order and format in which you created it. Therefore,
ONDCP recommends you TYPE IT, PRINT IT, BOX IT and
SHIP IT in accordance with the guidelines for submission of
paper applications within the RFA.
• All applicants will be advised of receipt within 30 days
Other Helpful Tips 2
• If you use GRANTS.GOV to submit your
grant, SAVE your confirmations & if you
don’t get one, CALL THE HELP LINE
IMMEDIATELY!
• SAMHSA will not accept paper back-up
copies if GRANTS.GOV is used
www.ondcp.gov/dfc
Grant Requirement: Reports
• Program Progress Reports
– Two times per year
• Coalition Classification Tool
– Once a year
• Financial Status Report
– Once a year
• Financial Disbursement Report
– Four times per year
• Details at:
– www.whitehouse.gov/ondcp/information-for-currentgrantees
Grant Requirement: Grantee Meetings
• New Grantee Meeting (3 days)
– All Year 1 and Year 6 grantees are required to send a
minimum of two people (including the Program
Director) to the mandatory New Grantee Meeting in
Washington, DC in December, 2012
• The Program Director is the person charged with daily
oversight of the coalition
– Full details of this and any additional training
requirements will be outlined in your Notice of Award,
should you receive FY12 funding
RFA pg. 6
Grant Requirement: Grantee Meetings
• CADCA’s National Coalition Academy (15 days)
– Only required for first-time grantees (Year 1)
– Must send 2 coalition members
– Residential setting
– Lodging provided dependent upon location
– Coalitions responsible for travel to/from site
(airfare/rental car/personal car usage) and per diem
•
For more information, go to:
http://www.cadca.org/trainingevents/training_coa
litions/national-coalition-academy
RFA pg. 7
Attachments for the FY2012
DFC Request for Applications
RFA pgs. 38-42
Attachment 1: Sector Table
• Must use Table 23 exactly as provided in Appendix D
• Must list one person for each sector (12 total)
– Applicants will not score higher for providing more than 12 sector
member names
• No single person can serve as more than one sector
• Youth must be age 18 or younger
• Use the “Specific Contribution to the Coalition” column to provide
information about the specific assets of each sector member
• Provide the page number of the 1st page of the matching
Coalition Involvement Agreement (CIA) in the last column of the
Sector Table
Attachment 1: Sector Table
 Common Problems with the Sector Table
 Sector representatives that do not match the named sector
 Adult with access to youth for youth sector not
acceptable
 Random coalition volunteer for the Civic/Volunteer Group
sector
 Give a community member for Law Enforcement
sector—must be a sworn law enforcement officer
 Sector relevancy is not obvious
The Sector Table
EXAMPLE: Attachment 1: Sector Table
Sector
Youth
Civic/Volunteer
Group
Sector Member
Name
Organization Name
& Role in
Organization
Specific
Contribution to
Coalition
Tim Jones
ABC High School
Senior (age 17);
President of the
SADD Club
Sits on Advisory
Board; provides
youth perspective;
participates in
youth training
events
42
President,
Sertoma Club
Recruits outside
volunteers to
participate in
coalition events
(fundraiser, car
wash, etc.)
52
Bring expertise in
the areas of drug
prevention,
intervention &
treatment; funded
by County
Government
60
Jane Smith
Does it make a direct link
to the sector? If not explain!
State/Local/
Tribal
Government
Agency w/
Expertise in
Substance
Abuse
Alex Lee
Executive
Director, ABC
County Alcohol &
Drug Council
Page Number for
First Page of
Matching CIA
A number!!
If it’s not obvious,
make it so.
Attachment 2: Coalition
Involvement Agreements (CIA)
• Use Table 24, provided in Appendix E, at the top of each
CIA
• May use CIA template provided in Appendix E
• Provide only 12 CIAs that match the 12 sector members
provided in Attachment 1
• Applicants will not score higher for providing more than 12
CIAs
• CIAs are not legally binding documents
• Serve as proof of substantial sector member
involvement
• Cannot be more than 12 months old at the time of
application
Attachment 3: 2 Sets of
Coalition Minutes
• Must be the coalition’s minutes
• Check the date!
1. Between January 1-September 30, 2011
2. Between October 1, 2011-March 22, 2012
• Provide month, date and year
• Must list each attendee & the sector he/she represents
– All sectors do not have to be present at both meetings
• Must indicate the coalition's work on youth substance
use prevention
• Just two sets—applicants will not score higher for
providing more than two sets
Attachment 4: Coalition Mission
Statement
• Must be the coalition’s Mission Statement
• Put on a single sheet of paper by itself
• Clearly label: “Attachment 4: Coalition Mission
Statement”
• Ensure that it clearly indicates that the
coalition’s mission includes the prevention of
youth substance use
Mission Statement Examples
• Eligible:
• The mission of the ABC Coalition is to plan and
implement strategies to prevent and reduce
youth substance use and its associated
consequences.
• Ineligible:
• The mission of the ABC Coalition is make our
community safer for all who live in it by implementing
strategies addressing health and wellness.
Attachment 5: Grantee/Coalition MOU or
Statement of Legally Eligibility Entity
• Scenario One:
– The coalition is it’s own 501(c) 3 and is
legally eligible to apply for a DFC grant on its
own
• On a single sheet of paper, labeled
“Attachment 5: Statement of Legally
Eligibility Entity”
• Write a statement indicating the coalition
is a legally eligibility entity
Attachment 5: Grantee/Coalition MOU or
Statement of Legally Eligibility Entity
• Scenario Two:
– The coalition is partnering with an outside
agency to serve as the legal applicant/grantee
on its behalf
• May use the sample in Appendix F for the
Memorandum of Understanding between the
partnering agency and the coalition
• Must have two signatures: one from the
legal applicant/grantee and one from the
coalition
Attachment 6: Letters of Mutual
Cooperation
• If an applicant coalition is going to overlap zip codes
with a current DFC grantee or an applicant applying
in the same cycle, the following must be included in a
Letter of Mutual Cooperation:
– Which zip codes overlap
– What the two (or more) coalitions will do to work
together
– Must have one signature from all overlapping
coalitions on the letter
– Go to www.whitehouse.gov/ondcp/Drug-FreeCommunities-Support-Program for a list of current
grantees
Attachment 7: Assurance of One
Grant at a Time
• Use the template in Appendix G exactly as it is
provided
• Have the Authorized Official for the legal
applicant/grantee sign the document
• Indicates understanding that only one DFC
grant can be awarded to a single grantee at
any time
– Does not apply to DFC Mentoring Grants
Attachment 8: 10-Year Funding
Limit
• Use the template in Appendix H exactly as it is
provided
• Have the Authorized Official for the legal
applicant/grantee sign the document
• Indicates an understanding that a coalition
cannot receive more than 10 years of DFC
funding
Attachment 9: Resumes & Job
Descriptions
• Include resume for Program Director & Project
Coordinator
– These individuals can be the same person
• Include the Job Descriptions for these positions
• Include resumes/job descriptions for key
volunteer staff (if applicable)
• Cannot be more than 2 pages & must follow
guidelines provided in Appendix N
Attachment 10: General Applicant
Information (Section E chart)
• Use the chart in Section E, Table 5 exactly
as provided (RFA pgs. 39-40)
• Answer all requests for information
RFA pgs. 39-40, Section E,
Table 5
Attachment 11: Coalition
Organizational Chart
• Provide the coalition’s organizational chart
• Should show leadership and structure
• May include: task forces, committees and
overall structure of the coalition
RFA pg. 41, Section F
Attachment 12: Coalition’s Logic
Model
• Must be the applicant coalition’s Logic
Model
• Accepted in whatever current form it is in
• No specific template/format is required
• For technical assistance in developing a
Logic Model, contact CADCA at 800-5422322, ext. 240
RFA pg. 41, Section G
Attachment 13: Letter to Single
State Agency (SSA)
• Include a letter to the Single State Agency (SSA)
indicating that the applicant has informed the SSA
contact person (State Single Point of
Contact/SPOC) that an application for DFC funding
has been submitted
• Does not apply to American Indian/Alaska Native
tribes
• See Appendix M for additional instructions and the
website to locate your State’s SPOC
RFA pg. 41, Section H
Attachment 14: Forms, Certifications,
Assurances and Disclosures
1.
Non-Construction Programs: Read the list of assurances &
certifications on the SAMSHA website & check the box marked “I
Agree” before signing the face page (SF 424 v2)
2.
Project Performance Site Location(s) Form: Is provided is the
online application kit that you can download at
www.samhsa.gov/grants/applicationkit.aspx
3.
Assurance of Compliance with SAMHSA Charitable Choice
Statutes & Regulations Form SMA 170: Is provided is the online
application kit that you can download at
www.samhsa.gov/grants/applicationkit.aspx
4.
Disclosure of Lobbying Activities: Standard Form-LLL found in the
Grant Application Package is used. Applicants must sign and
submit this form, if applicable.
RFA pg. 24-25; 43, Section I
Attachment 15: Disclosure of
Prior DFC Funding
• Use Appendix I exactly as provided
• Complete the requested information for both the
legal applicant/grantee and/or the applicant
coalition
• If multiple DFC grants for different coalitions have
been received by a legal applicant/grantee, all must
be included on this form
• Use the chart in the center of Appendix I and add
rows as needed
• Must have two signatures: one from the legal
applicant/grantee and one from the applicant
coalition for this application
RFA pg. 41, Section J
Attachment 16: DFC National Cross-site
Evaluation Requirements
• Use Appendix J exactly as provided (RFA
pg. 76)
• Complete the three questions in the chart
• Provide the year of collection of the data
supplied in Question 3 of the Project
Narrative
RFA pg. 42, Section K
Attachment 17: Congressional
Notification
• Use Appendix K exactly as provided
• Include all of the information requested
and in line with what is in the DFC
application you are submitting
• “Project Description” cannot be more than
35 lines
RFA pg. 41, Section L
Additional Attachments
• Only Attachments 1-17 are required
• If an applicant chooses to submit additional
Attachments, they should be labeled and provided
after Attachment 17
• Do not send brochures, CDs, PowerPoints, or
promotional items, as they will be discarded and are
not sent to the Peer Reviewers
• Additional Attachments are not required, are not
scored and will not affect the score of an applicant
Next to Last Page of the
Application
• Checklist found in the Grant Application
Package
• Place as the next to last page of the
application either immediately after
Attachment 17 or after any additional
Attachments the coalition chose to submit
RFA pg. 42, Section M
Last Page of the Application
• Use Appendix L exactly as provided
• Ensure that all documents are included that
are listed in the chart in Appendix L
• Attach the checklist in Appendix L as the
last page of the submitted application
RFA pg. 42, Section M
Preparing the
Application
Other Helpful Tips
• Write your grant to read like a story of life in your
community
• Watch your page count and allocate pages wisely
based on point assignments for questions
• Number all of your pages (body and attachments)
• Application must have a consistent focus from
Question 1 through Question 12 and budget
• Get your DUNS number as soon as possible (RFA pg.
21)
Why Applicants Fail to Get Funded
• Make sure you use the correct RFA…
• For FY2012, the Funding Opportunity Number on
the cover page is SP-12-001
– Not one from a previous year
– Do not make up your own questions
– Do not mix RFA questions
• Some from one year and some from another
– Follow the RFA for the correct year as it is
written using all provided templates where
required
Other Helpful Tips
• Applicant must focus on environmental strategies and
population-level change (Section 3.2, pgs. 3-4)
– For information on what are/are not considered environmental
prevention strategies, go to
www.cadca.org/files/Beyond_the_Basics_EnvironmentalStrategies.pdf
•
Action Plan must have the following:
–
–
–
–
Measureable objectives that related to the problems identified
in Question 3
Specific strategies/activities for specific drugs
Clearly identifiable environmental strategies related to the
objectives
Realistic and feasible actions for the applicant community to
take
Preparing the Application
• Your application will be peer reviewed according to the
Application Scoring Instructions in the RFA (pgs. 2931)
• Project Narrative can be no more than 30 pages
• No limit for budget and attachments
• Retype all 12 bolded questions exactly as they appear
in the RFA (Section A, Project Narrative, pgs. 32-38)
• Responses to questions should build upon each other
Preparing the Application
• Font must be Times New Roman, 12 pt font
– Charts/tables can be 10 pt font (unless electronically
submitted)
•
•
•
•
•
•
Black and White (no color)
1” margins on all pages
Single-spaced
One column
One sided
All pages must be numbered consecutively from
beginning to the end
– Hand number if necessary
Responding to the
Request for Applications
Project Narrative
Section A, pgs. 32-37
Community Overview
•
•
•
•
Required, though not scored
Does not count toward 30-page limit
No more than 1 page in length
Paints a picture of the community, including
demographics and aspects of diversity such as age,
race, ethnicity, gender, socioeconomic status, and
culture
• Tells the story about what it is like to live in your
community
• Provides a historical perspective if there have been
significant shifts or events
RFA pg. 32
Section A: Narrative Questions
• Maximum score: 90 points
• 12 questions
– Bolded questions are followed by bullets that MUST
be addressed within each response
– Applicants can provide information beyond the
bullets, but must address each bullet
– If a coalition, for some reason, cannot fully address a
bullet, explain why
• Format responses by typing only the bolded
question, followed by complete answer
Question #1
What is the coalition’s history in terms of
development and addressing youth
substance use?
• History of the coalition (i.e., why the coalition started, initial
community concern(s))
• Explanation of when and how youth substance use prevention
was included or added to the coalition’s focus (i.e., community
assessment efforts, accomplishments to date)
• Coalition’s evolution over time, including response to
changing community situations (if any)
RFA pg. 32
Question #2
What are the coalition and community structures
that support the processes necessary to
address youth substance use?
• Current structure of the coalition's board, committees and/or task
forces
• Current processes for decision-making related to the coalitions
efforts to reduce youth substance use (reflected in the Action
Plan in question 9)
• Current processes for financial decision-making by the coalition,
to include input from grantee/legal application (if different from
coalition)
• Coordination with the existing agencies, organizations, services
and community leaders
• Efforts to ensure volunteer leadership and execution of coalition
strategies
RFA pgs. 33
Question #3
What are the community’s youth substance
use-related problems and the coalition’s
prioritization of those problems?
• Prevalence of use, including current core measures data, if
available
• Social indicator data related to youth consequences of substance
use
• Processes the coalition used to prioritize problems based on data
and other information
• Identified youth substance use prevention/reduction priorities;
clearly identify at least two substances the coalition will RFA
address
pg. 33
Question #4
What factors/local conditions contribute to
or increase the community’s youth
substance use-related problems?
• Existing environmental conditions and/or policies and practices
(e.g., increased accessibility and availability of substances,
deficient licensing laws)
• Community norms (e.g., denial, lack of readiness, parental
approval, community climate)
• Other community factors (e.g., geographic conditions,
economic conditions)
RFA pg. 33
Question #5
What resources are available in the community
to address youth substance use and how will
being awarded a DFC grant leverage available
resources and fill in where there are gaps?
• Human, social, fiscal and other types of capital (i.e., volunteers,
community organizations/agencies, existing prevention
programs/efforts, match dollars, in-kind donations)
• Training and/or technical assistance available to bolster the coalition
• Use of DFC funding and resources to increase community
involvement in solving identified problem(s)
• Other community systems and structures that are impacted by or
RFA pg. 34
have an impact on youth substance use
Question #6
Up to this point, how has the coalition used
the information collected to inform and
mobilize the community and will that
change if award a DFC grant?
• Data analysis and process for selecting relevant data to share with
the community
• Process for translating and packaging data for the community to
understand local issues related to youth substance use
• Communication mechanisms (e.g., public forums, media channels,
social media)
• How will the award of a DFC grant improve community knowledge
and action
RFA pg. 34
Question #7
How does the coalition engage, recruit and
retain volunteers/partners, including the
required 12 sector members?
• Explain for each member of the 12 sectors listed in the Sector Table
(Attachment 1) why he/she is the best representative to ensure
successful implementation of the coalition’s Action Plan
• Explain the recruitment and current engagement of other coalition
members that also represent the 12 sectors and/or outside of the 12
sectors
• Recruitment and retention efforts to date and plans for future
recruitment and retention, including those specific to youth
involvement
• Current and future leadership development for coalition membership
RFA pg. 34
Question #8
How will the coalition ensure cultural
competence in its youth substance use
prevention efforts?
• Describe the community’s diversity, including race, ethnicity, age,
gender, socioeconomic status, sexual orientation, etc.
• Coalition’s efforts to recruit members that represent special
populations within the community
• Degree to which coalition membership reflects the diversity of the
community
• Training for coalition members on cultural/diversity issues
• Messages and materials for various community populations and
implementation methods for reaching all populations
RFA pg. 34-35
Question #9
What is the coalition’s plan for addressing
youth substance use during the first 12
months of the DFC grant award?
•Highest point allotment within the RFA (15 points)
•Use template found in Table 4 on pg. 36 of the RFA
•Must be included within the Project Narrative
•Counts toward the 30-page limit
•Must include a comprehensive approach to identified problems and must
include environmental prevention strategies
•DFC Goal 1: include objectives, strategies, and activities that will strengthen the
coalition’s internal capacity, as well as increase overall community collaboration
•DFC Goal 2: include objectives, strategies, and activities that will impact youth
substance use; address each specific substance within the Action Plan that the coalition
will address in the next 12 months
RFA pg. 35
Question #10
How will the key staff (paid/unpaid) and
volunteer leadership ensure the
implementation of the activities in the
Action Plan through shared work efforts?
• Role of coalition members, key staff, and grantee/legal applicant (if
applicable) in implementing the Action Plan
• Role of coalition members, key staff, and grantee/legal applicant (if
applicable) in monitoring the Action Plan
• Identification of known barriers and challenges and the process to address
them, including modifying the Action Plan
• Plan for keeping the community, including community leaders and other
stakeholders, informed of progress toward implementation, adjustments
and actions related to the Action Plan
RFA pgs. 37
Question #11
How will the coalition measure its impact in
achieving the objectives provided in the
Action Plan in the community?
• Determination of data for substance use-related problems to be
collected on an ongoing basis to measure the impact of the Action
Plan on stated objectives
• Processes to be used to collect and analyze data (e.g., frequency
of data collection, use of coalition members/partners in data
collection and analysis)
• How data will be used to adjust/update/improve the Action Plan on
an ongoing basis
• How and with what frequency will progress be communicated to
the community at large
RFA pg. 37
Question #12
How will this community be different in five
years as a result of activities led by the
coalition?
• Critical roles and functions of the coalition as a community
convener
• Critical roles and functions of the coalition in creating
community change
• Ensuring institutionalization of efforts
• Sustainability efforts to ensure that the activities of the
coalition will be sustained over time
• Address coalition longevity and succession planning
• Ensuring human, social and fiscal capital (volunteer and
partner engagement)
RFA pg. 37
Responding to the
Request for Applications
Budget Narrative
Section B
Section B: Budget Narrative
• Maximum score: 10 points
• Provide a one-year budget narrative that includes:
– Budget details
– Justifications
– Description of matching resources
– Additional support received by the coalition
• Provide a budget projection for each of the remaining
grant years in the 5-year cycle
• Use the template provided in Appendix A
Budget Evaluation Criteria
• Budget items (Federal request and non-Federal
match) must align with the activities outlined
in the proposed Action Plan (RFA Question
#9) and the DFC Program priorities
• Review the Budget Evaluation Criteria in the
RFA for the 10-point scale used to score the
Budget Narrative by Peer Reviewers
Responding to the
Request for Applications
Application and Budget
Requirements
Division of Grants Management
• The Division of Grants Management (DGM)
conducts an administrative review of the
application
• DGM conducts a cost analysis of the applicant’s
budget, negotiating with applicant to make
changes if necessary
• DGM conducts a Financial Capability Review of
potential grantee organization
Documents Needed to Apply
• 2012 DFC Request for Applications (RFA)
No. SP-12-001
• Grant Application Package
Budget
• See RFA Appendix A, pgs. 48-66: Sample Budget for 1st
year of a 5-year grant cycle
• Components
– Budget Definitions
– Sample Budget and Narrative Justification
– Budget Summary
– Calculation of Future Budget Periods
• No more than $125,000/year
Budget Terminology
• Authorized Official: Individual in applying agency
with fiduciary authority
• Program Director: An individual with provided daily
oversight of the grant
• Project Coordinator: An individual who coordinates
coalition services and DFC project activities
• Business official: Individual who oversees the
business aspects of the grant
RFA pgs. 48-49
Budget Terminology
• Applying agency: Organization which agrees to
serve as the grantee
– Legally responsible for the programmatic and fiscal
requirements of the grant
– Has an active role in the administration of the grant
(not pass through funds to another group)
– The coalition must have reduction of substance abuse
as its principal mission
Non-Federal Matching
• Matching is not required on a category by category basis
• In-kind donations may be used as matching
• Federal funds or Federal funds passed through a State
or local government may not be used as matching
• Applicants with representation that includes at least one
Native American member may include Federal funds as
match
• Matching cannot be claimed for costs that are not
allowable using Federal funds
Budget Categories & Summary
• Personnel
• Contractual
• Fringe Benefits
• Construction – Not
allowed
• Travel
• Equipment
• Supplies
• Other
• Indirect Costs
Budget Categories & Summary
• Direct Costs - costs that can be identified
specifically with a particular sponsored project
• Indirect Costs - costs incurred for common or
joint objectives that cannot be identified
specifically with a particular project or program.
These costs also are known as “facilities and
administrative costs”
Budget Categories & Summary
• Indirect Costs – If you:
– Have a negotiated rate agreement, include the
document in the application package
– Do not have a negotiated rate agreement, you cannot
claim indirect costs using a rate; however, you can
charge the costs directly
– Wish to obtain a rate, go to http://rates.psc.gov for
assistance
RFA pg. 46
Calculation of Future Budget Periods
• Budget increases and decreases must be
explained and justified
• Applicants must show projected Federal request
and non-Federal match
RFA pg. 58, Table 21 & RFA pg. 59, Table 22
Where Do I Get the Grant Application Package ?
• To obtain copies of the Grant Application
Package and all other forms, go to:
www.samhsa.gov/grants/apply.aspx
Completing the Application
• The Application contains: Application for Federal
Assistance SF-424, Budget form SF-424A (Non-Construction
Programs), Checklist, Disclosure of Lobbying Activities, if
applicable and the Project/Performance Site Location(s) form
• Before completing, read the Request for Applications
(RFA) # SP-12-001
• Read all instructions
• If required application forms are not submitted, the
application will not be reviewed. RFA pg. 65 Appendix B
SF 424 (exp. 03/31/2012)
SF 424 (exp. 03/31/2012)
Face Page - SF-424 (exp. 03/31/2012)
• Item 8/Legal Name = Applying agency
– Applicants’ EIN and DUNS number must be used.
– To obtain DUNS number, call 1-866-705-5711or go to
http://www.dnb.com/us
– Applicants must be registered in the Central
Contractor Registration (CCR) prior to submitting the
application.
Face Page - SF-424 (exp. 03/31/2012)
– The DUNS number used on your application must be
registered and active in the CCR prior to submitting
your application. Allow at least two weeks (10
business days) for completing the registration. View
your CCR registration status at
http://www.bpn.gov/CCRSearch/Search.aspx
Additional information on the CCR is available at
https://www.bpn.gov/ccr/default.aspx (RFA pgs. 2122)
– Grant funds cannot be passed through to the coalition
as the grantee is legally and fiscally responsible for
the grant
– It is expected that this is a long-term relationship
between the grantee and the coalition (RFA pg. 70,
Appendix F)
SF 424 (exp. 03/31/2012)
SF 424 (exp. 03/31/2012)
Face Page - SF-424 (exp. 03/31/2012)
• Catalog of Federal Domestic Assistance
Number: 93.276
• CFDA Title: Drug Free Communities Support
Program
• Funding Opportunity Number: SP-12-001
• Title: Drug Free Communities Support Program
SF 424 (exp. 03/31/2012)
SF 424 (exp. 03/31/2012)
Face Page SF-424 (exp. 03/31/2012)
Example
• Proposed project:
– Start Date: 9/30/20xx
– End Date: 9/29/20xx (usually 5 years)
• Subject to Executive Order 12372
– Intergovernmental Review of Federal Programs
– Go to http://www.whitehouse.gov/omb/grants_spoc
to reference list of states affected by EO 12372
• Authorized signature: Person legally responsible for
application and grant funds
SF-424A
Budget Information
Non-Construction Programs (SF-424A)
• Section A: Leave blank
• Section B: Budget categories same as budget
summary
– Column 1: Federal funds request
– Column 2: Non-Federal matching
• Program Income: Income generated from grantfunded activities
SF 424A
www.ondcp.gov/dfc
Budget Information
Non-Construction Programs (SF-424A)
• Section C:
Complete
– Also enter into “Estimated Funding” on
SF-424 Face Page Items 18 b through f
• Section D:
Leave blank
Budget Information
Non-Construction Programs (SF-424A)
• Section E:
Budget Estimates of Federal
Funds Needed for Balance of the Project
– 16(a) Grant Program = DFCSP
– 16(b-e) additional years (taken from Calculation of
Future Budget Periods) – First is year 2 or 7, etc.
–
• Section F:
Complete
– If Indirect Costs are requested, Indirect Cost Rate
Agreement must be submitted
Checklist
Checklist (cont.)
• Type of Application
– If applying for Year 6, with NO BREAK in funding,
check “Competing Continuation”
– All other applicants, check “New”
• Part A
•
HHS Form 690 – Assurance of Compliance
– Located at
http://samhsa.gov/Grants/ApplicationKit.aspx
– Sign and mail to HHS Office of Civil Rights
Checklist (cont.)
Checklist (cont.)
• Part B
• Public Health Systems Impact Statement
(RFA– Application and Submission
Requirements)
– Intergovernmental review - Executive Order
(EO) 12372
– Go to http://whitehouse.gov/omb/grants_spoc to
reference list of States affected by EO 12372
Checklist (cont.)
Checklist (cont.)
• Part C
– Name of Business Official: Authorizing Official or
individual designated by the Authorizing Official
• Include the full address
– Name of Program Director:
• Include the full address
• This should be the same person as Item 8f of SF-424
– Address: Must be physical location,
not a P.O. Box
Checklist (cont.)
Checklist (cont.)
• Part D
– Private Non-profit Organization:
Evidence
of non-profit status must be provided with the
application
– Check the appropriate boxes and submit required
documentation with the application, including EIN
verification from the IRS
Disclosure of Lobbying Activities
Disclosure of Lobbying Activities
• The SF-LLL must be signed and submitted with
the application, if applicable.
• If there are:
– Lobbying activities, complete SF-LLL, sign and submit
with application.
Other Forms and Registrations
• Assurance of Compliance with SAMHSA
Charitable Choice Statues and Regulations –
SMA 170 (found at www.samhsa.gov)
• Project Performance Site Location(s) Form
• Applicants must register with Central Contract
Registration (CCR) at www.bpn.gov/CCR
The DUNS number used on your application must be
registered and active in the CCR prior to submitting your
application. Allow at least two weeks (10 business days)
for completing the registration.
RFA pg. 23
Application Formatting Requirements
• Use the Grant Application Package: Application for
Federal Assistance
• Number of pages: 30-page limit for narrative and no
limit for budget & attachments
• Paper size: 8.5 X 11
• Type size: Times New Roman 12-point
• Charts/Tables can be done in 10-point font on
paper submissions ONLY
• Page layout:
1 inch margins
Single-spaced
One column
Black ink
One-sided
(RFA pgs. 60-61)
Application Formatting Requirements
• All pages should be numbered consecutively
• Adhere to funding limits, including both Federal
share and matching (see budget section of this
presentation)
• Send original and two copies
• Do not use staples, paper clips, or fasteners
Submitting Application
•
Application cannot be faxed, hand carried,
or emailed
•
Use a carrier listed in RFA
Submitting Application (cont.)
• On-line submission – http://www.grants.gov
– DUNS number required
– At least two weeks prior to submitting the application,
applicant must register or renew their registration at
http://www.grants.gov
– On-line tutorial is provided for submitting applications
on grants.gov
RFA pgs. 67-68
The Drug Free Communities
Support Program- CSAP
Where can I get additional materials?
• SAMHSA’s National Clearinghouse on Alcohol and
Drug Information (NCADI), call 1-800-729-6686 or go to
http://ncadi.samhsa.gov
• http://www.samhsa.gov
• http://www.grants.gov
For Additional SPF or
Coalition Support
Contact CADCA’s National Coalition Institute for technical
assistance related to the Strategic Prevention Framework
(SPF) or other COALITION-related issues
CADCA’s Technical Assistance Manager
Phone: 800-54-CADCA, ext. 240
Email: training@cadca.org
**Do not call CADCA for specific RFA assistance. Use the information
on the next slide for specific RFA questions.
For Additional RFA Support
RFA/Program Questions:
DFC RFA Hotline Team
Division of Community Programs
240-276-1270
dfcnew2012@samhsa.hhs.gov
Grants Management Questions:
Virginia Simmons, Grants Management Officer
SAMHSA, Division of Grants Management
240-276-1422
Virginia.simmons@samhsa.hhs.gov
Financial Capability
Financial Capability Reviews –
What are they?
• Assessments of applicants’ financial
management systems (FMS) to determine
if they are capable of adequately administering
Federal awards
Financial Capability Reviews –
Why are they important?
• Financial capability reviews identify weaknesses
in applicants’ FMS, which are required to be
corrected
• Grantee organizations with adequate FMS are
less likely to be the victims of fraud, waste, and
abuse
• Grantees with adequate FMS are more likely to
achieve their programmatic objectives
Financial Capability Reviews –
How are they conducted?
The Financial Advisory Services Officers review
either:
• A recent report on an audit performed in accordance with
OMB Circular A-133; or
• Accounting and personnel policies and procedures (P&P)
along with the most recent financial statements (F/S) or
IRS Form 990, Return of Organization Exempt from Income
Tax
Financial Capability Reviews –
Using a Recent OMB A-133 Audit
• F/S and Notes are reviewed for indicators of
financial instability
• Notes to the F/S and A-133 audit report section
are reviewed for significant issues
Financial Capability Reviews –
Using P&Ps & F/S or IRS 990
• P&Ps are compared to management controls within
Grantee Financial Management Requirements (GFMR),
which are based on administrative requirements (45
CFR Parts 74 & 92),cost principles (OMB Circular A-87
& A122), and HHS Grants Policy Statement
• The GFMRs are available to applicants at
http://www.samhsa.gov/grants/management.aspx
• F/S or IRS Form 990s are reviewed for indicators of
financial instability