DRUG FREE COMMUNITIES SUPPORT PROGRAM FY2011 Grant Application Workshop

1
DRUG FREE COMMUNITIES SUPPORT PROGRAMFY2011
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

2
What We Hope You Learn

• Requirements of the DFC Support Program
• Responding to the FY11 Request for Applications
• Application and Budget Requirements

3
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)

4
(90M for FY08)
(2.7M)
(4.5M)
(82.8M)
(2M)
5
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

6
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. 6
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DFCs 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. 6
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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
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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
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FY2011 Award Information

• To apply for a DFC grant, a coalition must fall
  into one of the following three categories
• Never received a DFC grant
• Experienced a lapse in funding during a 5-year
  cycle
• Completing Year 5 of the first DFC funding cycle
  in September, 2010

RFA pg. 10
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The Grant Cycle
March/April HHS format/requirement screening
January RFA public
March Applications Due
April Statutory Eligibility Screening Eligible? In
eligible?
May/June Peer Review Process
June/July Rank Ordered
September-November POs familiarizing new Grantees
with DFC/NCA registration
Late August Funding Decisions Announced
December Mandatory New Grantee Training
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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

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• ELIGIBILITY REQUIREMENTS
• Table 2 Statutory Eligibility Requirements
• RFA pages 12-22

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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

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Proving Sector Involvement

• RFA asks for 2 pieces of evidence related to
  sector involvement
• 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
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Requirement 1 12 Sectors

• Youth
• a person 18 years of age or younger
• Parent
• Mother/father/guardian/grandparent
• Business
• An individual actively involved in and/or
  connected to the local business community
  Chamber of Commerce/business owner
• Media
• A representative from a media outlet or other
  source where the community gets information
• School
• Principal/Superintendent/Board Member
• Youth-Serving Organizations
• Boys and Girls Club/4-H

RFA pg. 12
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Requirement 1 12 Sectors

• Law Enforcement
• Chief of Police/Sheriff
• Religious/Fraternal Organizations
• Pastor/Rabbi/Imam/Interfaith Leader
• Civic/Volunteer Groups
• Sertoma Club/Kiwanis Club Officer
• NOT a coalition volunteer, but someone
  representing a community-based civic/volunteer
  organization
• Healthcare Professionals
• Doctor/Nurse/Dentist/Health Professional
• State/Local/Tribal Government
• SSA/State Prevention or Treatment Director
• Other Substance Abuse Organizations
• Prevention/treatment provider/recovery
  organization

RFA pg. 12
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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 the CIA for that sector.

RFA pg. 64-65
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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
• CIAs 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
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Requirement 2 Six Months Existence

• Two sets of coalition minutes are required
• between JANUARY 1 SEPTEMBER 30, 2010
• 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 coalitions minutes--not those of an
  outside agent applying on behalf of a coalition
• Include as Attachment 3 in your application

RFA pgs 13-14
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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

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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 coalitions 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
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Mission Statement Tips

• Make it easy to locate within the application
• Put on a sheet of paper by itself
• Label it Attachment 4 Coalitions Mission
  Statement
• Check to ensure that it clearly indicates youth
  substance use prevention is the mission of the
  COALITION

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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
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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

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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
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Requirement 5 National Cross-Site
Evaluation/Reporting System

• Each applicant must provide
• Name of the survey instrument(s) used to collect
  four core measures
• How often/when will the survey(s) be
  administered?
• 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
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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. 68-67

RFA pg. 17
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Requirement 7 11 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 424, 424A, Budget Narrative (see
  Appendix A, pgs. 45-59, Sample Budget)

RFA pg. 18-19
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DFC Match Requirements

• Funding Year Match Requirement
• Years 1-6 100
• Years 7-8 125
• Years 9-10 150

RFA pg. 22-23
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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
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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
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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.

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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, RFA pg. 72)

Coalition with 501(c)(3) status
Outside Agent
RFA pg. 21
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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. 73-74)

RFA pg. 22
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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)

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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 dont get one, CALL
  THE HELP LINE IMMEDIATELY!
• SAMHSA will not accept paper back-up copies if
  GRANTS.GOV is used.

RFA pgs. 23-27 60-63
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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 - dont 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!

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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/activiti
  es for specific drugs named and is not general or
  unrealistic (RFA pgs. 35-36)

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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

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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

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Environmental Prevention Strategies

• DFC-funded coalitions are expected to plan and
  implement efforts that are considered
  environmental strategies as outlined in the
  applicants response to RFA Question 10, Table 4
  12-Month Action Plan.

RFA pgs. 6-7
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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

44
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
45
Grant Requirement Grantee Meetings

• CADCAs 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_coalitions/national-coali
  tion-academy

RFA pg. 10
46
Preparing the Application
47
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

48
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

49
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

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Responding to the Request for ApplicationsProjec
t Narrative Section A, pgs. 32-37
51
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
52
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

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Question 1

• What is the coalitions history in terms of
  development and addressing youth substance use?
• Coalitions history of organizing around youth
  substance use prevention (i.e., coalition
  formation, activities/efforts conducted)
• Coalitions 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
  coalitions focus

RFA pg. 33
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Question 2

• What are the communitys 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/reductio
  n priorities (must be at least two named
  substances)
• Statutory Eligibility Evidence

RFA pgs. 15 33
55
Question 3
What factors/local conditions contribute to the
communitys 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
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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
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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
58
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
59
Question 7
How will the coalition ensure cultural competence
in its youth substance use prevention efforts?

• Describe the communitys 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
60
Question 8
How do the coalitions 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
61
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
62
Question 10
What is the coalitions 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 coalitions
  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
63
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
64
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
65
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
66
Responding to the Request for ApplicationsBudget
Narrative Section B
67
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.
  45-59

RFA pgs. 30, 31-32, 37
68
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
69
Attachments for the FY2011 DFC Request for
ApplicationsRFA pgs. 37-41
70
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

71
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

72
Attachment 3 2 Sets of Coalition Minutes (RFA
pgs. 13-14)

• Must be the coalitions minutes
• Check the date!
• Between January 1-September 30, 2010
• 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 setsapplicants will not score higher
  for providing more than two sets

73
Attachment 4 Coalition Mission Statement (RFA
pg. 14-15)

• Must be the coalitions 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
  coalitions mission includes the prevention of
  youth substance use

74
Attachment 5 Grantee/Coalition MOU or Statement
of Legally Eligibility Entity

• Scenario One
• The coalition is its 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
75
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 coalition

RFA pgs. 16-17
76
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
77
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
78
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
79
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
80
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
81
Attachment 11 Coalition Organizational Chart

• Provide the coalitions organizational chart
• Should show leadership and structure
• May include task forces, committees and overall
  structure of the coalition

RFA pg. 40, Section F
82
Attachment 12 Coalitions Logic Model

• Must be the applicant coalitions 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. 40, Section G
83
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
  States SPOC

RFA pg. 41, Section H
84
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/applicationk
   it.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/applicationk
   it.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
85
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
86
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
87
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
88
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

89
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
90
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
91
Responding to the Request for ApplicationsApplic
ation and Budget Requirements
92
Division of Grants Management

• The Division of Grants Management (DGM) conducts
  an administrative review of the application
• DGM conducts a cost analysis of the applicants
  budget, negotiating with applicant to make
  changes if necessary
• DGM conducts a Financial Capability Review of
  potential grantee organization

93
Documents Needed to Apply

• 2011 DFC Request for Applications (RFA) No.
  SP-11-002
• Grant Application HHS-5161-1

94
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

95
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
96
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

97
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
  
  

98
Budget Categories Summary

• Contractual
• Construction Not allowed
• Other
• Indirect Costs

• Personnel
• Fringe Benefits
• Travel
• Equipment
• Supplies

99
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

100
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
101
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
102
(No Transcript)
103
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

104
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

105
SF 424 (exp. 03/31/2012)
106
SF 424 (exp. 03/31/2012)
107
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

108
SF 424 (exp. 03/31/2012)
109
SF 424 (exp. 03/31/2012)
110
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

111
SF 424 (exp. 03/31/2012)
112
SF 424 (exp. 03/31/2012)
113
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

114
SF-424A
115
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

116
SF 424A
117
Budget InformationNon-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

118
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

119
Checklist
120
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

121
Checklist (cont.)
122
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

123
Checklist (cont.)
124
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

125
Checklist (cont.)
126
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

127
Disclosure of Lobbying Activities
128
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

129
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

130
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)

131
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

132
Submitting Application

• Application cannot be faxed, hand carried, or
  emailed
• Use a carrier listed in RFA

133
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
134
The Drug Free Communities Support Program- CSAP

• Where can I get additional materials?
• SAMHSAs 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

135
For Additional SPF or Coalition Support

• Contact CADCAs National Coalition Institute for
  technical assistance related to the Strategic
  Prevention Framework (SPF) or other
  COALITION-related issues
• CADCAs Technical Assistance Manager
• Phone 800-54-CADCA, ext. 240
• Email training_at_cadca.org
• Do not call CADCA for specific RFA assistance.
  Use the information on the next slide for
  specific RFA questions.

136
For Additional RFA Support

• RFA/Program Questions
• DFC Hotline Team
• SAMHSA, Center for Substance Abuse Prevention
• 240-276-1270
• dfcnew2011_at_samhsa.hhs.gov
• Grants Management Questions
• Barbara Orlando, Grants Management Officer
• SAMHSA, Division of Grants Management
• 240-276-1422
• barbara.orlando_at_samhsa.hhs.gov

137
Financial Capability
138
Financial Capability Reviews What are they?

• Assessments of applicants financial management
  systems (FMS) to determine if they are capable
  of adequately administering Federal awards

139
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

140
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
  (PP) along with the most recent financial
  statements (F/S) or IRS Form 990, Return of
  Organization Exempt from Income Tax

141
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

142
Financial Capability Reviews Using PPs F/S
or IRS 990

• PPs 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