sp-12-001.pdf

Department of Health and Human Services

Substance Abuse and Mental Health Services Administration

Drug Free Communities Support Program (Initial Announcement)

Request for Applications (RFA) No. SP-12-001

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

Key Dates:

Application Deadline Applications are due by March 22, 2012

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. INTRODUCTION

2. PRE-APPLICATION WORKSHOPS

3. ABOUT DFC GRANTEES

4. 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 ADMINISTRATIVE INFORMATION

1. AWARD NOTICES AND APPLICATION SUMMARY STATEMENTS

2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

3. REPORTING REQUIREMENTS

VII CONTACTS FOR QUESTIONS RELATED TO THIS RFA

Appendix A – Sample Budget (Includes Budget Terminology and Sample Budget Narrative)

Conflict of Interest

Federal regulations prohibit the appearance and existence of conflict of interest situations for employees, officials, and agents of the organization

Reference – 45 CFR 74.42 & 43; 45 CFR 92.36; Part II-7 of the HHS Grants Policy Statement, issued January 1, 2007

Appendix B – Checklist for Formatting Requirements and Screenout Criteria for SAMHSA Grant Applications

Appendix C – Guidance for Electronic Submission of Applications

Appendix D – Coalition Roles and Relationship to Sector Members

Appendix E – Coalition Involvement Agreement (CIA)

Appendix F – Grantee Roles and Relationship to a Coalition

Appendix G – Applicant Assurance of No More than One DFC Grant

Appendix H – Applicant Assurance of Compliance with the End of Grant Policy…………

Appendix I – Disclosure of All Prior DFC Funding

Appendix J – DFC National Cross-Site Evaluation Requirements

Appendix K – Sample Congressional Notification

Appendix L – Pre-Submission Verification

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

Appendix N – Biographical Sketches and Job Descriptions

Appendix O – Glossary of Terms

EXECUTIVE SUMMARY

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) 2012 Drug Free Communities Support Program (DFC) grants. The purpose of the DFC Program is to establish and strengthen collaboration to support the efforts of community coalitions working to prevent and reduce substance use among youth.

Funding Opportunity Title: Drug Free Communities Support Program

Funding Opportunity Number: SP-12-001

Due Date for Applications: March 22, 2012

Anticipated Total Available Funding: $3,750,000

Estimated Number of Awards: Up to 30

Estimated Award Amount: Up to $125,000 per year

Cost Sharing/Match Required Yes [See Part III-2 of this RFA for cost sharing/match requirements.]

Length of Project Period: Up to 5 years

Eligible Applicants: The application can be submitted only to support a community-based coalition addressing youth substance use that meets all Statutory Eligibility Requirements. See Part III-1 of this RFA for complete eligibility information.

I FUNDING OPPORTUNITY DESCRIPTION

1. INTRODUCTION

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) 2012 Drug Free Communities Support Program (DFC) grants. The purpose of the DFC Program is to establish and strengthen collaboration to support the efforts of community coalitions working to prevent and reduce substance use among youth.

DFC is a collaborative initiative, sponsored by ONDCP, in partnership with SAMHSA, which works to achieve two goals:

• Establish and strengthen collaboration among communities, public and private non-profit agencies, and Federal, State, local, and tribal governments to support the efforts of community coalitions working to prevent and reduce substance use among youth. For the purposes of this RFA, “youth” is defined as individuals 18 years of age and younger.

• 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.

DFC grantees are required to work toward these two goals as the primary focus of their Federally-funded effort.

The DFC Program was created by the Drug Free Communities Act of 1997 (Public Law 105-20), reauthorized through the Drug Free Communities Reauthorization Act of 2001 (Public Law 107- 82), and reauthorized again through the Office of National Drug Control Policy Reauthorization Act of 2006 (Public Law 109-469). The latest reauthorization extended the program for an additional five years until 2012. This announcement addresses Healthy People 2020 Substance Abuse Topic Area HP 2020-SA.

Since 1998, ONDCP has awarded approximately 2,000 DFC grants, with up to 30 new awards expected in FY 2012. Grants have been awarded to communities from every region in the nation including rural, urban, suburban, and tribal communities. Additional grantee information is available on the DFC website at http://www.whitehouse.gov/ondcp/Drug-Free-Communities- Support-Program.

2. PRE-APPLICATION WORKSHOPS

Potential applicants, those applying for the first time (Year 1), current grantees applying for a second cycle of five years of funding (Year 6), or former grantees who experienced a lapse in funding during a five-year cycle, are encouraged to attend one of the following pre-application workshops:

http://www.whitehouse.gov/ondcp/Drug-Free-Communities-Support-Program

Portland, OR Tuesday, January 31, 2012 Austin, TX Thursday, February 2, 2012 National Harbor, MD Friday, February 10, 2012 (near Washington, DC)

These workshops are not mandatory in order to apply for this grant. These workshops will provide technical assistance to help applicants complete their applications. They are not general technical assistance workshops for coalitions. Attendees should read this RFA in advance and come prepared to ask questions related to the effective completion of their applications. After each workshop, a question and answer session will be held to specifically address applicants working with American Indian/Alaska Native communities. More information about the workshops, including a link for attendee registration, can be found at http://www.whitehouse.gov/ondcp/Drug-Free-Communities-Support-Program. If an applicant is unable to travel to a workshop, a recorded version will be posted to the DFC website by the end of January 2012. The online videos can be found at http://www.whitehouse.gov/ondcp/information-for-potential-applicants.

3. ABOUT DFC GRANTEES

3.1 Coalitions and the DFC Program’s Focus

Grants awarded through the DFC Program are intended to support established community-based coalitions capable of effecting community-level change. For the purposes of this RFA and the DFC 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. Coalitions receiving DFC funds are expected to work with leaders within their communities to identify and address local youth substance use problems and create sustainable community-level change through environmental strategies.

3.2 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 http://www.whitehouse.gov/ondcp/information-for-potential-applicants

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).

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 pg. 19, only Strategies 4-7 are considered environmental prevention strategies.

Note: If an applicant 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 matching dollars.

3.3 Community Definition

A coalition must 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 http://www.cadca.org/files/Beyond_the_Basics_EnvironmentalStrategies.pdf in which the coalition will work. DFC grantees 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 Program does not prescribe the size, borders, demographics, or geographic location of DFC grantee communities.

Applicants are encouraged to be realistic about the area in which the coalition will have the ability to create change. For example, choosing a community that is too large may be problematic due to inclusion of neighborhoods that have significantly different problems to be addressed. 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, multiple DFC grantees may not serve the same zip code(s) unless there is written evidence of cooperation between the overlapping coalitions.

3.4 Cultural Competence

Cultural competence refers to a set of congruent behaviors, attitudes and policies 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 the design and implementation of the Action Plan and the coalition's organizational structure. For prevention efforts to be truly effective, diverse representation is needed early in the planning process, as well as throughout the implementation of the Action Plan. More information on coalition cultural competence can be found at http://www.cadca.org/files/cultural_competence_jan09.pdf.

4. EXPECTATIONS

4.1 Strategic Prevention Framework

DFC-funded coalitions are expected to utilize SAMHSA’s Strategic Prevention Framework (SPF) as the model on which they develop their long-range strategic plans and annual Action Plans. The SPF is a five-step evidence-based process for community planning and decision-making. Cultural competence (Part I-3.4 of this RFA) and sustainability (Part I-4.6 of this RFA) 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 identified issues.

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

(3) Planning: Develop a Logic Model, comprehensive 12-month Action Plan, and multi-year Strategic Plan.

(4) Implementation: Implement Action and Strategic Plans with multiple objectives, strategies, and activities.

http://www.cadca.org/files/cultural_competence_jan09.pdf

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

4.2 Data Collection and Performance Measurement

The Government Performance and Results Modernization Act of 2010 (GPRA) requires all Federal agencies to collect and report specified data. DFC grantees are required to provide data on the following core measures for alcohol, tobacco, marijuana, and prescription drugs:

• Substance use in the past 30 days

• Perception of risk

• Perception of parental disapproval of use

• Perception of peer disapproval of use The Terms and Conditions of the grant award will specify how the data are to be submitted and the schedule for submission using an online data reporting system. A complete set of data representative of the entire community’s youth must be collected and reported at least every two years, for at least three grade levels between sixth and twelfth grades. In the case that a Year 1 DFC grantee does not have the core measures at the time of application and award of the grant, Year 1 grantees have two years from the time of award to report their first complete set of core measures data. The collection of these data allow for ONDCP to provide data for the DFC National Cross-site Evaluation, which is required for all DFC grantees (See Part I-4.3 below, National DFC Cross-site Evaluation Requirements). Performance data will be reported to grantees, the public, the Office of Management and Budget (OMB), and Congress.

Each grantee will be required to submit a Data Collection Plan to the Government Project Officer outlining specifically how the coalition will comply with the data reporting requirements.

The plan is due no later than 60 days after the start of the grant award.

4.3 DFC National Cross-Site Evaluation Requirements

DFC grantees are required to participate in the DFC National Cross-Site Evaluation, intended to measure the effectiveness of the DFC Program in reducing youth substance use. This includes the reporting of data on the four GPRA core measures described above in Part I-4.2 of this RFA, as well as other measures and coalition information which may be required by the DFC National Cross-Site Evaluation team on an as-needed basis. Applicants must provide information about their ability to comply with the DFC National Cross-site Evaluation Requirements in Attachment 16.

4.4 National Meeting Requirement

Applicants funded through this RFA are required to budget for and send two people (one must be the person charged with daily oversight of the 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. This requirement applies to grantees that receive Year 1 or Year 6 funding or are returning to the DFC Program after a lapse in funding.

4.5 National Coalition Academy Requirement

In addition to the New Grantee Meeting described in Part I-4.4, all applicants applying to become first-time DFC grantees (Year 1) are expected to budget to send two people to the National Coalition Academy (NCA). This requirement does not apply to coalitions that have already attended the NCA, although these coalitions can choose to send additional coalition staff/members to the NCA if awarded the DFC grant. The 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, per diem for meals). Lodging, dependent upon location, may be provided. Should your coalition be awarded the DFC grant, two people from the coalition are required to attend the NCA (one person must be the same all three weeks and should be the person in charge of daily operations of the coalition; the second person can vary each week). There are several locations across the United States where the NCA is held. It is highly recommended that you contact the National Coalition Institute immediately after being awarded the DFC grant to register for the NCA location of your choice.

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.

4.6 Sustainability Plans Required in Years 3 and 7

Coalitions funded through the DFC Program are required to submit a Sustainability Plan in funding Years 3 and 7. The plan must be submitted to the Government Project Officer within 60 days of the start of the funding Years 3 and 7.

II AWARD INFORMATION

Applicants may not ask for more than $125,000 in total costs (direct and indirect) in any year of the proposed project. Approximately $3,750,000 for up to 30 FY 2012 DFC grants will be awarded through this RFA. As of the release of this RFA, the FY2012 Federal Budget is still pending before Congress.

DFC grants will be available to eligible applicants in amounts of up to $125,000 per year over a five-year period, known as a “funding cycle.” To apply for a DFC grant under this RFA, a coalition must fall into one of the following three categories:

1. A coalition that has never received a DFC grant;

2. A coalition that previously received a DFC grant, but experienced a lapse in funding; or http://www.cadca.org/trainingevents/training_coalitions/national-coalition-academy

3. A coalition that has concluded the first five-year funding cycle and is applying for a second five-year funding cycle.

If selected to receive a DFC grant, coalitions will be awarded funds for one year (covering the 12-month period from September 30, 2012–September 29, 2013). Funds for subsequent years within a grant cycle are distributed on an annual basis as non-competing Continuation awards.

Annual Continuation awards are contingent upon the availability of DFC funds, the continued ability of the coalition to demonstrate eligibility, grantee 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.

Coalitions that have previously received DFC funding, but experienced a lapse in their five-year funding cycle, may re-apply for funding to complete their five-year funding cycle. For example, if Coalition X received DFC funding for Years 1 and 2, but did not receive funding for Year 3, Coalition X may apply for funding for Years 3, 4, and 5 under this RFA. Coalition X may not, however, reapply for Year 1 or Year 2 funding.

NOTE: All applicants must clearly state the program award year for which they are applying (e.g., Year 1, Year 2). Please indicate the status of the coalition and for which specific years the coalition received DFC support in the past in Attachment 15 of your application. If your coalition had a break in funding, indicate each year you did not receive funding from the DFC Program.

Coalitions that have received 10 years of DFC funding are not eligible for this grant. If a coalition believes that they have already received 10 years of DFC funding, they should refer to the End of Grant Policy (Congressional 10-Year Funding Limit Policy) outlined in Appendix H.

III ELIGIBILITY INFORMATION

1. ELIGIBLE APPLICANTS

Statutory Eligibility Requirements, written into the DFC Act, are inherent in the DFC Program.

(See Table 2: Statutory Eligibility Requirements). Please read the Statutory Eligibility Requirements carefully and provide the information necessary to meet the requirements in Attachments 1-8 of your application. 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 person listed as the contact person on the Application for Federal Assistance will receive a letter stating why the application was deemed ineligible. No new materials 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 applications will be jointly screened by ONDCP and SAMHSA to determine whether each applicant meets all the DFC Program eligibility requirements contained in Table 2. In addition, the non-profit status of the grantee/legal applicant (if applicable) will be verified along with its ability to fiscally manage Federal funds. Applications submitted by eligible coalitions that demonstrate they meet all requirements will then be scored through a Peer Review process according to the evaluation criteria described in Part V, Application Review Information.

The following table (Table 2) contains a summary of the Statutory Eligibility Requirements and the minimum documentation applicants must provide to meet the eligibility criteria. The “Where to Document” section in the following table shows applicants where to include the required information in their applications (e.g., as an attachment, in the Project Narrative, in the Budget Narrative). Each year, DFC grantees must demonstrate compliance with all of the Statutory Eligibility Requirements to be considered for continued funding.

Table 2: Statutory Eligibility Requirements – Requirement 1: 12 Sectors

Eligibility Requirement Item: Evidence Required and Where to Document

Requirement 1: 12 Sectors Evidence Required:

The coalition must consist of one or more representatives from each of the following required 12 sectors:

• Youth (18 or younger)

• Parent

• Business

• Media

• School

• Youth-serving organization

• Law enforcement

• Religious/Fraternal organization

• Civic/Volunteer groups (i.e., local organizations committed to volunteering, not a coalition member designated as a “volunteer”)

• Healthcare professional

• State, local, or tribal governmental agency with expertise in the field of substance abuse (including, if applicable, the State agency with primary authority for substance abuse)

• Other organization involved in reducing substance abuse

(21 USC 1531 §1032 (a)(2)(A))

Using the template in Appendix D, Table 23, applicants must list:

1. Each of the required 12 sectors;

2. Only one person for each sector (the individual involved in the coalition who has the most influence with others in that sector); Individual sector members may not serve as sector representatives for more than one DFC funded coalition at a time.

3. The agency/organization each person represents;

and the specific, unique contribution of each individual toward the coalition’s work.

Note: Neither paid staff (current or proposed), nor the person signing the Coalition Involvement Agreement (CIA) on behalf of the coalition (e.g., coalition chair), can serve as a sector representative.

Eligibility Requirement Item: Evidence Required and Where to Document

Requirement 1: 12 Sectors Evidence Required:

An individual who is a member of the coalition may serve on the coalition as a representative of not more than one sector category.

(21 USC 1531 §1032 (a)(2)(C))

Applicants must attach a matching CIA from each person listed in the Sector Member Table. A total of 12 CIAs are required. Including more than 12 will not increase the applicant’s score. CIAs cannot be more than 12 months old at the time of application.

The name on the CIA, or the name of the person indicated as the sector representative by the person signing the CIA, must match the name in the Sector Member Table. If someone must sign the CIA other than the person listed as the sector member, see Appendix E of this RFA for instructions. Table 24 must be included at the top of each of the 12 CIAs.

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 (i.e., coalition chair, paid staff, etc.) who represents the coalition. All signatures must be hand written and dated.

A sample CIA is provided in Appendix E of this RFA and provides the minimal requirements for a CIA.

Where to Document:

Attachment 1 – Sector Member Table Attachment 2 – 12 CIAs (in the same order as listed in the Sector Member Table)

Requirement 2: Six Month Existence Evidence Required:

The coalition must demonstrate that members have worked together on substance abuse reduction initiatives for a period of not less than 6 months at the time of the application, acting through entities such as task forces, subcommittees, or community boards.

(21 USC 1531 §1032 (a)(3)(A))

The coalition must also demonstrate substantial participation from volunteer leaders in the community.

(21 USC 1531 §1032 (a)(3)(B))

Applicants must submit two sets of the coalition’s meeting minutes from within the time period described below. Additional sets of minutes will not increase the applicant’s score. Both sets of meeting minutes must show that the coalition has been actively involved in working to reduce youth substance use in the applicant community and must demonstrate substantial participation from volunteer leaders.

One set of minutes must be from a coalition meeting that took place between January 1, 2011 and September 30, 2011. The second set of minutes must be from a coalition meeting that took place between October 1, 2011 and the deadline for submission of this application. These specific timeframes are used to determine the coalition’s length of existence and current activities. Both sets of minutes must:

• Represent the coalition’s meetings and not those of an outside agent applying on behalf of a coalition;

• Include the month, date, and year of the coalition meeting;

• Indicate that the coalition has been involved in reducing community youth substance use;

• Demonstrate coalition membership involvement, including, but not limited to, the 12 required sectors (all 12 sectors do not have to be present at all meetings); and

• Include a list of attendees, noting the sector that each attendee represents.

Where to Document:

Attachment 3 – Two sets of coalition minutes, one within each of the specified timeframes.

Requirement 3: Mission Statement Evidence Required:

The coalition must have as its principal mission the reduction of substance abuse, which, at a minimum, includes the use and abuse of drugs in a comprehensive and long-term manner, with a primary focus on youth in the community.

(21 USC 1531 §1032 (a)(3)(B)(4)(A)

Applicants must provide a copy of the coalition’s Mission Statement. The statement cannot be that of an outside agent being used as the legal grantee (if applicable) for a coalition. It must be clear during the eligibility screening process that the Mission Statement belongs to the applicant coalition and that the principal mission of the coalition is youth substance use reduction and/or prevention.

Where to Document:

Attachment 4 – Coalition’s Mission Statement

Eligibility Requirement Item: Evidence Required and Where to Document

Requirement 4: Multiple Drugs of Abuse Evidence Required:

The coalition must have developed a Strategic/Action Plan to reduce substance use among youth which targets multiple drugs of abuse.

Substances may include, but are not limited to, narcotics, depressants, stimulants, hallucinogens, inhalants, marijuana, alcohol, and tobacco, where their use is prohibited by Federal, State, or local law.

(21 USC 1531 §1032 (a)(4)(D))

Applicants must identify strategies that target, at a minimum, two specific drugs of use. Each drug must be named specifically and individually. For example, a coalition may choose to address alcohol and prescription drugs. This must be specifically outlined and these drugs must be named in the Action Plan.

Do not use the following terminology in the application when naming the drugs the coalition will address:

• ATOD (Alcohol, Tobacco, and Other Drugs)

• Substances or Substance Use/Abuse

• Drugs or Drug Use/Abuse

NOTE: The term “prescription drugs” is allowable as a specific targeted substance. However, if desired, you may specify by type or category which prescription drugs the coalition is addressing, if any (e.g., pain killers, stimulants).

Where to Document:

Part V-1.3, Section A, Questions 3 and 9

Requirement 5: DFC National Evaluation Requirements Evidence Required:

The coalition must establish a system to measure and report outcomes, established and approved by the DFC Administrator, to the Federal Government.

(21 USC 1531 §1032 (a)(5)(A))

Applicants must demonstrate an ability to comply with the National Evaluation Requirements for the DFC Program as outlined in Part I-4.3, National DFC Cross- Site Evaluation Requirements. It is insufficient to simply state that the grantee will supply the data necessary to meet the DFC National Evaluation requirements. See below for further details that must be provided in order to meet this requirement.

Regardless of the substances a coalition is choosing to address, the following measures have been approved by the DFC Administrator and must be collected by each DFC grantee every two years, on four substances (alcohol, tobacco, marijuana, and prescription drugs) in three grades (6th-12th):

1. Past 30-day use

2. Perception of risk or harm of use

3. Perception of parental disapproval of use

4. Perception of peer disapproval of use

Each applicant must provide, using Appendix J, the following information:

1. The name of the survey(s) utilized to collect the data required in the four core measures listed above.

2. How often/when will the survey(s) be administered for core measure data collection?

3. What, if any, supplemental survey(s)/data will be used to meet the requirements of the DFC National Cross-Site Evaluation?

Where to Document:

Attachment 16 - DFC National Cross-Site Evaluation Information

Requirement 6: Entity Eligible to Receive Federal Grants Evidence Required:

The applicant must demonstrate that the coalition is an ongoing concern by demonstrating that the coalition is a non-profit organization or has made arrangements with a legal entity that is eligible to receive Federal grants.

(21 USC 1531 §1032 (a)(5)(A))

A coalition that is eligible to receive Federal grant funds on its own should simply state that it is a legally eligible entity.

If a coalition is not eligible to receive Federal grant funds on its own, it must make arrangements with a legal entity that will apply for the grant on behalf of the coalition and serve as the legal applicant for the grant. In this case, the grantee/legal applicant is the recipient of the award, and the entity legally responsible for satisfying the grant requirements, including Terms and Conditions of award. This includes conformance with HHS grantee financial management requirements, fulfilling audit requirements, and reporting financial status, progress, and other related documents. See Appendix F for guidance on the role of a grantee.

For a coalition not serving as its own grantee, the application must include a completed and signed Memorandum of Understanding (MOU) between the coalition and the legal entity that will serve as the grantee if awarded the grant.

A sample MOU is provided in Appendix F. The coalition and grantee are not required to use the exact template provided for their MOU.

Organizations eligible to receive Federal funds as applicants must be legally recognized domestic public or private nonprofit entities. For example, state and local governments; Federally recognized tribes; state recognized tribes; urban Indian organizations (as defined in P.L. 94-437, as amended); public or private universities and colleges; professional associations, voluntary organizations, self-help groups, consumer and provider services-oriented constituency groups; community- and faith-based organizations; and tribal organizations.

(HHS Grants Policy Statement, January 1, 2007 – Eligibility, page I-11)

Requirement 6: Entity Eligible to Receive Federal Grants Evidence Required:

Grantee Financial Management Requirements:

Federal regulations governing SAMHSA grants (45 CFR Part 74 and 45 CFR Part 92) provide standards for financial management systems of grantee organizations. To determine whether grantees have financial management systems that conform to those standards, SAMHSA’s Financial Advisory Services Officers (FASO) perform Financial Capability Reviews of new or prospective grantees. Based on a recent report on an audit performed in accordance with OMB Circular A-133, or a combination of financial statements together with accounting and personnel policies & procedures (P&P), FASO will make a determination of the organization’s ability to adequately administer Federal awards.

If needed, FASO will request that the grantee take necessary corrective action to conform to the financial management standards. For more information, go to http://www.samhsa.gov/grants/management.asp x

Where to Document:

Attachment 5 – MOU or statement of legal eligibility http://www.samhsa.gov/grants/management.aspx

Requirement 7: Substantial Support from Non-Federal Sources Evidence Required:

The coalition must have a strategy to solicit substantial financial support from non- Federal sources to ensure that the coalition is self-sustaining.

(21 USC 1531 §1032 (a)(5)(C)) & (21 USC 1531 §1032 (b)(1)(A)(i))

Applicants must show at least dollar-for-dollar (1:1) matching funds in their Budget and Budget Narrative.

These matching funds must come from non-Federal sources.* Matching funds can be in-kind or donations, but must be compliant with Federal regulations regarding allowable expenses.

Applicants must itemize the matching funds separately in the Budget SF-424A, (available at http://www.samhsa.gov/grants/applicationkit.aspx) and explain the matching funds separately in the Budget Narrative (see Part V-1.3, Section B).

*Only Federal funds appropriated for 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.

Where to Document:

SF-424, Section 18

SF-424A

Part V-1.3, Section B: Budget Narrative (see Appendix A for sample)

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

Note: Those applying for a second 5-year funding cycle must comply with the increase in match requirement for Years 7-10 (see Part III-2).

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

Requirement 8: Federal Request Evidence Required:

The applicant must not request more than $125,000 in Federal funds per year.

(PL 109-469 §803)

The budget may not show a request for Federal funds exceeding $125,000/year, excluding Federal match from Requirement 7 above.

Where to Document:

SF-424, Section 18

SF-424A

Part V-1.3, Section B: Budget Narrative (see Appendix A)

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

Requirement 9: Zip Code Overlap Evidence Required:

Two coalitions may not serve the same zip code(s) unless both coalitions have clearly described their plan for collaboration in their applications and each coalition has independently met the eligibility requirements.

(21 USC 1531 §1032 (a)(5)(C))

Each applicant that proposes to serve a community that overlaps with the community of an existing or newly applying DFC coalition must provide a Letter of Mutual Cooperation between their coalition and the overlapping coalition that outlines their current plans and areas of collaboration. The letter must include two signatures:

one from the applicant coalition and one from the currently funded/applying coalition. In the case of two first-time applicants, a Letter of Mutual Cooperation must be included in each application.

As part of the eligibility screening process, zip codes will be checked. “Zip codes served” from Part V-1.4, Section E of the application are used to determine overlaps.

Requirement 9: Zip Code Overlap Evidence Required:

If the applicant coalition overlaps with another applicant coalition and/or with an existing DFC grantee, a Letter of Mutual Cooperation between the applicant and each overlapping coalition must be included as Attachment 6 in your application.

In cases of overlap where there is no evidence of collaboration between two coalitions:

• Coalitions already inside a five-year grant cycle will be given preference.

• If the overlap occurs between two new applicants, the one that scores higher in Peer Review will be given preference.

See http://www.whitehouse.gov/ondcp/Drug-Free- Communities-Support-Program for a list of existing DFC grantees by State.

Where to Document:

Attachment 6 – Letter(s) of Mutual Cooperation, signed by both coalitions, or statement that there is no overlap between the applicant and other coalitions

Attachment 10 – General Applicant Information Table.

Eligibility Requirement Item: Evidence Required and Where to Document

Requirement 10: One grant at a time Evidence Required:

Grantees/coalitions may be awarded only one grant at a time through the DFC Program.

Applicants must sign and submit the Applicant Assurance included as Appendix G.

Where to Document:

Attachment 7 – Applicant Assurance of One Grant at a Time

Requirement 11: No more than 10 years of DFC funding Evidence Required:

Coalitions may not receive more than 10 years of DFC funding.

Applicants must sign the Applicant Assurance of Compliance with the End of Grant Policy (Congressional 10-Year Funding Limit Policy) included as Appendix H.

Applicants should be certain that they are not reapplying as a previously funded coalition. A coalition requesting first year funding should be serving a different catchment area and the coalition staff and volunteers should be different from that of any previously or currently funded coalition.

Where to Document:

Attachment 8 – End of Grant Policy (Congressional 10- Year Funding Limit Policy)

2. COST SHARING and MATCH REQUIREMENTS

The DFC 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 from DFC Program. 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.

Applicants in their first cycle of DFC funding (Years 1-5), and those in Year 6, are required to have, each year, 100 percent match (1:1) from non-Federal sources. Beginning in Year 7, the percentage increases. The table below indicates the percentage of match required for DFC grantees in each year of the grant.

Table 3: Percentage of Match

Year of Funding Requested

Matching Requirement

1-6 100%

7-8 125%

9-10 150%

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 DFC coalition, including but not limited to office space, volunteer secretarial services, pro bono accounting services, and other volunteer services to support the coalition’s work. All match must follow the Federal cost principles and be allowable, reasonable, and documented. Applicants cannot submit match that would not be allowable to be purchased with DFC funds. For example, since grantees are not allowed to purchase food with Federal dollars, they cannot count the value of food donated as match.

A match level over the required amount will not result in a higher Peer 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 DHHS 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 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.

3. OTHER

3.1 Additional Eligibility Requirements

Applicants must use the Application for Federal Assistance Grant Application Package available at http://www.samhsa.gov/grants/applicationkit.aspx and must follow all application submission requirements and formatting requirements or their application will not be considered for funding. Application submission and formatting requirements are provided in Appendix B of this document.

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 package 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/grants/apply.aspx. Additional materials available on this website include:

• a grant writing technical assistance manual for potential applicants;

• standard terms and conditions for SAMHSA grants;

http://www.samhsa.gov/grants/management.aspx http://www.samhsa.gov/grants/apply.aspx

• 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.

DFC application support information can be found on the Drug Free Communities website at http://www.whitehouse.gov/ondcp/Drug-Free-Communities-Support-Program. 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 Package

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

• Grant Application Package – Includes the face page (SF-424), budget forms (SF-424A), and checklist. You must use the Grant Application Package.

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 at http://www.samhsa.gov/grants/index.aspx and the DFC website at http://www.whitehouse.gov/ondcp/Drug-Free-Communities-Support-Program. A synopsis of the RFA is available on the Federal grants website at 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 requirements (e.g., font size, page margins).

• Face Page – SF-424 is the face page. This form is part of the Grant Application Package, available at http://www.samhsa.gov/grants/applicationkit.aspx. [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, indicate to Dun and Bradstreet that you are a public/private non-profit organization getting ready to submit a Federal grant application. In addition, you must be registered in the Central Contractor Registration (CCR) prior to submitting an application and maintain an active CCR registration during the grant funding period. REMINDER: CCR registration expires each year http://www.whitehouse.gov/ondcp/Drug-Free-Communities-Support-Program http://www.samhsa.gov/grants/apply.aspx http://www.samhsa.gov/Grants/ApplicationKit.aspx http://www.samhsa.gov/grants/index.aspx http://www.whitehouse.gov/ondcp/Drug-Free-Communities-Support-Program http://www.grants.gov/ http://www.dunandbradstreet.com/ and must be updated annually. It can take 24 hours or more for updates to take effect, so check for active registration well before your grant deadline. Grants.gov will not accept your application if you do not have current CCR registration. If you do not have an active CCR registration prior to submitting your paper application, it will be screened out and returned to you without review. The DUNS number you use on your application must be registered and active in the CCR. You can view your CCR registration status at http://www.bpn.gov/CCRSearch/Search.aspx and search by your organization’s DUNS number. Additional information on the Central Contractor Registration (CCR) is available at https://www.bpn.gov/ccr/default.aspx].

• Budget Form – Use SF-424A, which is part of the Grant Application Package.

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 SF- 424A should reflect the final numbers as they appear in your Budget Narrative.

• Table of Contents – Number every page of the 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 the application and each attachment. Hand numbering of pages is allowable.

• Community Overview – The Community Overview describes the key features of the community. It should be no longer than 1 page in length.

• Project Narrative – The Project Narrative describes the efforts the coalition will undertake to address youth substance use. It consists of Part V-1.3, Section A of the RFA and can be no longer than 30 pages. More detailed instructions for completing the Project Narrative are provided in Part V - Application Review Information of this document. Applications that exceed the 30-page limit (Project Narrative only) will be screened out and will not be reviewed.

• Budget Narrative – The Budget Narrative (Part V-1.3, Section B of the RFA) provides narrative detail about both the Federal request and the non-Federal match.

• Attachments 1 through 17.

• Attachment 1: Sector Member Table

• Attachment 2: 12 CIAs; including more than the 12 required…