DRUG FREE COMMUNITIES
SUPPORT PROGRAM
FY2011 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
What We Hope You Learn
• Requirements of the DFC Support Program
• Responding to the FY11 Request for Applications
• Application and Budget Requirements
DFC At a Glance
• FY2011 Appropriation: *as of 01/2011 the FY2011
Federal Budget is still pending before Congress
• 92% of every dollar appropriated to DFC has gone
directly to local community coalitions
• FY2010 cohort had 741 grants in 49 States
and 4 U.S. Territories/Protectorates with more than
8,800 community volunteers
• ONDCP manages DFC in partnership with the
Substance Abuse and Mental Health Services
Administration (SAMHSA)
($90M for FY08)
($2.7M)
($4.5M)
($82.8M)
($2M)
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. 6
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. 6
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. 5
FY2011 Award Information
As of the release of this RFA the FY2011 Federal Budget is
still pending before Congress, therefore projections for
available funding and for the number of potential awards
are based on a $95M appropriation (the 2010 level for the
program) and are subject change based on passage of
the final FY2011 Federal Budget.
FY2011 Projections (based on $95M appropriation):
• $9.35million is available for new DFC grants
• Approximately 75 new DFC grants will be awarded
• Awards are for up to $125,000 per year for 5 years,
known as a “funding cycle”
RFA pgs. 10-11
FY2011 Award Information
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. 10
The Grant Cycle
January
RFA public
March/April
HHS format/requirement
screening
March
Applications Due
June/July
Rank Ordered
Late August
Funding Decisions
Announced
May/June
Peer Review
Process
April
Statutory Eligibility Screening
Eligible?
Ineligible?
September-November
POs familiarizing new
Grantees with DFC/NCA
registration
December
Mandatory New Grantee Training
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 FY2011 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 12-22
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
– Number 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 22/Appendix D
– Include as Attachment 1 in your application
2. Coalition Involvement Agreement (CIA)
– Use sample CIA/Appendix E, pgs 66-67, Table 23 must
be included
– Include as Attachment 2 in your application
RFA Pgs. 12-13
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. 12
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. 12
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
• Give the page number in the last column of the 1st page
of the matching Coalition Involvement Agreement for
that individual.
• Sector member name must match the individual signing
RFA pg. 64-65
the CIA for that sector.
Coalition Involvement Agreement
Tips
• Provide only the 12 that match the names in the Sector
Table (Attachment 1)
• Cannot be more than 12 months old at the time of
application
• CIA’s are NOT legally binding documents but are 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 23 at the top of each CIA
• List the 1st page number of each CIA in the last column
on the Sector Table
RFA pgs. 66-67
Requirement 2: Six Months
Existence
• Two sets of coalition minutes are required
1. between JANUARY 1 & SEPTEMBER 30, 2010
2. between OCTOBER 1, 2010 & MARCH 18, 2011
• 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 pgs 13-14
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 pgs14-15
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
– Name each drug specifically
– Evidence: Discuss as answer in Narrative
Questions 2 and 10
RFA pg. 15
Multiple Drugs Tips
• Clearly indicate the drugs the coalition will
focus on in Question #2
• Clearly indicate the drug being addressed
within each specific
objective/strategy/activity within the Action
Plan in Question #10
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, Age of Onset, Perception of
Risk/Harm and Perception of Parental Disapproval
– On three substances
• Alcohol, Tobacco and Marijuana
– In at least three grades
• 6th-12th
– Every two years
RFA pgs. 16
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, RFA pg. 76)
RFA pgs. 16
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 pgs. 6867
RFA pg. 17
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: 424, 424A, Budget Narrative (see
Appendix A, pgs. 45-59, Sample Budget)
RFA pg. 18-19
DFC Match Requirements
• Funding Year & Match Requirement
– Years 1-6 = 100%
– Years 7-8 = 125%
– Years 9-10 = 150%
RFA pg. 22-23
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: 424, 424A, and Budget Narrative
RFA pg. 20
Requirement 9: Community
Overlap
Two coalitions may not serve the same community unless
both have clearly demonstrated a plan for collaboration
– Go to http://www.ondcp.gov/dfc 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
– 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, pgs. 38-40: General Applicant Information
chart)
RFA pgs. 20-21
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. 72)
RFA pg. 21
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, pg. 7374)
RFA pg. 22
Review and Selection Process
1. Must receive application on time (March 18, 2011)
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 2011)
Other Helpful Tips
• 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.
• If you used 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
RFA pgs. 23-27; 60-63
GRANTS.GOV is used.
Other Helpful Tips
• Get your DUNS number as soon as possible (RFA pg.
24)
• Write your grant to read like a story of life in your
community
• Watch your page count - don’t waste space – number
all of your pages (body and attachments)
• If you start the Project Narrative on page 5 of your
application and go to page 35, you have submitted 31
pages! The limit is 30!
Other Helpful Tips
•
Application must have a consistent focus from
Question 1 through Question 13 and budget.
•
Applicant must focus on environmental
strategies and population-level change (RFA
pgs. 6-7)
•
Action Plan must have specific
strategies/activities for specific drugs named
and is not general or unrealistic (RFA pgs. 3536)
Why Applicants Fail to Get Funded?
•
Miss the application deadline (March 18, 2011)
•
Applicant does not properly demonstrate that they
meet the Statutory Eligibility Requirements (pgs.
12-22)
•
Applicant fails to use data to describe the nature
and extent of the problem in their community
•
Applicant fails to respond to the questions in the
RFA in a clear and concise manner--”fluff”
Post-Funding Requirements
•
If you successfully compete for DFC funding in the
FY2011 cycle, there are several important
requirements you must meet as a condition of
your funding
•
The following slides outline those requirements
Environmental Prevention Strategies
• DFC-funded coalitions are expected to plan and
implement efforts that are considered “environmental
strategies” as outlined in the applicant’s response to
RFA Question 10, Table 4: 12-Month Action Plan.
RFA pgs. 6-7
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:
– http://ondcp.gov/dfc/reportduedates.html
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, 2011
• 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 FY11 funding
RFA pg. 9
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
– Food/room provided dependent upon location
– Coalitions responsible for travel to/from site
(airfare/rental car/personal car usage)
•
For more information, go to:
http://www.cadca.org/trainingevents/training_coa
litions/national-coalition-academy
RFA pg. 10
Preparing the
Application
Preparing the Application
• Your application will be peer reviewed according to the
published review criteria in the RFA (RFA pgs. 30-32)
• Project Narrative can be no more than 30 pages
• No limit for budget and attachments
• Retype all 13 bolded questions exactly as they appear
in the RFA (Section A, RFA pgs. 32-37)
• 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
Project Narrative Evaluation
Criteria (RFA pgs. 30-32)
• Applicants need to review the points
assigned to each of the 13 questions within
the RFA
• Peer Reviewers will use 5-, 10- and 15-point
scales to score the questions
• Review the RFA for language on these
scoring mechanisms
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
• 13 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?
• Coalition’s history of organizing around youth
substance use prevention (i.e., coalition formation,
activities/efforts conducted)
• Coalition’s evolution over time, including response to
changing community situations
• Explanation of when and how youth substance use
prevention was included in or added to the coalition’s
focus
RFA pg. 33
Question #2
What are the community’s youth substance
use-related problems and the coalitions
prioritization of those problems?
• Prevalence of use, including current core measures
data, if available
• Social indicator data related to youth consequences
• Processes for problem prioritization based on data
• Identified youth substance use prevention/reduction
priorities (must be at least two named substances)*
*Statutory Eligibility Evidence
RFA pgs. 15 & 33
Question #3
What factors/local conditions contribute to
the community’s youth substance-use
related problems?
• Environmental conditions and/or policies and
practices (e.g., accessibility and availability of
substances, , licensing laws)
• Community norms (e.g., denial, lack of readiness,
parental approval)
• Poor coordination and/or insufficient involvement
of existing agencies, organizations, services and
community leaders
RFA pg. 33
Question #4
What resources are available and/or lacking
in the community to address youth
substance use and how will being award a
DFC grant leverage available resources and
fill in where there are gaps?
• Volunteers, community-based organizations,
partnerships, programs and other prevention efforts
•
• Financial resources (e.g., local agencies, foundations,
ongoing efforts in the community)
• Training and/or technical assistance
RFA pg. 33-34
Question #5
Up to this point, how has the coalition used
the information collected to educate and
mobilize the community?
• 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, etc.)
RFA pg. 34
Question #6
How does the coalition engage, recruit and
retain volunteers/partners, including the
required 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
• Access to community leaders and decision makers
RFA pg. 34
Question #7
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.
• Degree to which coalition membership reflects the
diversity of the community
• Training for coalition members on cultural issues
• Messages and materials for various community
populations and implementation methods for reaching
all populations
RFA pg. 34
Question #8
How do the coalition’s key staff (paid or
unpaid) and volunteer leaders (and
grantee/legal applicant, if applicable) share
work efforts?
• Explanation of how the grantee/legal applicant (if different
from the coalition), key staff, and volunteers share the
work of the coalition
• Individuals involved in decision-making and development
planning, and in what capacity
• Leadership and committee structure (include
Organizational Chart as Attachment 11), including
selection process for elected leaders
RFA pg. 34-35
Question #9
What will be the coalition's role in
management coalition funding, including
DFC funding if awarded?
• Role of grantee/legal entity (if applicable), key staff, and
coalition members in budget development, monitoring
grant funds, match documentation and making
personnel decisions
• Systems, policies, and procedures related to financial
decision-making
RFA pg. 35
Question #10
What is the coalition’s plan for addressing
youth substance use during the first 12
months of the DFC grant award?
• Use Plan Table on pgs.*; table must be included in Project
Narrative and counts toward the 30-page limit
•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 pgs. 35-36
Question #11
How will the key staff (paid or unpaid) and
volunteer leadership ensure the
implementation of the activities in the
Action Plan?
• Role of grantee/legal applicant (if applicable), key staff, and members in
monitoring the Action Plan
• Identification of known barriers and challenges & the process to address
them, including modifying the Action Plan
• Plan for keeping the community, including coalition members and
community leaders, informed of progress toward implementation,
adjustments and actions related to the Action Plan
• Determination of community collaboration and coalition strength
measures (e.g., meeting attendance, sector involvement, member
satisfaction survey results, key leader interviews)
RFA pg. 36
Question #12
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
• Processes to be used to periodically collect and
analyze data noted above (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 in an ongoing basis
RFA pg. 37
Question #13
How will the coalition maintain resources
needed to achieve its long-term goals?
• Program sustainability efforts to ensure that the
activities of the coalition will be sustained over
time
• Address coalition longevity and succession
planning
• Ensuring human capital (volunteer and partner
engagement)
• Securing financial resources
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, RFA pgs. 4559
RFA pgs. 30, 31-32, 37
Budget Evaluation Criteria
• Budget items (Federal request and non-Federal
match) must align with the activities outlined
in the proposed Action Plan (RFA Question
#10) 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
RFA pg. 31-32
Attachments for the FY2011
DFC Request for Applications
RFA pgs. 37-41
Attachment 1: Sector Table
• Must use Table 22 exactly as provided in Appendix D, RFA pg.65
• 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 2: Coalition
Involvement Agreements (CIA)
• Use Table 23, provided in Appendix E, RFA pgs. 66, at the
top of each CIA
• May use CIA template provided in Appendix E, pg. 67
• 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 (RFA pgs. 13-14)
• Must be the coalition’s minutes
• Check the date!
1. Between January 1-September 30, 2010
2. Between October 1, 2010-March 18, 2011
• 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 (RFA pg. 14-15)
• 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
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
RFA pgs. 17-18
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, RFA pg.
70 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
RFA pgs. 16-17
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
RFA pgs. 20-21
Attachment 7: Assurance of One
Grant at a Time
• Use the template in Appendix G exactly as
it is provided (RFA pg. 72)
• 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
RFA pg. 21
Attachment 8: 10-Year Funding
Limit
• Use the template in Appendix H exactly as it
is provided (RFA pgs. 73-74)
• 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
RFA pg. 22
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
RFA pg. 38, Section D
Attachment 10: General Applicant
Information (Section E chart)
• Use the chart in Section E exactly as
provided (RFA pgs. 38-40)
• Answer all requests for information
RFA pgs. 38-40, Section E
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. 40, 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. 40, 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, RFA pgs. 80-81 for additional
instructions and the website to locate your State’s
RFA pg. 41, Section H
SPOC
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
HHS 5161-1 is used. If no lobbying activities are disclosed, write
N/A and sign the form.
RFA pg. 25-26; 41, Section I
Attachment 15: Disclosure of
Prior DFC Funding
• Use Appendix I exactly as provided (RFA pg.75)
• 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 that the data supplied in
Question 2 of the Project Narrative was
provided under “Additional Information”
RFA pg. 41, Section K
Attachment 17: Congressional
Notification
• Use Appendix K exactly as provided
(RFA pg. 77)
• 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
• 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 HHS 5161-1
• 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. 41, Section M
Last Page of the Application
• Use Appendix L exactly as provided (RFA
pgs. 78-79)
• 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. 41, Section M
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
• 2011 DFC Request for Applications (RFA)
No. SP-11-002
• Grant Application
HHS-5161-1
Budget
• See RFA Appendix A, pgs. 45-59: 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 Definitions
• 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. 46-47
Budget Definitions
• 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. 47
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. 57, Table 20 & RFA pg. 58, Table 21
Where Do I Get the HHS-5161-1?
• To obtain copies of the HHS-5161-1
and all other forms, go to:
www.samhsa.gov/grants/apply.aspx
Completing the Application
• The HHS-5161-1 contains information about
HHS policies and procedures
• Before completing, read the Request for
Applications (RFA) # SP-11-005
• Read all instructions
• If HHS-5161-1 is not submitted, the application
will not be reviewed
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
– 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
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-11-002
• 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 submitted with the
application
• If there are:
– No lobbying activities, write “Not Applicable” (N/A)
– Lobbying activities, complete SF-LLL
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
Application Formatting Requirements
• Use the HHS-5161-1: 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. 62-63
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 Hotline Team
SAMHSA, Center for Substance Abuse Prevention
240-276-1270
dfcnew2011@samhsa.hhs.gov
Grants Management Questions:
Barbara Orlando, Grants Management Officer
SAMHSA, Division of Grants Management
240-276-1422
barbara.orlando@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