DRUG FREE COMMUNITIES SUPPORT PROGRAM

FY2012 Grant Application Workshop

Executive Office of the President of the United StatesWhite 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 community-focused; 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 community-based 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 CycleJanuary

RFA publicMarch

Applications DueMarch/April

HHS Format/Requirement

ScreeningApril

Statutory Eligibility ScreeningEligible? Ineligible?

May/JunePeer Review

Process

June/JulyRank Order

Funding Packages Assembled

AugustFunding Decisions

Announced

SeptemberNotice of Awards

Issued

DecemberMandatory New Grantee Training

in Washington, DC

OctoberSummary Sheets/Scores

Mailed

FebruaryRecruit Peer Reviewers

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 REQUIREMENTSTable 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 organization10. Healthcare Professionals

• Doctor/Nurse/Dentist/Health Professional11. State/Local/Tribal Government

• SSA/State Prevention or Treatment Director12. 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

Sector Sector Member Name

Organization Name & Role in Organization

Specific Contribution to Coalition

Page Number for First Page of Matching CIA

Youth 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

Civic/Volunteer Group

Jane Smith President, Sertoma Club

Recruits outside volunteers to participate in

coalition events (fundraiser, car

wash, etc.)

52

State/Local/Tribal

Government Agency w/

Expertise in Substance

Abuse

Alex Lee Executive Director, ABC

County Alcohol & Drug Council

Bring expertise in the areas of drug

prevention, intervention &

treatment; funded by County

Government

60

EXAMPLE: Attachment 1: Sector Table

A number!!

Does it make a direct link to the sector? If not explain!

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

– 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

• Do not overpromise 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-Communities-Support-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

• 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)

Coalition with 501(c)(3) status

Outside Agent

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 Process1. 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-current-gr

antees

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_coalitions/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

Sector Sector Member Name

Organization Name & Role in Organization

Specific Contribution to Coalition

Page Number for First Page of Matching CIA

Youth 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

Civic/Volunteer Group

Jane Smith President, Sertoma Club

Recruits outside volunteers to participate in

coalition events (fundraiser, car

wash, etc.)

52

State/Local/Tribal

Government Agency w/

Expertise in Substance

Abuse

Alex Lee Executive Director, ABC

County Alcohol & Drug Council

Bring expertise in the areas of drug

prevention, intervention &

treatment; funded by County

Government

60

EXAMPLE: Attachment 1: Sector Table

A number!!

Does it make a direct link to the sector? If not explain!

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-Free-Communities-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 800-542-2322, 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. 29-31)

• 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 addressRFA 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 have an impact on youth substance use RFA pg. 34

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

• 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

Question #7

How does the coalition engage, recruit and retain volunteers/partners, including the

required 12 sector members?

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?

RFA pg. 35

• 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

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?

RFA pgs. 37

• 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

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 ApplicationsApplication 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

• Fringe Benefits

• Travel

• Equipment

• Supplies

• Contractual

• Construction – Not allowed

• 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. 21-22)

– 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 InformationNon-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 grant-funded activities

www.ondcp.gov/dfc

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 InformationNon-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

Budget InformationNon-Construction Programs (SF-424A)

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.

• 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/CCRThe 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

Other Forms and Registrations

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 ManagerPhone: 800-54-CADCA, ext. 240Email: 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 TeamDivision of Community Programs

240-276-1270dfcnew2012@samhsa.hhs.gov

Grants Management Questions:

Virginia Simmons, Grants Management OfficerSAMHSA, Division of Grants Management

240-276-1422Virginia.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