sp-11-003.pdf

Department of Health and Human Services

Substance Abuse and Mental Health Services Administration

Drug Free Communities Mentoring Program (Initial Announcement)

Request for Applications (RFA) No.: SP-11-003

Catalogue of Federal Domestic Assistance (CFDA) No.: 93.276

Key Dates:

Application Deadline Applications are due by April 25, 2011.

Intergovernmental Review (E.O. 12372)

Applicants must comply with E.O. 12372 if their State(s) participates. Review process recommendations from the State Single Point of Contact (SPOC) are due no later than 60 days after application deadline.

Public Health System Impact Statement (PHSIS)/Single State Agency Coordination

Applicants must send the PHSIS to appropriate State and local health agencies by application deadline. Comments from Single State Agency are due no later than 60 days after application deadline.

Table of Contents

EXECUTIVE SUMMARY

I. FUNDING OPPORTUNITY DESCRIPTION

1. PURPOSE

2. ABOUT DFC MENTORING GRANTEES

3. EXPECTATIONS

II. AWARD INFORMATION

III. ELIGIBILITY INFORMATION

1. ELIGIBLE APPLICANTS

2. COST SHARING and MATCH REQUIREMENTS

3. OTHER

IV. APPLICATION AND SUBMISSION INFORMATION

1. ADDRESS TO REQUEST APPLICATION PACKAGE

2. CONTENT AND GRANT APPLICATION SUBMISSION

3. APPLICATION SUBMISSION REQUIREMENTS

4. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS

5. FUNDING LIMITATIONS/RESTRICTIONS

V. APPLICATION REVIEW INFORMATION

1. EVALUATION CRITERIA

2. REVIEW AND SELECTION PROCESS

VI. ADMINISTRATION INFORMATION

1. AWARD NOTICES AND APPLICATION SUMMARY STATEMENTS

2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

3. REPORTING REQUIREMENTS

VII. AGENCY CONTACTS FOR THIS RFA

Appendix A – Sample Budget

Appendix B – SAMHSA Checklist for Formatting Requirements and Screen Out Criteria

Appendix C – Guidance for Electronic Submission of Applications

Appendix D – Mentor Sector Member Table

Appendix E – Mentor Coalition Involvement Agreement (CIA)

Appendix F– Mentee Sector Member Table

Appendix G – Mentee Coalition Involvement Agreement (CIA)

Appendix H – Mentor Coalition General Information Table

Appendix I – Mentee Coalition General Information Table

Appendix J – Memorandum of Understanding (MOU) between Mentor and Mentee Coalitions . 66

Appendix K – Intergovernmental Review (E.O. 12373) Requirements

Appendix L – Congressional Notification Template

Appendix M – Pre-Submission Verification

Appendix N– Glossary of Terms

EXECUTIVE SUM1MARY

The Executive Office of the President, Office of National Drug Control Policy (ONDCP), and the Department of Health and Human Services (DHHS), Substance Abuse and Mental Health Services Administration (SAMHSA), Center for Substance Abuse Prevention (CSAP) are accepting applications for Fiscal Year (FY) 2011 Drug Free Communities Mentoring Program (DFC Mentoring) grants. The purpose of this program is to provide grant funds to existing DFC grantees, so they may serve as Mentors to newly-formed and/or developing coalitions that have never received a DFC grant.

Funding Opportunity Title: Drug Free Communities Mentoring Program

Funding Opportunity Number: SP-11-003

Due Date for Applications: April 25, 2011

Anticipated Total Available Funding: $750,000

As of the release of this RFA, the FY 2011 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 to change based on passage of the final FY 2011 Federal Budget.

Estimated Number of Awards: 10

Estimated Award Amount: Up to $75,000 per year for up to two years

Cost Sharing/Match Required: Yes

[See Part III-2 of this RFA for cost sharing/match requirements.]

Length of Project Period: Up to 2 years

Eligible Applicants: Only existing DFC grantees are eligible to apply. [See Part III of this RFA for complete eligibility information.]

I. FUNDING OPPORTUNITY DESCRIPTION

1. PURPOSE

The Executive Office of the President, Office of National Drug Control Policy (ONDCP), and the Department of Health and Human Services (HHS), Substance Abuse and Mental Health Services Administration (SAMHSA), Center for Substance Abuse Prevention (CSAP) are accepting applications for Fiscal Year (FY) 2011 Drug Free Communities Mentoring Program (DFC Mentoring) grants. The purpose of this program is to provide grant funds to existing DFC grantees, so that they may serve as Mentors to newly-formed and/or developing coalitions that have never received a DFC grant.

The Drug Free Communities (DFC) Support Program was created by the Drug Free Communities Act, 1997 (Public Law 105-20). DFC Mentoring grants were established as a component of the DFC Support Program when the program was reauthorized in 2001 (Public Law 107-82, 115 Stat. 814). The DFC Mentoring Program was also included in the Office of National Drug Control Policy Reauthorization Act of 2006 (Public Law 109-469). The latest reauthorization extended the program until 2012. This announcement addresses Healthy People 2020 Substance Abuse Topic Area HP 2020-40.

The primary goal of the Mentoring grant is to assist newly forming coalitions in becoming eligible to apply for DFC funding on their own. It is the intent of the DFC Mentoring Program that, at the end of the Mentoring grant, each Mentee coalition will meet all of the Statutory Eligibility Requirements of the DFC Program and will be fully prepared to compete for the DFC grant on their own. Grantees will be expected to achieve this goal by implementing the following objectives: (1) Strengthen Mentee coalition’s organizational structure; (2) Increase Mentee coalition’s leadership and community readiness to address youth substance use problems in the Mentee community; and (3) Assist the Mentee coalition in working through a strategic planning process that will result in a comprehensive community Action Plan.

In addition to and through the DFC Mentoring Program, Mentor coalition will develop mentoring activities that will support and encourage the development of the Mentee coalition(s) that are focused on the prevention of youth substance use. Funding through this grant is intended to provide the Mentee coalition with the training and technical assistance necessary to ensure formation of a strong community coalition.

Coalitions that have been awarded DFC Mentoring grants represent a cross-section of communities from every region in the Nation. In FY 2010, ONDCP awarded 16 new DFC Mentoring Grants and 7 Mentoring Continuation grants. More information about DFC and DFC Mentoring grants can be found on the DFC Website: http://www.whitehousedrugpolicy.gov/dfc.

http://www.whitehousedrugpolicy.gov/dfc

2. ABOUT DFC MENTORING GRANTEES

2.1 Coalitions and the DFC Mentoring Program’s Focus

The DFC Mentoring Program was created to assist newly formed or developing coalitions in becoming eligible to apply for DFC funding on their own. Since the program’s inception 136 coalitions have been mentored through the DFC Mentoring grant.

A Mentor coalition, which is a currently funded DFC coalition, is expected to mentor newly-formed and/or developing coalitions and increase their capacity to form coalitions capable of successfully applying for the DFC Support Program grant. For the purposes of this Request for Applications (RFA) and the DFC Mentoring Program, a coalition is defined as a community-based formal arrangement for cooperation and collaboration among 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.

2.2 Environmental Strategies

Environmental strategies are based on the belief that substance abuse is a product of multiple environmental conditions and circumstances. Environmental strategies incorporate prevention efforts aimed at changing or influencing community conditions, standards, institutions, structures, systems, and policies. More specifically, environmental strategies seek to: (1) limit access to substances; (2) change the culture and context within which decisions about substance use are made; and/or (3) shift the consequences associated with youth substance use. Examples can be found in Table 1: Environmental Strategies Descriptions. Today, ample evidence exists that well-conceived and implemented policies—local, State, and national—can reduce community-level alcohol, tobacco, and other drug problems. Environmentally-based approaches reach entire populations and reduce collective risk, making them cost effective prevention strategies. Applicants should be mindful that the DFC Program requires the planning and implementation of environmental strategies as part of their comprehensive efforts to reduce youth substance use.

Table 1: Environmental Strategies Descriptions

Environmental Strategy Description Enhance Access/Reduce Barriers

Improving systems/processes to increase the ease, ability, and opportunity to utilize those systems and services (e.g., assuring transportation, housing, education, safety, and cultural sensitivity) in prevention initiatives.

Reduce Access/Enhance Barriers

Improving systems/processes to decrease the ease, ability, and opportunity for youth to access substances (e.g., raising the price of single-serve cans of alcohol, implementing retail alcohol/tobacco compliance checks).

Change Consequences (Incentives/Disincentives)

Increasing or decreasing the probability of a behavior by altering the consequences for performing that behavior (e.g., increasing taxes, citations, and fines; revocation/loss of driver’s license).

Environmental Strategy Description Physical Design Changing the physical design of the environment to reduce risk or enhance protection (e.g., re-routing foot/car traffic, adjusting park hours, alcohol/tobacco outlet density).

Note: DFC Federal funds cannot support landscape and lighting projects. As such, costs for these projects cannot be used as match.

Modify/Change Policies Formal change in written procedures, by-laws, proclamations, rules, or laws (e.g., workplace initiatives, law enforcement procedures and practices, public policy actions, systems change).

Note: Lobbying with Federal dollars is not permitted. As such, costs for lobbying cannot be used as match.

For more information on environmental strategies, please see http://www.cadca.org/files/Beyond_the_Basics_EnvironmentalStrategies.pdf. Although this publication lists Seven Strategies for Community Change on page 19, only Strategies 4-7 are considered environmental prevention strategies.

Note: If a Mentee coalition has identified a community need for activities, practices, strategies, and/or interventions that affect individuals as opposed to the whole community, these efforts should be leveraged in coordination with local partners and funded primarily with in-kind match dollars.

2.3 Community Definition

In order to increase the likelihood of the results described above, a coalition must clearly understand and define the unique characteristics of the community it seeks to serve. For the purposes of this RFA, a community must encompass a geographic area defined by the applicant. Local expertise is needed to define what constitutes a meaningful community in which the coalition will work. A Mentee Coalition must use various physical demarcations, including neighborhoods, census tracts, zip codes, and school districts, as well as township, county, or parish lines, among others, to define their community. The DFC Mentoring Program does not prescribe the size, borders, demographics, or geographic location of DFC Mentoring grantee communities.

Applicants are encouraged to be realistic about the area in which the Mentee coalition will have the ability to create change. For example, choosing a community that is too large may complicate the coalition’s attempt to create change. The DFC Program does not make funding decisions based on geographic boundaries (e.g., number of grants within States/towns/cities). Applicants should consider that adjacent neighborhoods/towns/cities with coalitions operating in different areas are encouraged. However, when determining the parameters of a community, applicants should be mindful of the fact that multiple DFC grantees may not serve the same zip code(s) unless there is written evidence of cooperation between the overlapping existing DFC and potential Mentee coalitions.

http://www.cadca.org/files/Beyond_the_Basics_EnvironmentalStrategies.pdf

2.4 Cultural Competence

Cultural competence refers to a system of policies, skills, and attitudes that enable a coalition to effectively respond to differences in cultural beliefs, behaviors, and communication styles.

Applicants must address cultural issues in their applications in terms of their work with the Mentee coalition in developing a strong, inclusive coalition. For prevention efforts to be truly effective, diverse representation is needed early in the coalition’s development process.

Applications will be assessed on their commitment to cultural competence.

More information on cultural competence for coalitions can be found at http://www.cadca.org/files/cultural_competence_jan09.pdf.

3. EXPECTATIONS

3.1 Role of the Mentor and the Mentee

The foundation of the relationship between Mentor and Mentee coalitions is a shared pledge to work together for the benefit of the Mentee community. Both coalitions are expected to take an active role in the preparation of the DFC Mentoring grant application. The applicant (Mentor coalition) should clearly understand that the purpose of this grant is to transfer knowledge, skills, and expertise to newly formed and/or developing coalitions. The mentoring process is designed to directly benefit the Mentee community. The DFC Mentoring grant is not intended to solely subsidize or replace costs associated with the day-to-day operations of the Mentor coalition or the Mentor coalition’s time/effort in mentoring the Mentee coalition.

Therefore, it is allowable for the Mentoring grant to pay for staff within the Mentee coalition and not just for staff within the Mentor coalition.

Funding through this grant must support the Mentee coalition in obtaining the training and technical assistance necessary to form a community coalition capable of applying for a DFC grant. To accomplish this, the Mentor coalition is expected to mobilize a majority of its key sector members to work collaboratively on the formation of the Mentee coalition. The DFC Mentoring Program seeks to combine staff and volunteer resources from the Mentor coalition and from members of the Mentee community to successfully support the development of a functioning Mentee coalition.

The types of activities that are expected and allowable include, but are not limited to: education of Mentee community members; training and technical assistance for the Mentee community/coalition; and assistance with the development of a needs assessment (to include data collection and analysis), logic model, and strategic plans (both long-term and short-term). Any training, technical assistance, or other activities associated with bolstering the Mentee coalition/community should be included in the Mentoring Plan (Section A, Question 10). The Mentee coalition is highly encouraged to obtain training and technical assistance from a variety of sources and not just the Mentor coalition.

The Mentor coalition should consider Mentoring costs separately from the costs of its current DFC grant. It is recommended that the Mentor coalition assess its ability to manage both grant programs before applying. The Mentor coalition will be expected to reallocate current staff time and/or hire additional staff to ensure the proper management of the DFC Mentoring grant. If new http://www.cadca.org/files/cultural_competence_jan09.pdf staff is hired, it is important to ensure that any new staff member has the appropriate skills to guide the development of a new youth substance use prevention coalition.

3.2 Number of Coalitions to be Mentored

DFC Mentoring grantees are expected to assist one or more communities in the development of coalitions working to reduce and prevent youth substance use in their communities. Although the Mentor coalition may mentor up to five coalitions at a time, given the limited resources available under this grant and the importance of the mentoring relationship, it is recommended that the Mentor work only with one or two Mentee coalitions at a time. Proposing to mentor more than one Mentee coalition will not positively or negatively affect an applicant’s Peer Review score.

3.3 Mentoring Funding Period

Applicants may request and receive funding to mentor one or more coalitions for a maximum of two years. However, a DFC grantee may have only one DFC Mentoring grant at a time. A DFC Mentoring grant may not be used to mentor the same coalition for more than two years.

If they can meet all of the DFC Statutory Eligibility Requirements by the time the regular DFC application is due, Mentee coalitions are highly encouraged to apply for a DFC grant in the first year of the Mentoring grant. Most applicants are not funded the first time they apply for DFC funding. Applying in the first year of the Mentoring grant will allow the Mentee coalition to engage in the application process and possibly receive DFC funding. If the coalition is not funded through the first application, it will have one more year under the guidance of the Mentor to improve its next application for DFC funding.

3.4 Stages of Coalition Development

Because coalitions are at different stages of development, the Mentor coalition may identify a community to be mentored that does not yet have a formal coalition. In this case, the Mentor coalition may substitute the term “Mentee community” for the term “Mentee coalition” when reading and responding to the questions found in the Project Narrative (Section A).

3.5 Strategic Prevention Framework

DFC Mentoring grantees are expected to assist Mentee coalitions in using the Strategic Prevention Framework (SPF) as the model for identifying and prioritizing local problems and engaging in community planning. The SPF is a five-step evidence-based process for community planning and decision-making. Cultural competence and sustainability should be considered throughout all five steps of the process.

The five-step process includes:

1. Assessment: Identify local youth substance use problems and the community conditions that contribute to the specific drug use issues identified.

2. Capacity: Mobilize/build capacity to change the conditions and address the youth substance use problems.

3. Planning: Develop a logic model and a comprehensive 12-month action plan.

4. Implementation: Implement the plan with multiple activities, strategies, or interventions.

5. Evaluation: Monitor, sustain, improve, or replace prevention activities, efforts, and strategies.

To eventually compete for a DFC grant, a Mentee coalition must demonstrate its capacity to implement plans developed through the SPF process. Therefore, effective use of the SPF should be a key focus of the mentoring process.

3.6 Data Collection and Performance Measurement

The Government Performance and Results Act of 1993 (P.L.103-62, or GPRA) requires all Federal agencies to collect and report specified data. As part of the government’s GPRA guidelines, all DFC Mentoring grantees are required to assist the Mentee coalition in developing baseline data regarding youth substance use in the Mentee community, using the following core measures for alcohol, tobacco and marijuana:

• Age of onset of drug use

• Past 30-day use

• Perception of risk or harm

• Perception of disapproval of use by parents

The Terms and Conditions of the grant award will specify the information to be submitted and the schedule for submission using the Coalition Online Management and Evaluation Tool (COMET). DFC Mentoring grant recipients are required to report once a year on the Mentee coalition’s progress in collecting each of the four measures mentioned above. For example, if “Coalition Y” receives a DFC Mentoring grant to work with “Coalition Z”, then “Coalition Y” must report whether “Coalition Z” has developed baseline and follow-up measures of the substance use measures listed above.

3.7 National DFC Cross-Site Evaluation

DFC Mentoring coalitions are required to participate in the National DFC Cross-Site Evaluation, which is intended to measure the effectiveness of the DFC Program as a whole. This includes the reporting of data noted in Part I-3.6 of this RFA, as well as coalition information which may be required by ONDCP’s National Cross-Site Evaluation team on an as-needed basis. Please note, a new National DFC Cross-Site Evaluation contract was awarded in November 2009 and grantees should anticipate changes in the data collection and reporting processes in the future. Grantees should report the measures listed in Part I-3.6 and expect further direction to be given by ONDCP and SAMHSA/CSAP.

3.8 National Meeting Requirement

Applicants funded through this RFA are required to budget for and send two people—one from the Mentor coalition and one from the Mentee coalition—to a three-day New Grantee Meeting in Washington, DC, in the first year of the grant award. The meeting usually takes place in early December.

In the second year of funding, the Mentoring budget must allow for one person from the Mentee coalition to attend an additional three-day ONDCP/CSAP meeting. This requirement is in addition to any other training or technical assistance applicants choose to include in their budgets. The Mentor coalition has this training requirement already built into their DFC grant.

3.9 National Coalition Academy Requirement

The National Coalition Academy (NCA) is a three-week training program spread out over the course of several months. It is designed to train coalitions in the SPF process and guide the creation of the products necessary for successful coalition functioning and operation. Costs associated with the NCA are generally limited to travel (e.g., flight, car rental). Lodging and meals, dependent upon location, may be provided.

Mentee coalitions that are being mentored for the full two-year term are required to enroll in the NCA at some point during their Mentoring grant. Each Mentee coalition must send two people to the NCA. Mentee coalitions only mentored for a one-year term are encouraged to attend NCA, but it is not required.

Of the two Mentee representatives that attend the NCA, one person must be the same all three weeks (the person in charge of the Mentee coalition’s daily operation) and the second person can vary each week depending on availability and the information being presented. There are several locations across the United States where the NCA is held. It is highly recommended that the Mentor (or Mentee) coalition contact the National Coalition Institute immediately after being awarded the DFC grant to assist in registering their Mentees for their desired NCA location.

More information on the National Coalition Academy can be found at http://www.cadca.org/trainingevents/training_coalitions/national-coalition-academy. Applicants can also call the National Coalition Institute’s Technical Assistance Manager at 1-800-542-2322, ext. 240 for more information.

II. AWARD INFORMATION

Proposed budgets cannot exceed $75,000 in total costs (direct and indirect) in any year of the proposed project.

Approximately $750,000 for 10 FY 2011 DFC Mentoring grants will be awarded through this RFA. Grants will be available to eligible coalitions in amounts of up to $75,000 per year over a two-year period, known as a funding cycle. To apply for a DFC Mentoring grant under this RFA, the Mentor coalition must have been in existence for at least five years (not a DFC grantee for five years) and have an active DFC grant in good standing (cannot be on high-risk) at the time of application and for the duration of the funding cycle. Additional eligibility requirements that must be met by the Mentor coalition in order to be considered for funding are listed in Part III. Funds for the second year of the grant are distributed as non-competing Continuation Awards. Continuation Awards are contingent upon the availability of DFC funds, the continued ability of the grantee to demonstrate eligibility, the grantee’s progress in meeting grant requirements, timely submission of the continuation application and all required data and reports, and compliance with all Terms and Conditions of the award.

http://www.cadca.org/trainingevents/training_coalitions/national-coalition-academy

III. ELIGIBILITY INFORMATION

1. ELIGIBLE APPLICANTS

Statutory Eligibility Requirements, written into the DFC Act and the subsequent Reauthorization of the DFC Program by Congress in 2006, are inherent in the DFC Mentoring Program. (See Table 2 below). Please read the Statutory Eligibility Requirements for the DFC Mentoring Program carefully and provide the information necessary to meet all of the requirements. Failure to meet any single eligibility requirement will cause the application to be deemed ineligible and the application will not move forward to Peer Review. Should your application fail to meet the eligibility requirements, the individual listed as the Business Official on the Application for Federal Assistance will receive a letter stating why the application was deemed ineligible. No new material or information may be added to the original application after it has been submitted.

Final authority lies with the DFC Administrator to determine the eligibility of an application.

All DFC Mentoring applications will be jointly screened by ONDCP and SAMHSA to determine whether each applicant meets all the Statutory Eligibility Requirements for the DFC Mentoring Program contained in Table 2. Applications submitted by eligible DFC grantees will then be scored through a Peer Review process according to the evaluation criteria described in Part V, Application Review Information.

The following table contains a summary of the Statutory Eligibility Requirements for the DFC Mentoring Program and the minimum documentation applicants must provide to meet the eligibility criteria. “Where to Document” sections in the following table indicate where to include the required information within the application (e.g., as an attachment, in the Project Narrative, in the Budget Narrative). Each year, DFC Mentoring grantees must demonstrate compliance with all of the following Statutory Eligibility Requirements to be considered for funding.

Table 2: Statutory Eligibility Requirements for the DFC Mentoring Program

Eligibility Requirements Evidence Required and Where to Document

Requirement 1: Mentor’s 5 Years of Existence

The Mentor coalition must have been in existence for at least five years.

(21 USC 1535 § 1035 (d)(1))

Evidence Required:

Applicant must provide the date the Mentor coalition was established. This does not mean that the Mentor coalition has had a DFC grant for five years, but that it has been in existence for at least five years.

Where to Document:

Attachment 5: Mentor Coalition General Information, Item 3 (see Appendix H)

Eligibility Requirements Evidence Required and Where to Document

Requirement 2: Mentor in Good Standing

The Mentor coalition must be in compliance with all requirements of their existing DFC grant (i.e., DFC reporting and Grants Management requirements) for the previous year. A DFC grantee on high-risk status is not eligible to submit an application for a DFC Mentoring grant.

(21 USC 1535 § 1035 (a))

Evidence Required:

Applicant must provide information documenting current DFC award.

Note: In order to qualify for a DFC Mentoring grant, the applicant must be a Year 1-9 DFC grantee at the time of application. A Year 5 DFC grantee is allowed to apply for a Mentoring grant, but the Mentoring application will only be considered if a Year 6 DFC grant is awarded.

Where to Document:

Attachment 5: Mentor Coalition General Information, Item 5 (see Appendix H)

Requirement 3: Mentor’s Measurable Results

The Mentor coalition must have achieved, through its own efforts, measurable results in the prevention of substance use among youth.

*(21 USC 1535 § 1035 (d)(2))

Evidence Required:

Report baseline and most recent DFC Mentor coalition core measures data, if applicable, that reflect change.

Where to Document:

Project Narrative: Section A, Question 2, Table 3

Requirement 4: Mentor’s Commitment

The Mentor coalition must have at least one paid or volunteer staff person, as well as sector volunteers, willing to serve as mentors to the Mentee coalition in the prevention of youth substance use.

(21 USC 1535 § 1035 (d)(3))

Evidence Required:

Applicant must provide information documenting staff and sector volunteer involvement in the Mentee coalition.

Where to Document:

Project Narrative: Section A, Question 3, Attachment 7: MOU between Mentor Coalition and each Mentee Coalition and; Attachment 8: Resumes and Job Descriptions

Requirement 5: Mentee’s Status

The Mentee coalition is not currently and never has been funded through the DFC grant program.

Evidence Required:

The Mentee coalition has no prior history of DFC funding.

Where to Document:

Attachment 6: Mentee Coalition General Information, Item 16 (see Appendix I)

Requirement 6: Mentee’s Willingness to Participate

The Mentor coalition must demonstrate that there is a willingness on the part of the Mentee coalition and its community to actively participate in the mentoring process.

(21 USC 1535 § 1035 (d)(4))

Evidence Required:

Submit a Memorandum of Understanding (MOU) between the Mentor coalition and each Mentee coalition, using the sample provided in Appendix J.

Applicants are not required to use the exact language provided and can modify the MOU to describe the partnership between Mentor and Mentee coalitions.

The MOU must contain two signatures. One must be from the representative for the Mentor coalition and one from the Mentee coalition.

The Mentor Coalition and each Mentee Coalition must attach a matching Coalition Involvement Agreement (CIA) from each person listed in their individual Sector Member Table. The Mentor Coalition is expected to provide at least 12 CIAs representing each of the required sectors. The Mentee Coalition IS NOT required to have all 12 sectors committed at the time of application.

However, the Mentee Coalition is required to provide a matching CIA for each member already recruited to the coalition at the time of application. CIAs cannot be more than 12 months old at the time of application. Two signatures are required on each CIA. One signature must be that of the individual listed in the Sector Member Table, and the other must be the signature of someone who represents the Mentor coalition. All signatures must be hand written and dated.

Sample CIAs are provided in Appendix E (Mentor CIA) and Appendix G (Mentee CIA).

Where to Document:

Attachment 7: Memorandum of Understanding (MOU) between Mentor and Mentee coalitions, (see Appendix J) Attachment 2: Mentor CIAs (in the same order as the Mentor Sector Member Table lists sector representatives), see Section C and Appendix E.

Attachment 4: Mentee CIAs (in the same order as the Mentee Sector Member Table lists sector representatives), see Section D and Appendix G.

Requirement 7: Mentoring Plan

The Mentor coalition must submit a detailed Mentoring Plan for the mentoring activities to be supported by the grant.

*(21 USC 1535 § 1035 (d)(5))

Evidence Required:

Provide a detailed Mentoring Plan that includes activities that will address the needs of the Mentee coalition in becoming eligible to apply for DFC funding on its own.

Where to Document:

Project Narrative: Section A, Question 10

Requirement 8: Substantial Support from Non- Federal Sources

The Mentor coalition must demonstrate a minimum of a 1:1 match in non-Federal funds not previously identified as match to their current DFC grant.

(21 USC 1535 § 1035 (g)(1))

Evidence Required:

Show at least dollar for dollar (1:1) matching funds in the detailed Budget Narrative. Matching funds must come from non-Federal sources.

Applicants must itemize the match separately in the budget and explain the match separately in the Budget Narrative.

Federal funds appropriated for the substance abuse prevention activities of a coalition that includes a representative of the Bureau of Indian Affairs, the Indian Health Service, or a tribal government agency with expertise in the field of substance abuse may be counted as match. Applicants must indicate if this is the case in Attachment 1, Item 11.

Budget totals must correspond on the Application for Federal Assistance (SF-424, Section 18), Budget (SF-424A), and Budget Narrative.

Where to Document:

SF-424, Section 18SF-424A Budget Narrative (see Appendix A)

Requirement 9: Federal Request

The Mentor coalition may not request more than $75,000 in Federal funds per year.

(21 USC 1535 § 1035 (g)(2))

Evidence Required:

The budget may not show a request for Federal funds exceeding $75,000/year.

Budget totals must correspond on the Application for Federal Assistance (SF-424, Section 18), Budget (SF-424A), and Budget Narrative.

Where to Document:

SF-424, Section 18

SF-424A

Budget Narrative (see Appendix A)

2. COST SHARING and MATCH REQUIREMENTS

The DFC Mentoring authorizing legislation requires grantees to demonstrate that they have matching funds from non-Federal sources equivalent to or more than the amount of Federal funds requested by the DFC Mentoring Program. Awards will not be made to applicants who do not meet the match requirement. Applicants must itemize the match separately in the budget and explain the match separately in the Budget Narrative. A sample Budget Narrative is provided in Appendix A of this announcement.

In-kind support may be used for the match requirement. In-kind support includes the value of goods and services donated to the operation of the Mentoring grant and/or Mentee coalition, including but not limited to office space, volunteer secretarial services, pro bono accounting services, and other volunteer services to support the Mentoring grant. All match must follow the Federal cost principles and be allowable, reasonable, and documented. Applicants cannot submit match that would not be allowable for purchase with DFC Mentoring funds. For example, since grantees are not allowed to purchase food for Mentee coalition meetings with Federal dollars, they cannot count the value of food donated for such meetings as match.

A match level over the required amount will not result in a higher review score. All proposed match included in the budget, if the application is approved for funding, becomes an obligation on the part of the applicant. If, for example, an applicant proposes that they will gather 300 percent in matching funds and receives a grant, the grantee is legally responsible to collect, document, and substantiate all 300 percent of those funds or in-kind support. The HHS Grants Policy Statement will help you understand allowable costs, volunteer rates, and conflict of interest issues. This document is available at http://www.samhsa.gov/grants/management.aspx.

Federal funds, including those passed through a State or local government cannot be used toward the required match. The exception to this rule is that Federal funds appropriated for the http://www.samhsa.gov/grants/management.aspx substance abuse activities of a coalition that includes a representative of the Bureau of Indian Affairs, the Indian Health Service, or a tribal government agency with expertise in the field of substance abuse may be counted as match.

Applicants may not identify the same match for this application as identified for their existing DFC grant. DFC funds currently received by the Mentor coalition or other Federal funds, including those passed through a State or local government, cannot be used toward the required match. It is the responsibility of the applicant to fully know the origin of all funds and determine whether or not they have a Federal initiation point. The only exception for Federal dollars being used as match is in the case of a Mentor coalition that includes a representative of the Bureau of Indian Affairs, Indian Health Service, or a tribal government agency with expertise in the field of substance abuse. Applicants must provide matching funds for both years of the Mentoring grant.

3. OTHER

3.1 Additional Eligibility Requirements

Applicants must use the Application for Federal Assistance Form HHS 5161-1 available at http://www.samhsa.gov/grants/ApplicationKit.aspx and must follow all application submission and formatting requirements or their application will not be considered for funding.

Application formatting and submission requirements are provided in Appendix B and Appendix C.

3.2 Freedom of Information Act (FOIA) Disclaimer

Please be advised that any application funded under this RFA is subject to release under Federal FOIA guidelines.

IV. APPLICATION AND SUBMISSION INFORMATION

1. ADDRESS TO REQUEST APPLICATION PACKAGE

You may request a complete application kit from SAMHSA at 1-877-SAMHSA7 [TDD: 1-800- 487-4889].

You also may download the required documents from the SAMHSA Website at http://www.samhsa.gov.

Additional materials available on this Website include:

• a grant writing technical assistance manual for potential applicants;

• standard terms and conditions for SAMHSA grants;

• guidelines and policies that relate to SAMHSA grants (e.g., guidelines on cultural competence, consumer and family participation, and evaluation); and

• a list of certifications and assurances referenced in item 21 of the SF 424.

http://www.samhsa.gov/grants/ApplicationKit.aspx

When submitting an application, be sure to type “SP-11-003 − DFC Mentoring Program” in Item Number 12 on the Application for Federal Assistance (SF 424).

DFC application support information may be found on the Drug Free Communities Website at http://www.whitehousedrugpolicy.gov/dfc. General information about writing applications for SAMHSA grants is available online at http://www.samhsa.gov/grants/apply.aspx.

2. CONTENT AND GRANT APPLICATION SUBMISSION

2.1 Application Kit

A complete list of documents included in the application kit is available at http://www.samhsa.gov/Grants/ApplicationKit.aspx. This includes:

• HHS 5161-1 (revised August 2007) – Includes the face page (SF 424), budget forms, and checklist. You must use the HHS 5161-1. Applications that are not submitted on the required application form will be screened out and will not be reviewed.

• Request for Applications (RFA) – Provides a description of the program, specific information about the availability of funds, and instructions for completing the grant application. This document is the RFA. The RFA will be available on the SAMHSA Website (http://www.samhsa.gov) and the DFC Website (http://www.whitehousedrugpolicy.gov/dfc). A synopsis of the RFA is available on the Federal grants Website (http://www.Grants.gov).

You must use all of the above documents in completing your application.

2.2 Required Application Components

Applications must include all required application components. These components must be submitted in the order detailed below. Please refer to Appendix B for additional submission information (e.g., font size, page margins).

• Face Page – SF 424 is the face page. This form is part of the HHS 5161-1. [Note:

Applicants must provide a Dun and Bradstreet (DUNS) number to apply for a grant or cooperative agreement from the Federal Government. SAMHSA applicants are required to provide their DUNS number on the face page of the application. Obtaining a DUNS number is easy and there is no charge. To obtain a DUNS number, access the Dun and Bradstreet Website at http://www.dunandbradstreet.com or call 1-866-705-5711. To expedite the process, let Dun and Bradstreet know that you are a public/private nonprofit organization getting ready to submit a Federal grant application.]

• Budget Form – Use SF 424A, which is part of the HHS 5161-1. Fill out Sections B, C, and E of the SF 424A. A sample budget and justification is included in Appendix A of this document. Your completed form SF 424A should reflect the final numbers as they appear in your Budget Narrative.

http://www.whitehousedrugpolicy.gov/dfc http://www.samhsa.gov/grants/apply.aspx http://www.samhsa.gov/Grants/ApplicationKit.aspx http://www.samhsa.gov/ http://www.whitehousedrugpolicy.gov/dfc http://www.grants.gov/ http://www.dunandbradstreet.com/

• Table of Contents – Number every page of your application, including supporting documentation, beginning with your Table of Contents as page 1. In the Table of Contents, include the page numbers for each of the major sections of your application and for each attachment.

• Project Narrative – The Project Narrative describes the qualifications of the Mentor coalition, the current state of the Mentee coalition, and how the Mentor coalition plans to help the Mentee coalition build capacity toward applying for its own DFC grant. It consists of Section A and may be no longer than 25 pages. Applications that exceed this page limit will be screened out. More detailed instructions for completing the Project Narrative are provided in Part V, Application Review Information.

• Budget Narrative – The Budget Narrative (Section B) provides narrative detail about both the Federal request and the non-Federal match. A sample Budget Narrative is included in Appendix A.

• Attachments 1 through 11

• Attachment 1: Mentor Sector Member Table, Part V, Section C, Appendix D

• Attachment 2: Mentor Coalition Involvement Agreements Part V, Section C , Appendix E

• Attachment 3: Mentee Sector Member Table, Part V, Section D, Appendix F

• Attachment 4: Mentee Coalition Involvement Agreements, Part V, Section D , Appendix G

• Attachment 5: Mentor Coalition General Information Table, Part V, Section E, Appendix H

• Attachment 6: Mentee Coalition General Information Table, Part V, Section F, Appendix I

• Attachment 7: MOU between Mentor Coalition and each Mentee Coalition, Part

V, Section G, Appendix J

• Attachment 8: Resumes and Job Descriptions, Part V, Section H

• Attachment 9: Single State Agency Letter, Part V, Appendix K

• Attachment 10: Certifications and Disclosures, Part IV, 2-2 Included in this

Attachment will be the following:

• Project/Performance Site Location(s) Form – This form is found at http://www.samhsa.gov/Grants/ApplicationKit.aspx. Its purpose is to collect location information on the site(s) where work funded under this grant announcement will be performed.

• Assurances and Certifications – Non-Construction Programs. Applicants must read the list of assurances and certifications provided on the SAMHSA Website and check the box marked ‘I Agree’ before signing the face page (SF

424) of the application.

http://www.samhsa.gov/Grants/ApplicationKit.aspx

• Assurance of Compliance with SAMHSA Charitable Choice Statutes and Regulations Form SMA 170 – This form is available at http://www.samhsa.gov/Grants/ApplicationKit.aspx.

• Disclosure of Lobbying Activities – Applicants must submit Standard Form

LLL found in the HHS 5161-1. Federal law prohibits the use of appropriated funds for publicity or propaganda purposes or for the preparation, distribution, or use of the information designed to support or defeat legislation pending before the Congress or State legislatures. This includes “grass roots” lobbying, which consists of appeals to members of the public suggesting that they contact their elected representatives to indicate their support for or opposition to pending legislation or to urge those representatives to vote in a particular way. If no lobbying is to be disclosed, write N/A on the form and sign it.

Attachment 11: Congressional Notification, Part V, Section L, Appendix L

• Additional attachments as desired – Please clearly label each attachment provided beyond the required attachments and place them after Attachment 11.

• Checklist – Use the Checklist found in HHS 5161-1. The Checklist ensures that you have obtained the proper signatures, assurances and certifications. If you are submitting a paper application, the Checklist should be the next-to-last page.

• Pre-Submission Verification – Use the checklist found in Appendix M. This Verification ensures that the applicant has accurately documented the eligibility requirements and included all major components of the application. If you are submitting a paper application, the Pre-Submission Verification should be the last page.

2.3 Application Formatting Requirements

Please refer to Appendix B, for SAMHSA’s application formatting requirements. Applications that do not comply with these requirements will be screened out, will not proceed to Statutory Eligibility Review, or Peer Review.

3. APPLICATION SUBMISSION REQUIREMENTS

Applications are due by April 25, 2011. SAMHSA provides two options for submission of grant applications: 1) electronic submission, or 2) paper submission. Hard copy applications are due by 5:00 PM (Eastern Time). Electronic applications are due by 11:59 PM (Eastern Time).

Applications may be shipped using only Federal Express (FedEx), United Parcel Service (UPS), or the United States Postal Service (USPS). You will be notified by postal mail that your application has been received.

Note: If you use the USPS, you must use Express Mail.

SAMHSA will not accept or consider any applications that are hand carried or sent by facsimile.

http://www.samhsa.gov/Grants/ApplicationKit.aspx

Submission of Electronic Applications

If you plan to submit electronically through Grants.gov it is very important that you read thoroughly the application information provided in Appendix C, “Guidance for Electronic Submission of Applications.”

Submission of Paper Applications

If you are submitting a paper application, you must submit an original application and two copies (including attachments). The original and copies must not be bound and nothing should be attached, stapled, folded, or pasted. Do not use staples, paper clips, or fasteners. You may use rubber bands.

Send applications to the address below:

For United States Postal Service:

Crystal Saunders, Director of Grant Review Office of Financial Resources Substance Abuse and Mental Health Services Administration Room 3-1044 1 Choke Cherry Road Rockville, MD 20857

Change the zip code to 20850 if you are using FedEx or UPS.

Do not send applications to other agency contacts, as this could delay receipt. Be sure to include “DFC Mentoring Program – SP-11-003” in item number 12 on the face page (SF 424) of any paper applications. If you require a phone number for delivery, you may use (240) 276-1199.

Your application must be received by the application deadline or it will not be considered for review. Please remember that mail sent to Federal facilities undergoes a security screening prior to delivery. You are responsible for ensuring that you submit your application so that it will arrive by the application due date and time.

If an application is mailed to a location or office (including room number) that is not designated for receipt of the application and, as a result, the designated office does not receive your application by the deadline, your application will be considered late and ineligible for review.

Within 30 days of submission, applicants will be notified by postal mail that their application has been received. If an applicant submits an application on time and does not receive notification by Wednesday, May 25, 2011, the applicant should contact SAMHSA’s Office of Grant Review at 240-276-1199 for additional information.

SAMHSA accepts electronic submission of applications through http://www.Grants.gov. Please refer to Appendix C for “Guidance for Electronic Submission of Applications.”

http://www.grants.gov/

4. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS

This grant program is covered under Executive Order (EO) 12372, as implemented through Department of Health and Human Services (DHHS) regulation at 45 CFR Part 100. Under this Order, States may design their own processes for reviewing and commenting on proposed Federal assistance under covered programs. See Appendix K for additional information on these requirements as well as requirements for the Public Health Impact Statement.

5. FUNDING LIMITATIONS/RESTRICTIONS

Cost principles describing allowable and unallowable expenditures for Federal grantees, including SAMHSA grantees, are provided in the following documents, which are available at http://www.samhsa.gov/grants/management.aspx:

• Educational Institutions: 2 CFR Part 220 (OMB Circular A-21)

• State, Local and Indian Tribal Governments: 2 CFR Part 225 (OMB Circular A-87)

• Nonprofit Organizations: 2 CFR Part 230 (OMB Circular A-122)

• Hospitals: 45 CFR Part 74, Appendix E

In addition, SAMHSA’s DFC Mentoring Program grant recipients must comply with the following funding restrictions:

• DFC Mentoring grant funds must be used for purposes supported by the program.

• DFC Mentoring grant funds may not be used to pay for any lease beyond the project period.

• DFC Mentoring grant funds may not be used to pay for the purchase or construction of any building or structure to house any part of the grant project.

• Food is generally unallowable. Exceptions could include when food is used as a small incentive (not to exceed $2.50 per person) to encourage participation in a community-wide event. Food is not allowable for general coalition or subcommittee meetings.

• No more than 20 percent of the total grant award may be used for evaluation.

• DFC Mentoring grant funds may not be passed-through to another entity to conduct the substantive programmatic work on the program. The funded coalition is expected to perform the substantive role in the program.

• DFC Mentoring grant funds may not be used to provide funding to community organizations through mini-grants, including one coalition funding another coalition.

• DFC Mentoring grant funds cannot be utilized for the following: law enforcement equipment, drug search detection canines or related training, lighting, or community gardening efforts.

• DFC Mentoring grant funds cannot be used…