HomeMy WebLinkAboutCFC Grant - Drug-Free CommunitiesDepartment of Health and Human Services
Substance Abuse and Mental Health Services
Administration
Drug-Free Communities (DFC) Support Program
Request for Applications (RFA) No. SP-13-002
Catalogue of Federal Domestic Assistance (CFDA) No.:
93.276
Key Dates:
Application Deadline Applications are due by March 22, 2013
Intergovernmental Review
(E.O. 12372)
Applicants must comply with E.O. 12372 if their s tate(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………………………………………………………………………1
I. FUNDING OPPORTUNITY DESCRIPTION……………………………………..........2
1. PURPOSE………………………………………………………………………........2
2. WHAT DFC FUNDS……………………………………………………….………..2
3. COMMUNITY DEFINITION…………………………………………………….....3
4. EXPECTATIONS………………………………………………………………........3
5. TECHNICAL ASSISTANCE RELATED TO THIS RFA ..………………………...6
II. ELIGIBILITY INFORMATION ..………………………………….……………….......7
1. ELIGIBLE APPLICANTS………………………………………………………......7
2. COST SHARING AND MATCH REQUIREMENTS……………………………..15
3. ADDITIONAL ELIGIBILITY REQUIREMENTS/AWARD INFORMATION.....17
III. APPLICATION AND SUBMISSION INFORMATION……………………………....18
1. ADDRESS TO REQUEST APPLICATION PACKAGE………………………….18
2. CONTENT AND GRANT APPLICATION SUBMISSION………………………18
3. APPLICATION SUBMISSION…………………………………………………....21
4. INTERGOVERNMENTAL REVIEW (E.O.12372) REQUIREMENTS………….22
5. FUNDING LIMITATIONS/RESTRICTIONS…………………………………….22
IV. APPLICATION REVIEW INFORMATION………………………………………….23
1. GENERAL INSTRUCTIONS….………………………………………………….23
2. EVALUATION CRITERIA……………………………………………………….23
3. APPLICATION SCORING INSTRUCTIONS……………………………………24
4. REVIEW AND SELECTION PROCESS…………………………………………26
V. RESPONDING TO THE DFC RFA…………………………………………………...26
1. COMMUNITY OVERVIEW……………………………………………………...26
2. SECTION A: PROJECT NARRATIVE ……………………………………….. . 27
3. SECTION B: BUDGET NARRATIVE ……………………………………….....31
4. SECTION C: REQUIRED ATTACHMENTS ..…………………………………32
VI. ADMINISTRATIVE INFORMATION………………………………………………34
1. AWARD NOTICES……………………………………………………………....34
2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS………....35
3. REPORTING REQUIREMENTS………………………………………………...35
APPENDIX A: SAMPLE BUDGET……………………………………………………….....37
APPENDIX B: FORMATTING REQUIREMENTS FOR SAMHSA GRANT
APPLICATIONS……………………………………………………………………………...52
APPENDIX C: GUIDANCE FOR ELECTRONIC SUBMISSION………………...………..54
APPENDIX D: COALITION ROLES AND RELATIONSHIPS TO SECTOR
MEMBERS…………………………………………………………………………………….58
APPENDIX E: COALITION INVOLVEMENT AGREEMENTS………………………..….60
APPENDIX F: ASSURANCE OF LEGAL ELIGIBILITY…………………………..………62
APPENDIX G: GRANTEE/LEGAL APPLICANT ROLES AND RELATIONSHIP WITH
COALITION…………………………………………………………………………………..63
APPENDIX H: ASSURANCE OF ONE DFC GRANT AT A TIME………………………...65
APPENDIX I: ASSURANCE OF 10-YEAR FUNDING LIMIT…………………………….66
APPENDIX J: RESUMES AND JOB DESCRIPTIONS…………………………………….68
APPENDIX K: GENERAL APPLICANT INFORMATION………………………………...69
APPENDIX L: INTERGOVERNMENTAL REVIEW (E.O.12372)
REQUIREMENTS………………………………………………………………………….....71
APPENDIX M: DISCLOSURE OF ALL PRIOR DFC FUNDING……………………….....73
APPENDIX N: DFC NATIONAL CROSS-SITE EVALUATION REQUIREMENTS…... ..74
APPENDIX O: SAMPLE CONGRESSIONAL NOTIFICATION…………………………..75
APPENDIX P: PRE-SUBMISSION VERIFICATION…………………................................76
APPENDIX Q: GLOSSARY OF TERMS…………………………………………………....78
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EXECUTIVE SUMMARY
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 2013 Drug-Free Communities (DFC) Support Program
grants. The purpose of the DFC Program is to establish and strengthen collaboration to support
the efforts of community coalitions working to prevent youth substance use.
Funding Opportunity Title: Drug-Free Communities Support Program
Funding Opportunity Number: SP-13-002
Due Date for Applications: March 22, 2013
Anticipated Total Available Funding: $18,750,000
Estimated Number of Awards: Approximately 150
Estimated Award Amount: Up to $125,000 per year
Cost Sharing/Match Required Yes
[See Section II-2 of this RFA]
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 Table 1 of this
RFA for complete eligibility information.
As of the release of this RFA, the FY2013 federal budget is still pending before Congress;
therefore, projections for available funding and for the number of potential awards are based on
the appropriation for FY2012 and are subject to change based on passage of the final FY2013
Federal Budget.
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I FUNDING OPPORTUNITY DESCRIPTION
1. PURPOSE
The DFC Program was created by the Drug-Free Communities Act of 1997 (Public Law 105-20.
This announcement addresses Healthy People 2020 Substance Abuse Topic Area HP 2020-SA.
The DFC Program is a collaborative effort directed by the Office of National Drug Control
Policy (ONDCP) in collaboration with the Substance Abuse and Mental Health Services
Administration (SAMHSA), Center for Substance Abuse Prevention (CSAP).
The DFC Program has two goals:
1. 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*.
2. 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.
*For the purposes of this RFA, “youth” is defined as individuals 18 years of age and
younger.
2. WHAT DFC FUNDS
Grants awarded through the DFC Program are intended to support established community-
based youth substance use prevention 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 the use of environmental prevention strategies. For more information on
environmental strategies please refer to the Expectations section of this RFA.
DFC does not fund the following (not a fully exhaustive list):
After-school programs
Youth mentoring programs
Sports programs
Treatment services/programs/facilities
Drug Courts
Construction
Landscaping/neighborhood
revitalization projects
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3. COMMUNITY DEFINITION
The DFC Program does not prescribe the size, borders, demographics, or geographic location of
DFC grantee communities. 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. However, 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.
4. EXPECTATIONS
Strategic Prevention Framework
DFC-funded coalitions are expected to utilize SAMHSA’s Strategic Prevention Framework
(SPF) as the planning model to develop long-range plans. 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 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.
5. Evaluation: Monitor, sustain, improve, or replace prevention activities, efforts, and
strategies.
Use of Environmental Prevention Strategies
Environmental prevention strategies incorporate efforts aimed at changing or influencing
community conditions, standards, institutions, structures, systems, and policies to shift attitudes
and change behavior. More specifically, environmental prevention strategies seek to: (1) limit
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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. Ample
evidence exists that well-conceived and implemented policies at the local, state, and national
level can reduce community-level alcohol, tobacco, and other drug problems.
The Seven Strategies for Community Change, which are a conceptual understanding of strategies
a coalition may employ, include efforts that affect individuals, as well as those that have the
potential to reach an entire community. The DFC Program requires the use of environmental
prevention strategies, items 4 through 7 on the following page, as part of a coalition’s
comprehensive planning efforts to prevent youth substance use.
A comprehensive Action Plan will include an appropriate mixture of all seven strategies listed
below with DFC funding being dedicated toward strategies 4 through 7. Efforts listed in
strategies 1 through 3 are good sources for match and should not be the focus of DFC
expenditures. It is not required for applicants to name the seven strategies listed below in the
Action Plan, but should use them as a framework for ensuring comprehensiveness.
Seven Strategies for Community Change
Individual Prevention Strategies
1. Provide Information: Educational presentations, workshops or seminars, and data or
media presentations (e.g., PSAs, brochures, town halls, forums, web communication).
2. Enhance Skills: Workshops, seminars, or activities designed to increase the skills of
participants, members and staff (e.g., training and technical assistance, parenting classes,
strategic planning retreats, model programs in schools).
3. Provide Support: Creating opportunities to support people to participate in activities that
reduce risk or enhance protection (e.g., alternative activities, mentoring, referrals for
service, support groups, youth clubs).
Environmental Prevention Strategies
4. 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).
5. 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).
6. Change 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,
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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.
7. 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 prevention strategies, please see
http://www.cadca.org/files/resources/Beyond_the-Basics-Environmental_Strategies-11-2010.pdf.
DFC National Cross-site Evaluation
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. DFC grantees
are required to provide data every two years on the following core measures for alcohol,
tobacco, marijuana, and prescription drugs for three grades (6-12th):
1. Past 30–day use
2. Perception of risk or harm
3. Perception of parental disapproval of use
4. Perception of peer disapproval of use
Applicants must provide information about their ability to comply with the DFC National Cross-
Site Evaluation Requirements in Attachment 16; refer to Appendix N for more information.
An inability to supply the above core measures in the specific increment (every 2 years) for the
substances named in the grades required means a coalition is not eligible to apply for DFC
funds. The terms and conditions of the grant award will specify how the data is to be submitted
and the schedule for submission using an online data reporting system.
In the case that a Year One DFC grantee does not have the core measures at the time of
application and/or award of the grant, the coalition will have two years from the time of award to
report their first complete set of core measure data. Each Year One 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. After awarded a grant it is the responsibility of the coalition to
know the National Cross-site Evaluation reporting schedule.
New Grantee 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 DFC New Grantee
Meeting in Washington, DC in the first year of the grant award. This requirement applies to
grantees that receive Year One or Year Six funding or are returning to the DFC Program
after a lapse in funding. The DFC New Grantee Meeting usually takes place in early
December.
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National Coalition Academy Requirement
Applicants applying to become Year One DFC grantees are expected to budget and send two
people to the National Coalition Academy (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. This requirement does not apply to coalitions that have already attended the
NCA, although these coalitions may 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). Lodging, dependent upon location, may be
provided. 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.
5. TECHNICAL ASSISTANCE RELATED TO THIS RFA
NEW APPLICANT WORKSHOPS
Potential applicants, those applying for the first time (Year One), current grantees applying for a
second cycle of five years of funding (Year Six), 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.
To register for a New Applicant Workshop in a location listed below, go to:
https://www.cmpinc.net/dfc/registration.aspx.
Phoenix, AZ Tuesday, January 29, 2013
Little Rock, AR Thursday, January 31, 2013
National Harbor, MD Friday, February 8, 2013 (near Washington, DC)
These workshops are not mandatory in order to apply for this grant. These workshops provide
technical assistance to help applicants complete their applications. They are not general
technical assistance workshops for coalitions. Attendees must read this RFA in advance and
come prepared to ask questions related to the completion of an application. After each
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workshop, a question and answer session will be held to specifically address applicants working
with American Indian/Alaska Native communities.
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 2013. The workshop registration link and the link for the online
videos can be found at http://www.whitehouse.gov/ondcp/information-for-potential-applicants.
SAMHSA CONTACTS
If you have questions related to this RFA, use the following contacts for assistance. Please
allow 48 business hours for your question to be answered. Once the application deadline is
reached, these SAMHSA contacts are no longer in use.
For questions about program issues contact: For questions about forms & budgets:
DFC RFA Helpline Team DFC Federal Form/Budget Helpline
Division of Community Programs Division of Grants Management
(240) 276-1270 Virginia Simmons
dfcnew2013@samhsa.hhs.gov (240) 276-1422
Virginia.simmons@samhsa.hhs.gov
SAMHSA strongly encourages all grantees to provide a tobacco-free work place and promote
abstinence from all tobacco products (except in regard to accepted tribal traditions and practices).
II ELIGIBILITY INFORMATION
1. ELIGIBLE APPLICANTS
Statutory Eligibility Requirements, written into the DFC Act, are inherent in the DFC Program.
Read Table 1: Statutory Eligibility Requirements, which 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 table shows applicants where to
include the required information in their applications (e.g., as an attachment, in the Project
Narrative, or in the Budget Narrative). 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 Business Official on the Application for Federal Assistance (SF-424) will receive a letter
stating why the application was deemed ineligible to apply. No additional information may be
added to an 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
an applicant meets all the DFC Program statutory eligibility requirements identified in Table 1.
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
8
coalitions that demonstrate they meet all requirements will then be scored through a peer review
process according to the evaluation criteria described in the Application Review Information of
this RFA. Each year, DFC grantees must demonstrate compliance with all of the Statutory
Eligibility Requirements to be considered for continued funding.
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Table 1: Statutory Eligibility Requirements
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))
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))
Using the template in Appendix D, Table 23,
applicants must list:
1. Each of the required 12 sectors (must identify age
of youth sector);
2. Only one person for each sector (the individual
involved in the coalition who has the most
influence with others in that sector);
3. Individual sector members may not serve as
sector representatives for more than one DFC
funded coalition at a time.
4. 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.
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 D of this RFA for instructions. Table 23
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.
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Where to Document:
Attachment 1 – Sector Member Table
Attachment 2 – 12 CIAs (provide in the same order
as 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, 2012 and
September 30, 2012. The second set of minutes
must be from a coalition meeting that took place
between October 1, 2012 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 youth
Applicants must provide a copy of the coalition’s
Mission Statement. The statement cannot be that of
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substance use, 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)
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 the
reduction and/or prevention of youth substance
use.
Where to Document:
Attachment 4 – Coalition’s Mission Statement
Requirement 4: Multiple Drugs
of Abuse
Evidence Required:
The coalition must have developed an
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:
Project Narrative, Questions 5 and 7
Requirement 5: DFC National
Evaluation Requirement 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 the National DFC Cross-
Site Evaluation Requirements section of this RFA. 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
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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 N, the
following information:
1. The name of the survey instrument(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))
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.
For the purposes of the DFC Program, coalitions are
seen as entities that are separate from any
organization represented on the coalition.
A coalition that is eligible to receive federal grant
funds and is applying for this grant on its own must
complete Appendix F.
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. 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
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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)
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. 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/managem
ent.aspx
management requirements, fulfilling audit
requirements, and reporting financial status, progress,
and other related documents.
In the case that the staff charged with daily
operations of a coalition is employed by an outside
agency acting as the grantee/legal applicant, an MOU
must be signed between the coalition and the
grantee/legal applicant.
A sample MOU between a coalition and a partnering
organization serving as the grantee/legal applicant is
provided in Appendix G. The coalition and grantee
are not required to use the exact template provided,
however, it must include a coalition representative
hand written signature and the grantee/legal applicant
signatures and dated within 12 months of the date of
application.
Where to Document:
Attachment 5 –Signed Assurance of Legal Eligibility
or MOU between applicant coalition and
grantee/legal applicant.
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 section of this RFA.
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*In the case 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 and
serving a tribal community, federal funds may be
used as match.
Where to Document:
SF-424, Section 18
SF-424A
Budget Narrative
NOTE: Those applying for a second 5-year funding
cycle must comply with the increase in match
requirement for Years 7-10. Please refer to Match
Requirements section of this RFA, Part II-2.
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
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 an existing or applicant coalition must
provide a Letter of Mutual Cooperation between the
coalition and the overlapping coalition outlining their
efforts to collaborate. 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 Appendix
K, Table 25 of the application is used to determine
overlaps.
If the applicant coalition overlaps with another
applicant coalition and/or with an existing DFC
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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.
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 Assurance of
One DFC Grant at a Time document in Appendix H.
Where to Document:
Attachment 7 –Assurance of One DFC 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 Assurance of 10-Year
Funding Limit in Appendix I.
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 – Assurance of 10-Year Funding Limit
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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 federal funds requested from the 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 RFA.
Applicants in their first cycle of DFC funding (Years One - Year Five), and those in Year Six, are
required to have 100 percent match (1:1) from non-federal sources. Beginning in Year Seven, the
percentage increases. The table below indicates the percentage of match required for DFC
grantees in each year of the grant.
Table 2: Percentage of Match
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. For example, if 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 only exception in the DFC Program is in the case 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 and serving a tribal community.
Coalitions with these conditions may use federal funds as match.
Year of Funding Requested Matching Requirement
1-6 100%
7-8 125%
9-10 150%
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3. ADDITIONAL ELIGIBILITY REQUIREMENTS/AWARD INFORMATION
Award Information
DFC grants will be available to eligible applicants in amounts of up to $125,000 per year for up to
five years. Applicants may not ask for more than $125,000 in total costs (direct and/or
indirect) in any year of the proposed project. 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
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, 2013–September 29, 2014). 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 One and Two, but did not receive funding for
Year Three, Coalition X may apply for funding for Years Three, Four, and Five under this RFA.
Coalition X may not, however, reapply for Year One or Year Two funding. Coalitions that have
received 10 years of DFC funding are not eligible for this grant.
NOTE: All applicants must clearly state the program award year for which they are applying
(e.g., Year One, Year Two). 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.
Application for Federal Assistance Application Package
Applicants must use the Application for Federal Assistance 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 formatting requirements are provided in Appendix B of this RFA.
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III 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 list of Frequently Asked Questions;
a list of all the Attachments and Appendices;
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 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 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
Application Package
A complete list of documents included in the Application Package is available at
http://www.samhsa.gov/Grants/ApplicationKit.aspx. This includes:
Application Package: Includes the Face page (SF-424), Budget Information forms (SF-
424A), Project/Performance Site Location(s) form, Disclosure of Lobbying Activities (SF-
LLL) if applicable, and Checklist. Applications that do not include the required forms
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.
19
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 and C 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. Regardless of the
method of application submission (paper or electronic), registration in the System for
Award Management (SAM) is mandatory for any applicant of the DFC Program.
Failure to register with SAM will lead to an application being deemed ineligible and
will not proceed to peer review. It takes up to 72 hours for a SAM registration to be
processed. Do not wait until the day the application is being submitted to register for
SAM, as there will not be enough time for the registration to process and your
application will not make the deadline. The former Central Contractor Registration
(CCR) transitioned to the SAM on July 30, 2012. Any registration data in process during
the transition period between July 16, 2012 and October 15, 2012 was migrated to SAM.
SAM information must be updated at least every 12 months to remain active. Once you
update your record in SAM, it will take up to 72 hours to complete the validation
processes. The DUNS number you use on your application must be registered and active
in the SAM. To create a user account, register/update entity and/or search records from
SAM, refer to https://www.sam.gov.
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 RFA. Your completed SF-424A should reflect the final numbers as
they appear in your Budget Narrative.
Table of Contents: Number the bottom right corner of every page in the application,
including the Attachments, 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 (Section A of this RFA) describes the efforts the
coalition will undertake to address youth substance use. It consists of 10 questions and
20
can be no longer than 30 pages. More detailed instructions for completing the Project
Narrative are provided in the Application Review Information of this RFA. Applications
that exceed the 30-page limit (Project Narrative only) will be screened out and will
not be reviewed.
Budget Narrative: The Budget Narrative (Section B of this RFA) provides narrative
detail about both the federal request and the non-federal match.
Attachments 1 through 17: Please clearly label each attachment provided, additional
attachments will not receive a higher score.
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.
Project Performance Site Location(s) Form: The purpose of this form is to collect
location information on the site(s) where work funded under this grant announcement will
be performed. This form will be posted with the RFA on SAMHSA’s website and
provided in the application package at http://www.samhsa.gov/grants/applicationkit.aspx.
Assurance of Compliance with SAMHSA Charitable Choice Statutes and
Regulations Form SMA 170: Applicants are required to complete the Assurance of
Compliance with SAMHSA Charitable Choice Statutes and Regulations Form SMA 170.
This form is available on SAMHSA’s website and provided in the application package at
http://www.samhsa.gov/grants/applicationkit.aspx.
Disclosure of Lobbying Activities: 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. You must hand sign and submit this form, if applicable.
Checklist: Use the Checklist found in the Grant Application Package, available at
http://www.samhsa.gov/grants/applicationkit.aspx. You must complete the entire form
including the top portion “Type of Application” must be checked (New, Non-Competing
Continuation, Competing Continuation or Supplemental). If you are submitting a paper
application the Checklist should be the next-to-last page.
Documentation of non-profit status as required in the Checklist.
Pre-Submission Verification: Use the checklist found in Appendix P. This verification
ensures that you have accurately documented the eligibility requirements and included all
21
major components of the application. If submitting a paper application, the Pre-
Submission Verification should be the last page.
3. APPLICATION SUBMISSION REQUIREMENTS
While SAMHSA requires electronic submission for grant applications, a waiver has been granted
to allow paper submissions for the DFC Program for the FY 2013 application process.
Within 30 days of receipt of an application, applicants will be notified by postal mail that
the application has been received. If an applicant submits an application on time and does not
receive notification within that 30-day timeframe, the applicant should contact SAMHSA’s Office
of Grant Review at 240-276-1199 for additional information.
Submission of Electronic Applications
Applicants using electronic submission are subject to the registration requirements for the System
of Award Management (SAM). Failure to register with SAM will lead to an application being
deemed ineligible and will not proceed to peer review. SAMHSA accepts electronic submission
of applications through http://www.grants.gov. If you plan to submit the application
electronically through Grants.gov, it is very important that you thoroughly read the application
information provided in Appendix C, Guidance for Electronic Submission of Applications. If you
use electronic submission, that is the “official” submission. Paper (mailed) back-up applications
for electronic submissions will not be accepted. Electronically submitted applications are due by
11:59 PM (Eastern Time) on March 22, 2013.
Submission of Paper Applications
Applicants using paper submission are subject to the registration requirements for the System of
Award Management (SAM). Failure to register with SAM will lead to an application being
deemed ineligible and will not proceed to peer review. If you are submitting a paper application,
you must submit an original application and two (2) 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. Paper submissions of grant
applications are due by 5:00 PM (Eastern Time) on March 22, 2013. Applications may be
shipped using only Federal Express (FedEx), United Parcel Service (UPS), or the United
States Postal Service (USPS).
NOTE: If you use the USPS, you must use Express Mail. SAMHSA will not accept any
applications that are hand carried by an individual or sent by facsimile.
Send paper applications to the address below :
Diane Abbate, Director of Grant Review
Office of Financial Resources
Substance Abuse and Mental Health Services Administration
Room 3-1044
22
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. Be sure to include “SP-13-002 – DFC
Support Program” 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 be screened out and
will not proceed to peer 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.
Application Formatting Requirements
Applications that do not comply with the Application Formatting Requirements will be
screened out and will not be reviewed for Statutory Eligibility Requirements and will not go
to peer review. Please refer to Appendix B, Checklist for Formatting Requirements and
Screenout Criteria for SAMHSA Grant Applications, for SAMHSA’s basic application formatting
requirements.
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 (HHS) 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 L for additional information on these
requirements, as well as requirements for the Public Health Impact Statement.
5. FUNDING LIMITATIONS/RESTRICTIONS
The governing 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:
Table 3: Cost Principles
Applies to: Cost Principle:
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
23
The Health and Human Services (HHS) Grant Policy Statement – This HHS directive covers
grant policies, including, but not limited to general administrative and cost considerations. Part II
of the HHS Grant Policy statement describes selected allowable and unallowable costs items and
activities. This document is available at http://www.samhsa.gov/grants/management.aspx.
In addition, SAMHSA’s DFC Support Program grant recipients must comply with the following
funding restrictions:
DFC grant funds must be used for purposes supported by the DFC Program.
DFC may not be used to fund programs (i.e. after school, programs, youth mentoring
programs, sports programs, treatment services/programs/facilities, and/or other programs
considered “direct services”).
DFC grant funds may not be used to pay for any lease beyond the project period.
DFC 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 within the DFC Program may 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 costs are not allowable for general
coalition or subcommittee meetings.
No more than 20 percent of the total grant award may be used for evaluation purposes.
DFC 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 efforts carried out by this grant.
DFC grant funds may not be used to provide funding to community organizations through
mini-grants, including one coalition funding another coalition.
DFC grant funds may not be utilized for the following: law enforcement equipment, drug
search detection canines or related training, drug courts, lighting, or community gardening
efforts.
IV APPLICATION REVIEW INFORMATION
1. GENERAL INSTRUCTIONS
Make sure that you are reading and using the correct RFA to submit your application for FY 2013
DFC funding. For FY 2013, there are 10 questions in the Project Narrative (Section A) and only
these questions can be used when applying for FY 2013 funding. Failure to use the correct RFA
and to answer the correct questions in the order they are presented in the FY 2013 RFA will
result in an application being deemed ineligible and not proceeding to peer review.
2. EVALUATION CRITERIA
The DFC Program uses a peer review process that identifies current and former DFC grantees to
serve as peer reviewers. Applicants should consider the audience when assembling and writing
their application. Each application is assigned to a panel of three peer reviewers for scoring.
Each application is scored and the composite of the three scores becomes the application’s final
score. These final scores are ranked from the highest to the lowest and sent to ONDCP for
24
review. Upon full completion of the statutory eligibility review process and review of final
scores, ONDCP begins funding with the highest scoring grant until all funds are exhausted.
NOTE: The DFC Act requires that all applications be considered and reviewed equally. Those
applying for Year Six do not receive a higher priority than those applying for Year One. A
Year Six applicant’s past performance is not a factor in funding decisions. Only the submitted
application is forwarded to peer reviewers. In addition, grants are not awarded based on how
many DFC-funded coalitions are within a geographic boundary (e.g., state, county, city).
3. APPLICATION SCORING INSTRUCTIONS
Peer reviewers will tally the points each applicant receives for each question to create a total score
for the Project Narrative (scores will range from 0 to 90 points).
Project Narrative Scoring:
Peer reviewers will score the responses to questions 1, 6, and 10 using the 5-point scale identified
below.
5 points: Answer is outstanding. The applicant organization explicitly addresses all
bullets in the question by providing comprehensive descriptions and thorough details.
4 points: Answer is very good. The applicant organization explicitly addresses the
majority of the bullets and provides significant descriptions and relevant details.
However, at least one bullet does not include comprehensive and detailed information to
completely answer the question.
3 points: Answer is acceptable. The applicant organization explicitly addresses some of
the bullets and provides adequate descriptions and sufficient details. However, two or
more bullets do not include comprehensive and detailed information to completely answer
the question.
2 points: Answer is marginal. The applicant organization does not explicitly address the
majority of the bullets. The applicant organization provides minimal details and
insufficient descriptions that do not completely answer the question.
1 point: Answer is unacceptable. The applicant organization does not explicitly address
the bullets. The applicant organization states the question, but does not elaborate on the
response. The applicant organization skipped or otherwise ignored the question. As a
result, the answer is completely deficient in addressing the question.
Peer reviewers will score the responses to questions 2, 3, 4 5, 8, and 9 using the 10-point scale
identified below.
10-9 points: Answer is outstanding. The applicant organization explicitly addresses all
bullets in the question by providing comprehensive descriptions and thorough details.
8 points: Answer is very good. The applicant organization explicitly addresses the
majority of the bullets and provides significant descriptions and relevant details.
However, at least one bullet does not include comprehensive and detailed information to
completely answer the question.
25
7 points: Answer is acceptable. The applicant organization explicitly addresses some of
the bullets and provides adequate descriptions and sufficient details. However, two or
more bullets do not include comprehensive and detailed information to completely answer
the question.
6 points: Answer is marginal. The applicant organization does not explicitly address the
majority of the bullets. The applicant organization provides minimal details and
insufficient descriptions that do not completely answer the question.
5-0 points: Answer is unacceptable. The applicant organization does not explicitly
address the bullets. The applicant organization states the question, but does not elaborate
on the response. The applicant organization skipped or otherwise ignored the question.
As a result, the answer is completely deficient in addressing the question.
Peer reviewers will score the responses to question 7 using the 15-point scale identified below.
15-13 points: The Action Plan is outstanding. The Action Plan fully addresses both DFC
goals of increasing collaboration and reducing youth substance use. The Action Plan
provides objectives that coincide with problems identified in the data provided in Question
five of the Project Narrative. The strategies and activities included will effectively address
each objective. The Action Plan has a comprehensive approach and includes identifiable
environmental prevention strategies.
12-10 points: The Action Plan is very good. The Action Plan does not do one of the
following: (1) fully address both DFC goals of increasing collaboration and reducing
youth substance use; (2) provide objectives that coincide with the problems identified in
the data provided in Question 5 of the Project Narrative; (3) provide strategies and
activities that will sufficiently address each objective; and (4) include some environmental
prevention strategies.
9-7 points: The Action Plan is acceptable. The Action Plan does not do two of the
following: (1) fully address both DFC goals of increasing collaboration and reducing
youth substance use; (2) provide objectives that coincide with problems identified in the
data provided in Question 5 of the Project Narrative; (3) provide strategies and activities
that will at least sufficiently address each objective; and (4) include some identifiable
environmental prevention strategies.
6-4 points: The Action Plan is marginal. The Action Plan does not do not do three or
more of the following: (1) fully address both DFC goals of increasing collaboration and
reducing youth substance use; (2) provide objectives that coincide with problems
identified in the data provided in Question 5 of the Project Narrative; (3) provide
strategies and activities that will at least sufficiently address each objective; and (4)
include some identifiable environmental prevention strategies.
3-0 points: The Action Plan is unacceptable. The applicant organization presented an
Action Plan, but does not effectively elaborate on the following: (1) fully address both
DFC goals of increasing collaboration and reducing youth substance use; (2) provide
objectives that coincide with problems identified in the data provided in Question 5 of the
Project Narrative; (3) provide strategies and activities that will at least sufficiently address
each objective; and (4) include some identifiable environmental prevention
strategies. The applicant organization skipped or otherwise ignored the question.
26
Budget Narrative Scoring:
Peer reviewers will determine whether items identified in the budget (federal request and non-
federal match) align with the activities outlined in the Action Plan and the DFC Program priorities
using the 10-point scale identified below.
10-9 points: Answer is outstanding. Budget completely supports the objectives in the
Action Plan; demonstrates outstanding support of the two primary goals of the DFC grant;
and makes effective use of both federal grant funds and required matching funds.
8 points: Answer is very good. Budget sufficiently supports the objectives in the Action
Plan; demonstrates some support of the two primary goals of the DFC grant; and makes
effective use of both federal grant funds and required matching funds.
7 points: Answer is acceptable. Budget adequately supports the objectives in the Action
Plan; demonstrates sufficient support of the two primary goals of the DFC grant; and
makes effective use of both federal grant funds and required matching funds.
6 points: Answer is marginal. Budget minimally supports the objectives in the Action
Plan and demonstrates little support of the two primary goals of the DFC grant; and does
not effectively make use of both federal grant funds and required matching funds.
5-0 points: Answer is unacceptable. Budget does not support the objectives in the Action
Plan and demonstrates no support of the two primary goals of the DFC grant; and does not
make effective use of both federal grant funds and required matching funds.
4. REVIEW AND SELECTION PROCESS
Applications will be screened jointly by ONDCP and SAMHSA to determine whether applicants
meet all eligibility requirements outlined in this RFA. Applications submitted by coalitions that
meet all eligibility requirements will then be scored by a peer review panel according to the
evaluation criteria described above. All applications that proceed to peer review will be rated on
a 100-point scale (90 points for the Project Narrative and 10 points for the Budget Narrative).
Peer reviewer ratings, and any resulting recommendations, are advisory. The primary decision
criterion is the application’s final peer review score. All final grant award decisions will be made
by the Director of ONDCP. In the case of ties and consistent with the DFC Act of 1997, ONDCP
may give consideration to rural, American Indian/Alaska Native, and economically disadvantaged
communities.
V RESPONDING TO THE DFC RFA
1. COMMUNITY OVERVIEW (NOT SCORED)
The Community Overview should be placed after the Table of Contents. Type the heading
Community Overview, then describe the community the applicant coalition intends to serve.
This is the applicant’s opportunity to educate the peer reviewers about the community, enabling
them to understand the context in which the coalition will operate. This will assist the peer
reviewers in scoring the Project Narrative. The Community Overview is not scored and does
not count toward the 30-page limit. However, it can be no longer than one page in length.
In the Community Overview, at a minimum, provide the following information:
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Describe the community, including demographics and aspects of diversity such as age,
race, ethnicity, gender, socioeconomic status, culture, religion, and sexual orientation
Describe what it is like to live and work in the community
Provide a historical perspective focusing on shifts or events that have had an impact on
youth substance use in the community
2. SECTION A: PROJECT NARRATIVE (SCORED; MAXIMUM OF 90 POINTS)
In developing the Project Narrative, use the instructions outlined below, which have been tailored
to the DFC Program. Applicants must use these instructions and NOT the Program
Narrative instructions found in the Grant Application Package.
The Project Narrative should be no longer than 30 pages. Applications with a Project
Narrative that exceeds the 30-page limit will not be screened for Statutory Eligibility
Requirements and will not go to peer review.
Restrictions related to font size and page margins found in Appendix B must be followed.
Respond to each question individually, building each response on previous responses so
all answers together tell a cohesive story of the community and coalition.
Retype the bold question only directly above each response. Place all responses and
required information under the correct question. Do not direct peer reviewers to
information related to one question in another question. Each question must be answered
in its entirety within the numbered question’s answer. Applicants must not direct peer
reviewers to documents in the Attachments, as they are not scored. All pertinent
information must be included in the Project Narrative for appropriate scoring.
The Project Narrative will be scored according to how well the applicant answers each
question and inclusion of the bullets under each question. Each bullet will be assessed
when determining the score for each question. Applicants should feel free to provide
information beyond the bullets within each question if it expands the coalition’s ability to
more effectively address the question. If a coalition cannot answer a specific bullet, then
the reason for this must be explained within the answer to the question.
Section A: Questions for Project Narrative
The following 10 questions enable applicants to tell the story of their current and future efforts to
prevent youth substance use in their community. Bolded questions are followed by bulleted items
outlining the required components of each response. Applicants are required to type the question
number followed by the bolded question. Responses must follow each question and address all
bullets. Applicants are not required to retype the bullets, but must answer them completely.
1. What is the coalition’s developmental history? (5 points) Provide explanations of the
following:
When and how the coalition started as a community-based entity addressing youth
substance use (i.e., initial community concern)
Coalition’s evolution over time
Coalition’s internal structure (e.g., board, committees, leadership, etc.)
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Coalition’s major accomplishments to date
2. How has the coalition recruited, engaged, and retained members/volunteers, including
the required 12 sector members? (10 points) Provide explanations of the following:
Clearly state how each individual listed on the Sector Member Table (Attachment 1) is the
best fit for the assigned sector
Technique(s) for recruiting and retaining coalition members
Active engagement of members in the coalition’s operations and activities to ensure
membership alignment with coalition’s mission and Action Plan
3. What are the coalition’s decision-making processes? (10 points) Provide explanations of
the following:
Coalition’s day-to-day operations to include paid staff, coalition members, and/or
potential contractors
Development of policies/procedures, by-laws, roles and responsibilities of staff, coalition
members and legal grantee (if different from coalition)
Current decision-making processes related to the coalition’s effort to reduce youth
substance use as reflected in the Action Plan (Question 7)
Current decision-making processes related to financial management by the coalition, to
include, if any, the role of the legal grantee (if different from coalition)
4. How has the coalition positioned itself as a vehicle for creating community change? (10
points) Provide explanations of the following:
Community’s view of the coalition as a change agent
Current/potential collaborations with local organizations and community leaders
Process for translating and packaging data for the community to understand local issues
related to youth substance use (i.e., appropriate communication mechanisms)
Coalition’s efforts to understand the community it serves (i.e., ensuring cultural
knowledge and inclusion in membership and efforts)
Coalition’s efforts to increase the capacity of its leadership
5. What are the current youth substance use problems in the community? (10 points)
Provide explanations of the following:
Current quantitative and qualitative data on youth substance use (i.e., if available, provide
past 30-day use, perception of risk/harm of use, perception of parental disapproval of use
and perception of peer disapproval of use for alcohol, tobacco, marijuana and prescription
drugs)
Data to include the consequences of youth substance use to further understanding of
current local conditions (e.g., juvenile crime, school data, emergency room data, law
enforcement data, etc.)
Coalition’s processes for prioritizing the substances (must name at least 2 substances) to
be addressed using DFC funds
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6. What unique factors/local conditions contribute to and/or increase the community’s
youth substance use-related problems? (5 points) Provide explanations of the following:
Existing environmental conditions and/or policies and practices (e.g., increased
accessibility and availability of substances, deficient licensing laws, etc.)
Community norms (e.g., denial, lack of readiness, parental attitudes, community climate,
etc.)
Other community factors (e.g., geographic conditions, economic conditions, etc.)
7. What is the coalition’s Action Plan for preventing youth substance use in the first 12
months if awarded a DFC grant? (15 points)
This question is answered by providing the coalition’s Action Plan using Table 4 shown
below. Do not provide narrative explanation in this question. Strategies and activities should
cover a period of 12 months (September 30, 2013-September 29, 2014). Objectives may
cover a time period outside of the first 12 months of the DFC grant. DFC grantees are
required to plan and implement environmental prevention strategies. However, Action Plans
should be comprehensive and include all strategies and activities necessary to address local
conditions related to youth substance use.
Under DFC Goal One, include measurable objectives, strategies and activities that will
strengthen the coalition’s internal capacity, as well as overall community collaboration in
addressing youth substance use.
Under DFC Goal Two, include measurable objectives, strategies and activities that will
prevent youth substance use.
Tips for Creating an Action Plan:
The Action Plan must fall within the text of the Project Narrative and will count toward
the 30-page limit.
Applicants must use the template provided in Table 4.
Applicants who are mailing their applications may use Times New Roman, 10-point font
in the Action Plan and a landscape page orientation.
Applicants submitting an electronic application must use Times New Roman 12-point
font in the Action Plan and must adhere to all instructions provided in Appendix C,
Guidance for Electronic Submission of Applications.
The Action Plan must include the two DFC goals provided in Table 4. Applicants may add
additional goals.
Objectives must be measurable and include a specific date (i.e., 06/30/14) by when the
change will be accomplished, as well as how much change will occur (i.e.,
increase/decrease) and the population addressed (i.e., youth ages 12-17).
The Action Plan should be comprehensive to include all of the coalition’s efforts.
Applicants may include as many measurable objectives, strategies, and activities as
necessary to create a comprehensive Action Plan. Individual strategies may be included;
however, environmental prevention strategies must be included.
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The Action Plan must address at least two named substances (in alignment with answer
provided in Question 5).
Separate the objectives for each substance addressed. Do not put all substances into a
single measureable objective. The strategies and activities should be specific to the named
drug. Activities may be repeated under multiple objectives.
Table 4: 12-Month Action Plan
Applicants must use this table to outline the coalition’s plans under the two DFC goals. Cells in
the following tables are intentionally left blank.
DFC Goal One: Increase community collaboration
Objective 1: Provide measureable objective
Strategy 1: Provide specific strategy
Activity Who is responsible? By when?
Strategy 2: Provide specific strategy
DFC Goal Two: Reduce youth substance use
Objective 1: Provide measureable objective.
Strategy 1: Provide specific strategy.
Activity Who is responsible? By when?
Strategy 2: Provide specific strategy.
Activity Who is responsible? By when?
Activity Who is responsible? By when?
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8. How will staff and coalition members ensure the implementation of the activities in the
Action Plan through shared work efforts? (10 points) Provide explanations of the
following:
Roles of staff, coalition members, and legal grantee (if applicable) in implementing the
Action Plan
Roles of key staff, coalition members, and legal grantee (if applicable) in monitoring the
Action Plan
Plan for keeping the community informed of progress toward implementation, adjustments
and actions related to the Action Plan
9. How will the coalition measure its impact in achieving the objectives provided in the
Action Plan? (10 points) Provide explanations of the following:
Determination of data to be used to measure impact of the strategies and activities in the
Action Plan on stated objectives (i.e., data sources for capturing measurements related to
the Action Plan)
Processes used to collect and analyze data (e.g., frequency of data collection, role of key
staff, coalition members, and evaluator, if applicable, in data collection and analysis, etc.)
When and how data will be used to adjust/update/improve the Action Plan
10. What will the coalition do to ensure its longevity within the community’s infrastructure?
(5 points) Provide explanations of the following:
Necessary systems change to ensure coalition’s alignment in community
Long-term collaboration planning beyond the 12 sectors and current membership (e.g.,
relationship building, human, social and fiscal capital)
Process for identifying coalition outcomes that need to be sustained
Institutionalization of coalition efforts
**From this point forward, the information submitted does not count against your 30-page
limit.**
3. SECTION B: BUDGET NARRATIVE (SCORED; MAXIMUM OF 10 POINTS)
In this section, applicants must provide a 12-month Budget Narrative to include budget details
and justification for expenditures. The Budget Narrative must include a description of matching
resources and other support that the coalition will receive. No more than 20 percent of grant
award may be used for evaluation. Applicants must use the template provided in Appendix A,
including providing a narrative description for each budget category for both federal requests and
non-federal match. There is no page limit for the Budget Narrative. If you are submitting your
application through Grants.gov, the Budget Narrative must be submitted as file BNF (See
Appendix C, Guidance for Electronic Submission).
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4. SECTION C: REQUIRED ATTACHMENTS (NOT SCORED)
All attachment pages must be numbered. Applicants may hand-number pages if necessary.
Although these sections are not scored by peer reviewers, they are critical to an application’s
ability to move forward to peer review. This information should follow Sections A and B of the
application with continuous page numbers. It is extremely important to order and label these
documents as indicated below. NOTE: The RFA provides applicants with several “appendices”.
Applicants submit all appendices as “attachments”.
Coalition Roles & Relationship to Sector Members
As Attachment 1, the applicants must include a completed Sector Member Table (Table 23).
The DFC Program uses two pieces of evidence to prove the 12 sectors: (1) Sector Member Table
and (2) Coalition Involvement Agreements (CIA).
Coalition Involvement Agreements
As Attachment 2, applicants must include one Coalition Involvement Agreement (CIA) for each
sector member. Table 24 must be included at the top of each CIA. A total of 12 CIAs must be
submitted as Attachment 2.
Two Sets of Coalition Minutes
As Attachment 3, applicants must include two set of coalition minutes. One set of minutes must
be from a coalition meeting that took place between January 1, 2012 and September 30, 2012.
The second set of minutes must be from a coalition meeting that took place between October 1,
2012 and the deadline for submission of this application.
Coalition Mission Statement
As Attachment 4, applicants must provide a copy of the coalition’s Mission Statement. The
statement cannot be that of an outside agent being used as the grantee/legal applicant (if
applicable) for a coalition. The Mission Statement must belong to the applicant coalition and the
principal mission of the coalition must be the reduction and/or prevention of youth substance use.
Assurance of Legal Eligibility or Grantee/Legal Applicant & Coalition
As Attachment 5, an applicant coalition that is eligible to receive federal grant funds and is
applying for this grant on its own must complete Appendix F and submit it as Attachment 5. If a
coalition is not eligible to receive federal grant funds on its own, it must make arrangements with
a legally eligible entity that will apply for the grant on behalf of the coalition. If this is the case,
as Attachment 5, applicants must submit an MOU between the applicant coalition and
grantee/legal applicant. The MOU must have a hand written signature of a coalition
representative and the grantee/legal applicant. It must be dated within 12 months of the date of
application.
Letter of Mutual Cooperation
As Attachment 6 (if applicable), applicants that proposes to serve a community that overlaps an
existing or applicant coalition must provide a Letter of Mutual Cooperation between the coalition
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and the overlapping coalition outlining their efforts to collaborate. If there are not zip code
overlaps identified, simply state this on a piece of paper and insert as Attachment 6.
Assurance of One DFC Grant at a Time
As Attachment 7, Applicants must sign and submit the Assurance of One DFC Grant at a Time
document.
Assurance of 10-Year Funding Limit
As Attachment 8, applicants must sign and submit the Assurance of 10-Year Funding Limit
document.
Resumes and Job Descriptions
As Attachment 9, applicants must include a resume (no longer than two pages) and a position
description (no longer than one page) for the Program Director and Project Coordinator, and each
additional key paid or in-kind position. Information on what should be included in resumes and
position descriptions can be found in Appendix J.
General Applicant Information
As Attachment 10, applicants must use the table provided in Appendix K. Answer all questions.
Organizational Chart
As Attachment 11, include the coalition’s Organizational Chart. The Organizational Chart
should display the relationship between the coalition, its subcommittees, and the grantee/legal
entity, as applicable.
Logic Model
As Attachment 12, include the coalition’s Logic Model in whatever format the coalition is
currently using. No specific template is required. If you need assistance with Logic Model
development, contact CADCA’s Technical Assistance Manager at 1-800-542-2322, ext. 240 or
consults the CADCA Planning Primer at http://www.cadca.org/files/resources/Planning-Primer-
07-2010.pdf.
Single State Agency Letter
As Attachment 13, include a copy of the letter to the Single State Agency (SSA) showing that
the applicant has informed the SSA contact person that an application has been submitted for a
DFC grant. Information related to this attachment is found in Appendix L, Intergovernmental
Review Requirements.
Certifications, Disclosures, and Checklists
As Attachment 14, include the site location(s) form, certifications, assurances, and disclosures
noted in Section III-2 of this RFA.
Disclosure of Prior DFC Funding
As Attachment 15, include the information requested in Appendix M related to prior DFC
funding for the legal applicant/grantee and applicant coalition for this RFA.
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DFC National Cross-site Evaluation Requirements
As Attachment 16, include the information requested in Appendix N related to the ability to
collect the data necessary to be in compliance with the DFC National Cross-site Evaluation.
Congressional Notification
As Attachment 17, all applicants must include a Congressional Notification. The Project
Description section must not be more than 35 lines; therefore, the entire document must not
exceed one page. This document should include a simple summary of your coalition’s efforts.
This information will be utilized to provide 48-hours of notice to your Congressional Members
should you receive DFC funding. Using the template provided in Appendix O, as requested, and
include specific information pertaining to your grant application.
Grant Application Package Checklist
The next to last page within your application should be the checklist found in the Application
Package.
Pre-Submission Verification Checklist
The final page of your application should be the checklist found in Appendix P, the Pre-
Submission Verification Checklist. Ensure that you have included all documents listed in the
application before submitting.
VI ADMINISTRATIVE INFORMATION
1. AWARD NOTICES AND APPLICATION SUMMARY STATEMENTS
By the end of August 2013, the list of awardees will be posted at
http://www.whitehouse.gov/ondcp/Drug-Free-Communities-Support-Program. For all awardees,
a Notice of Award (NoA) will then be mailed from SAMHSA’s Division of Grants Management
to the individual listed as the Business Official on the Application for Federal Assistance. The
NoA is the sole obligating document that allows the grantee to receive federal funding for work
on the grant project.
By the end of October 2013, all applicants whose applications were sent to peer review will
receive a letter from SAMHSA through postal mail and sent to the individual listed as the
Business Official on the Application for Federal Assistance. This document contains the peer
review score and summarized comments. If an application is not funded, the applicant may re-
apply if there is another receipt date for the program.
2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS
If your application is funded, you must comply with all Terms and Conditions of the grant
award. The DFC Program standard terms and conditions are available on the DFC
website at http://www.whitehouse.gov/ondcp/Drug-Free-Communities-Support-Program.
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If your application is funded, you must also comply with the administrative requirements
outlined in 45 CFR Part 74 or 45 CFR Part 92, as appropriate. For more information, visit
SAMHSA’s website at http://www.samhsa.gov/grants/management.aspx.
If your application is funded, you will be held accountable for the information provided in
the application relating to performance targets. Government Project Officers will consider
the coalition’s progress in meeting goals and objectives, as well as challenges and
strategies for overcoming them, when making an annual recommendation to continue the
grant and the amount of any continuation award. Failure to meet stated goals and
objectives may result in suspension or termination of the grant award, or in reduction or
withholding of continuation awards. Complete details related to the DFC Appeals Process
are available at http://www.whitehouse.gov/ondcp/information-for-current-grantees.
Grant funds cannot be used to supplant current funding of existing activities. “Supplant”
is defined as replacing funding of a recipient’s existing program with funds from a federal
grant.
In an effort to improve access to funding opportunities for applicants, SAMHSA is
participating in the U.S. Department of Health and Human Services “Survey on Ensuring
Equal Opportunity for Applicants.” This survey is included in the application package for
SAMHSA grants and is posted on the SAMHSA website at
http://www.samhsa.gov/grants/downloads/SurveyEnsuringEqualOpp.pdf. You are
encouraged to complete the survey and return it, using the instructions provided on the
survey form.
3. REPORTING REQUIREMENTS
In addition to the data reporting requirements listed in Section I-4 you must comply with the
following reporting requirements:
Progress and Financial Reports
Each year, grantees are required to submit two program progress reports, an annual coalition
classification tool survey, and various financial reports. Full details regarding specific due dates
are available at http://www.whitehouse.gov/ondcp/information-for-current-grantees.
Publications
If you are funded under this grant program, you are required to notify the Government Project
Officer and SAMHSA’s Publications Clearance Officer (240-276-2130) of any materials based on
the SAMHSA-funded grant project that are accepted for publication. In addition, SAMHSA
requests that grantees:
Provide the Government Project Officer and SAMHSA Publications Clearance Officer
with advance copies of publications.
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Include acknowledgment of the ONDCP and SAMHSA grant program as the source of
funding for the project.
Include a disclaimer stating that the views and opinions contained in the publication do
not necessarily reflect those of SAMHSA, the U.S. Department of Health and Human
Services, or the Executive Office of the President, Office of National Drug Control Policy,
and should not be construed as such.
SAMHSA and ONDCP reserve the right to issue a press release about any publication deemed by
SAMHSA and ONDCP to contain information of program or policy significance to the substance
abuse prevention community.
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Appendix A: Sample Budget
(Includes Budget Terminology and Sample Budget Narrative)
Budget Preparation
The Budget Narrative is used to determine reasonableness and allowability of costs in a DFC
application. All of the proposed costs listed, whether supported by grant funds or match, must be
reasonable, necessary to accomplish project objectives, allowable in accordance with applicable
Federal Cost Principles, auditable, and incurred during the project period. All figures must be
rounded to the nearest dollar.
Before developing a budget, applicants should review SAMHSA’s guidelines available at
http://www.samhsa.gov/grants/management.aspx to determine cost sharing expectations and
restrictions on the types of costs that may appear in the budget.
Budget Terminology
Allowability of Cost: An allowable project cost is a cost that is:
1. Reasonable for the performance of the award.
2. Allocable.
3. In conformance with any limitations or exclusions set forth in the Federal Cost Principles
applicable to the organization incurring the cost.
4. Consistent with the recipient’s regulations, policies, and procedures which are applied
uniformly to both federally-supported and other activities of the organization.
5. Accorded consistent treatment as a direct or indirect cost.
6. Determined in accordance with generally accepted accounting principles.
7. Not included as a cost in any other federally-supported award.
Cost Principles: The cost principles address the following four tests in determining the
allowability of costs:
1. Reasonableness - (including necessity). A cost is reasonable if it does not exceed that
which would be incurred by a prudent person under the circumstances prevailing at the
time the decision was made to incur the cost.
2. Allocability - A cost is allocable to a specific grant, function, department, or other
component, known as a cost objective, if the goods or services involved are chargeable or
assignable to that cost objective in accordance with the relative benefits received or other
equitable relationship.
3. Consistency - Regulations regarding cost assignment must be consistent for all work of
the organization under similar circumstances, regardless of the source of funding, to avoid
duplicate charges.
4. Conformance - Conformance with limitations and exclusions contained in the terms and
conditions of award, including those in the cost principles, may vary by the type of
activity, the type of recipient, and other characteristics of individual awards.
38
These four tests apply regardless of whether the particular category of costs is one specified in the
cost principles or one governed by other terms and conditions of an award. These tests also apply
regardless of categorization as a direct cost or an indirect cost. The fact that a grant is awarded
does not indicate a determination of allowability of all proposed costs.
Key Personnel: Individuals who contribute to the project in a substantive, measurable way,
whether or not they receive salaries or other compensation under the grant (i.e., Program Director,
Project Coordinator). The Program Director and the Project Coordinator may be the same
person.
Program Director: An individual who provides daily oversight of the grant, including
fiscal and personnel management, community relations, implementation, and evaluation
(Person listed in Part C of the Checklist found in the Grant Application Package).
Project Coordinator: An individual who coordinates the work of the coalition and DFC
activities, including training, coalition communication, data collection, and information
dissemination. The Project Coordinator will be listed on the DFC website if a grant is
awarded.
Level of Effort: The direct time spent by an individual on DFC Program-related work. Across all
projects/grants/positions, the level of effort for an individual may not exceed 100 percent.
Direct Costs: Costs that can be identified specifically with a particular award, project, program,
service, or other organizational activity, or that can be directly assigned to an activity with a high
degree of accuracy. Normally, direct costs include, but are not limited to, salaries, travel,
equipment, and supplies directly benefiting the grant-supported project or program.
Indirect Costs (if applicable): Also known as “facilities and administrative costs,” indirect costs
are costs that cannot be specifically identified with a particular project, program, or activity, but
are necessary to the operation of the organization (i.e., overhead). Facilities operation and
maintenance costs, depreciation, and administrative expenses are examples of costs that are
usually treated as indirect costs. The organization must not include costs associated with its
indirect rate as direct costs. Indirect costs require a negotiated indirect cost rate agreement. If
indirect costs are claimed, an indirect cost rate agreement must be submitted with the application.
Research indirect cost rates are not allowable and will not be accepted. For more information
on the establishment of indirect cost rate agreements, contact the Division of Cost Allocation
(DCA). Regional contact information can be found at the following DCA website:
http://rates.psc.gov/fms/dca/orgmenu1.html.
Total Project Costs (Direct and Indirect): The total allowable costs charged to the award
during a budget period, whether paid by federal funds or contributed to meet the matching
requirement, and the value of any third-party in-kind contributions counted toward the recipient’s
matching requirement.
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Budget Expectations: If an applicant has sufficient match to allow a budget request of the full
$125,000, the applicant should round up the final budget figures to equal $125,000. Applicants
will not receive a higher score for requesting less than $125,000. Applicants are strongly
encouraged to apply for the full $125,000 for each of the four subsequent renewal years of
funding in their budget forecast even if they are not able to apply for full funding in Year One due
to insufficient match.
The amount requested in this original application for the four future years establishes the
maximum amount that an applicant can receive in future years if awarded the grant.
Grantees are required to submit an annual budget request each year. The annual amount
requested can be less than $125,000 due to challenges such as insufficient match, but can never be
greater than the amount indicated in this submission. Therefore, it is more advantageous to
request the full $125,000 for each out-year of funding. Avoid conflict of interest within proposed
contractual costs. See the definition of Conflict of Interest and examples below:
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.
Examples:
An officer or employee has an interest in a company selected for a
contract or consulting relationship, such as through their
ownership, the ownership by a family member or through financial
or other business ties (for example, sector members).
Nepotism - an employee is supervised by a family member under
the federally sponsored project.
An individual is contracted to be a grant writer and/or provide
input into the grant application. This individual is then written
into the grant application to be an evaluator, program director,
project coordinator, etc. for the applicant organization. This would
violate the federal competition rules because contractors involved
with the writing or preparation of the application cannot compete
for contracts under the grant.
Applicant, if awarded, will be required to alert to organizational
conflicts of interest as well as noncompetitive practices among
contractors that may restrict or eliminate competition.
NOTE: In the Budget Narrative, applicants must provide Table 20: Future Years Budget
Summary and Table 21: Calculation of Future Budget Period.
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SAMPLE BUDGET NARRATIVE
(FOR COMPLETING SF-424A: SECTION B FOR FIRST YEAR OF THE FUNDING
CYCLE)
Please use the format below for submitting a Budget Narrative. Applicants must provide clear
and specific breakout of cost for each cost category.
A. Personnel: An employee of the applying agency whose work is tied to the application.
Proposed salaries must be reasonable. Compensation paid for employees must be reasonable and
consistent with that paid for similar work within the applicant’s organization and similar positions
in the industry.
Table 5: Federal Request
Position Name Annual Salary/Rate Level of Effort Cost
Program Director John Doe $64,890 10% $6,489
Project Coordinator TBD $46,276 100% $46,276
TOTAL $52,765
NARRATIVE JUSTIFICATION: Enter a description of the personnel funds requested and how
their use will support the purpose and goals of this proposal. Describe the role, responsibilities,
and unique qualifications of each position.
Table 6: Non-Federal Match
Position Name Annual Salary/Rate Level of Effort Cost
Clerical Support Jane Doe $13.38/hr x 100 hr. 100 hrs/year $1,338
TOTAL $1,338
NARRATIVE JUSTIFICATION: Enter a description of the personnel matching funds provided
and how their use will support the purpose and goals of this proposal. Describe how the matching
funds will enhance the federal budget request.
SOURCE OF MATCH FUNDS: State source of match funds.
FEDERAL REQUEST (enter in Section B column 1 line 6a of form SF-424A): $52,765
NON-FEDERAL MATCH (enter in Section B column 2 line 6a of form SF-424A): $1,338
B. Fringe Benefits: Fringe benefits may include contributions for items such as social security,
employee insurance, and pension plans. Only those benefits not included in an organization's
indirect cost pool may be shown as direct costs. List all components of the fringe benefits rate.
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Table 7: Federal Request
Component Rate Wage Cost
FICA 7.65% $52,765 $4,037
Workers Compensation 2.5% $52,765 $1,319
Insurance 10.5% $52,765 $5,540
TOTAL $10,896
NARRATIVE JUSTIFICATION: Enter a description of the fringe matching funds provided
and how the rate was determined.
Table 8: Non-Federal Match
Component Rate Wage Cost
FICA 7.65% $1,338 $102
Workers Compensation 2.5% $1,338 $33
Insurance 10.5% $1,338 $140
TOTAL $275
NARRATIVE JUSTIFICATION: Enter a description of the fringe matching funds provided and
how the rate was determined.
SOURCE OF MATCH FUNDS: State source of match funds.
FEDERAL REQUEST (enter in Section B column 1 line 6b of form SF-424A): $10,896
NON-FEDERAL MATCH (enter in Section B column 2 line 6b of form SF-424A): $275
C. Travel: The lowest available commercial fares for coach or equivalent accommodations must
be used. NOTE: Grantees will be expected to follow federal travel policies found at
http://www.gsa.gov.
Table 9: Federal Request
Purpose of Travel Location Item Rate Cost
New Grantee Meeting Washington, DC Airfare $300/flight x 2
persons
$600
New Grantee Meeting Washington, DC Hotel $200/night x 2
persons x 4 nights
$1,600
42
Purpose of Travel Location Item Rate Cost
New Grantee Meeting Washington, DC Per Diem
(meals)
$64/day x 2 persons
x 4 days
$512
Coalition Academy
Week 1
Ft. Indiantown
Gap, PA
(tentative site)
Airfare $200/flight x 2
persons
$400
Coalition Academy
Week 1
Ft. Indiantown
Gap, PA
Car Rental $200/week,
unlimited miles
$200
Coalition Academy
Week 2
Ft. Indiantown
Gap, PA
(tentative site)
Airfare $200/flight x 2
persons
$400
Coalition Academy
Week 2
Ft. Indiantown
Gap, PA
Car Rental $200/week,
unlimited miles
$200
Coalition Academy
Week 3
Ft. Indiantown
Gap, PA
(tentative site)
Airfare $200/flight x 2
persons
$400
Coalition Academy
Week 3
Ft. Indiantown
Gap, PA
Car Rental $200/week,
unlimited miles
$200
Local travel County-wide Mileage 3,000 miles@
$0.50/mile
$1,500
TOTAL $6,012
NARRATIVE JUSTIFICATION: Explain the purpose for all travel (other than that required by
this application) and how costs were determined. The grant requires that two members attend the
New Grantee Meeting in Washington, DC. Attendance at the National Coalition Academy is
required of all Year One grantees. In addition to the required trainings, funds for local travel are
needed to attend local meetings, project activities, and training events. Local travel rate should be
based on agency’s personally owned vehicle (POV) reimbursement rate, which should correspond
with the GSA rate found at http://www.gsa.gov.
Table 10: Non-Federal Justification
Purpose of Travel Location Item Rate Cost
Regional Training
Conference
Chicago, IL Airfare $300/flight x 2 persons $600
Regional Training
Conference
Chicago, IL Hotel $155/night x 2 persons x 2
nights
$620
43
Purpose of Travel Location Item Rate Cost
Regional Training
Conference
Chicago, IL Per Diem
(meals)
$46/day x 2 persons x 2
days
$184
Local Travel Outreach
workshops
Mileage 304 miles x $0.50/mile $152
TOTAL $1,556
NARRATIVE JUSTIFICATION: Enter a description of the travel matching funds provided and
how their use will support the purpose and goals of this proposal. Describe how the matching
funds will enhance the Federal budget request. Local travel rate should be based on agency’s
POV reimbursement rate, which should correspond with the GSA rate found at
http://www.gsa.gov.
SOURCE OF MATCH FUNDS: State source of match funds.
FEDERAL REQUEST (enter in Section B column 1 line 6c of form SF-424A): $6,012
NON-FEDERAL MATCH (enter in Section B column 2 line 6c of form SF-424A): $1,556
D. Equipment: Permanent equipment may be charged to the project only if the applicant can
demonstrate that purchase will be less expensive than rental. Permanent equipment is defined as
nonexpendable personal property having a useful life of more than one year and an acquisition
cost of $5,000 or more. If the applying agency defines “equipment” at a lower rate, then follow
the applying agency’s policy.
Table 11: Federal Request
Item(s) Rate Cost
None $0 $0
TOTAL $0
NARRATIVE JUSTIFICATION: Enter a description of the equipment and how its purchase
will support the purpose and goals of this proposal.
Table 12: Non-Federal Match
Item(s) Rate Cost
None $0 $0
TOTAL $0
44
NARRATIVE JUSTIFICATION: Enter a description of the equipment match provided and
how its use will support the purpose and goals of this proposal. Describe how the matching funds
will enhance the federal budget request.
SOURCE OF MATCH FUNDS: State source of match funds.
FEDERAL REQUEST (enter in Section B column 1 line 6e of form SF-424A): $0
NON-FEDERAL MATCH (enter in Section B column 2 line 6e of form SF-424A): $0
E. Supplies: Materials costing less than $5,000 per unit and often having one-time use.
Table 13: Federal Request
Item(s) Rate Cost
General office supplies $50/mo. x 12 mo. $600
Postage $37/mo. x 8 mo. $296
Coalition promotional items 200 items @ $1.39 each $278
Laptop computer $600 $600
Printer $300 $300
Projector $700 $700
Copies 8000 copies x $0.10/copy $800
Laptop Computer update $100 $100
TOTAL $3,674
NARRATIVE JUSTIFICATION: Enter a description of the supplies requested and how their
purchase will support the purpose and goals of this proposal.
Table 14: Non-Federal Match
Item(s) Rate Cost
General Office Supplies $50/mo. X 12 mo. $600
Computer $500 $500
Postage $37/mo. x 4 mo. $148
Computer update (if needed) $100 $100
TOTAL $1,348
NARRATIVE JUSTIFICATION: Enter a description of the supplies match provided and how
their use will support the purpose and goals of this proposal. Describe how the matching funds
45
will enhance the federal budget request. Please note that items such as computers, desks, and
projection equipment may be counted as match only once throughout the life of the project.
SOURCE OF MATCH: State source of match funds.
FEDERAL REQUEST (enter in Section B column 1 line 6e of form SF-424A): $3,674
NON-FEDERAL MATCH (enter in Section B column 2 line 6e of form SF-424A): $1,348
F. Contract: A contractual arrangement cost to carry out a portion of the programmatic effort by
a third-party contractor or for the acquisition of goods or services under the grant. Such
arrangements may be in the form of consortium agreements or contracts. If there is more than one
contractor, each must be budgeted separately. A consultant is a non-employee retained to provide
advice and expertise in a specific program area for a fee. The Grantee must establish written
procurement policies and procedures that are consistently applied. All procurement transactions
are required to be conducted in a manner to provide to the maximum extent practical, open and
free competition. The Grantee will be required to be alert to organizational conflicts of interest as
well as noncompetitive practices among contractors that may restrict or eliminate competition or
otherwise restrain trade.
Table 15: Federal Request
Name Service or Products Cost
To be selected
Environmental Strategy Consultation
$150/day x 35 days = $5,250
Travel 380 miles @ $0.50/mile = $190
$5,440
To be selected
Board and Committee Leadership Consultation
$300/trainer x 2 trainers x 10 days = $6,000
$100/hour for individual TA x 15 hours = $1,500
$7,500
To be selected
Evaluation Contractor
$200/hour x 50 hours to include collection of core
measures, creation of evaluation report, coalition
evaluation support (e.g., member survey), and activity
evaluation support (e.g., pre/post survey development)
$10,000
To be selected
Substance Abuse Training for Coalition Members
Trainers: $300/day x 4 days = $1,200
Materials: approx. $5/person x 25 people = $125
Room Rental = $75
Travel for Trainers: Flight $300/person x 2 people = $600
Per Diem: $46/day x 4 days x 2 people = $368
$2,368
Local Police
Department
Alcohol Compliance Checks (6 hours each)Officer
Overtime: 6 officers @ $50/hour x 6 checks @ $300/check $1,800
46
Name Service or Products Cost
To be selected Responsible Server 3-Day Training
Trainer: $500/day $1,500
TOTAL $28,608
NARRATIVE JUSTIFICATION: Explain the need for each agreement and how it will support
the purpose and goals of this proposal.
Table 16: Non-Federal Match
Name Product or Service Cost
Coalition members Participation in coalition activities outlined in Action
Plan
18 members @ $17.50/hr. x 10 hr./mo. (average) x 12
mo.
$37,800
Local School District Student Assistance Program – CIA demonstrates
breakout of services
$15,400
Local Police Department Alcohol Compliance Checks (1 hour each)
Officer Overtime: 8 officers @ $50/hour x 6 checks
$2,400
Youth members Alcohol Compliance Checks
8 youth @ $50/youth x 6 checks = $2400
16 parent chaperones x 6 checks x $25/check = $2,400
$4,800
Media sponsorship Local cable station agrees to run coalition promotion
PSA an average of 5 times/week for 24 weeks
5 PSAs/week $50/PSA x 24 weeks
$6,000
Advertising Billboards @$600 x 12 = $7,200 $7,200
TOTAL $73,600
NARRATIVE JUSTIFICATION: Explain the need for each match contract agreement and
how it will support the purpose and goals of this proposal. Describe how the matching funds will
enhance the federal budget request.
SOURCE OF MATCH FUNDS: State source of match funds.
FEDERAL REQUEST (enter in Section B column 1 line 6f of form SF-424A): $28,608
NON-FEDERAL MATCH (enter in Section B column 2 line 6f of form SF-424A): $73,600
G. Construction: NOT ALLOWED - On the SF-424A, leave the following section blank:
Section B columns 1& 2 line 6g.
47
H. Other:
Expenses not covered in any of the previous budget categories. *If rent is requested (direct or
indirect), provide the name of the owner(s) of the space/facility. If anyone related to the project
owns the building which is less-than-arm’s length1 arrangement, provide cost of ownership/use
allowance calculations. Additionally, the lease is required and must be submitted for all projects
allocating rent costs.
Table 17: Federal Request
Item Rate Cost
Rent* $550/mo x 12 mo. $6,600
Telephone (land line) $100/mo. x 12 mo. $1,200
Student Surveys $1/survey x 4884 $4,884
Brochures $0.89/brochure x 1500 brochures $1,335
Meth literature for merchants Window Clings: 1,500 clings x $2 each = $3,000
Handouts: 3,000 copies x $0.50 each = $1,500
$4,500
TOTAL $18,519
NARRATIVE JUSTIFICATION: Explain the need for each item and how it will support the
purpose and goals of this proposal. Break down costs into cost/unit (e.g., cost/square foot).
Table 18: Non-Federal Match
Item Rate Cost
Space rental Varies between $75/event to over $300/event $8,300
Mentoring Program 12 mentors x 10 hrs./mo. x $17.50/hr. x 12 mo.
CIA demonstrates breakout of services
$25,200
Internet service $26/mo. x 12 mo. $312
Student surveys $1/survey x 1946 surveys $1,946
Printing $300/run x 6 runs $1,800
1 “less-than-arms-length” lease is one under which one party to the lease agreement is able to control or substantially
influence the actions of the other. Such leases include, but are not limited to those between a division of a non -profit
organization, non-profit organization and a director, trustee, officer, or key employee of the non -profit organization or
his immediate family, either directly or through corporations, trusts, or similar arrangements in which they hold a
controlling interest)
48
Item Rate Cost
Transition program for
youth & parents
1 person x $25/hr. x 3 hrs = $75
100 parent packets x $3.50/packet = 350
$425
Health Fair Coordination and administration
CIA demonstrates breakout of services
$1,500
Physician/Health Provider
diagnostic tools and training
Coordination and administration
CIA demonstrates breakout of services
$1,700
Drug-Free Workplace
Initiative
Coordination and administration
CIA demonstrates breakout of services
$3,000
Underage Drinking Initiative Coordination and administration
CIA demonstrates breakout of services
$2,700
TOTAL $46,883
NARRATIVE JUSTIFICATION: Explain the need for each match item and how it will
support the purpose and goals of this proposal. Break down costs into cost/unit (e.g., cost/square
foot) and explain the use of each item requested. Describe how the matching funds will enhance
the federal budget request.
SOURCE OF MATCH FUNDS: State source of match funds.
FEDERAL REQUEST (enter in Section B column 1 line 6h of form SF-424A): $18,519
NON-FEDERAL MATCH (enter in Section B column 2 line 6h of form SF-424A): $46,883
TOTAL DIRECT COSTS:
FEDERAL REQUEST (enter in Section B column 1 line 6i of form SF-424A): $120,474
NON-FEDERAL MATCH (enter in Section B column 2 line 6i of form SF-424A): $125,000
TOTAL INDIRECT COSTS2:
FEDERAL REQUEST (enter in Section B column 1 line 6j of form SF-424A): $4,526
2 Indirect costs can be claimed only if the applicant has a negotiated indirect cost rate agreement . It is applied
only to direct costs as allowed in the agreement. If claiming indirect costs, include a copy of the fully executed,
negotiated, indirect cost agreement. For information on applying for an indirect cost rate, see “Indirect Costs” under
Appendix A – Sample Budget.
49
NON-FEDERAL MATCH (enter in Section B column 2 line 6j of form SF-424A): $0
TOTAL PROJECT COSTS: Sum of Total Direct Costs and Indirect Costs
FEDERAL REQUEST (enter in Section B column 1 line 6k of form SF-424A):$125,000
NON-FEDERAL MATCH (enter in Section B column 2 line 6k of form SF-424A): $125,000
Table 19: Budget Summary
Category Federal
Request
Non-Federal
Match Total
Personnel $52,765 $1,338 $54,103
Fringe $10,896 $275 $11,171
Travel $6,012 $1,556 $7,568
Equipment $0 $0 $0
Supplies $3,674 $1,348 $5,022
Contractual $28,608 $73,600 $102,208
Other $18,519 $46,883 $65,402
Total Direct Costs $120,474 $125,000 $245,474
Indirect Costs $4,526 $0 $4,526
Total Project Costs $125,000 $125,000 $250,000
The federal dollars requested for all object class categories for the first 12-month period are
entered on Form 424A, Section B, Column 1, line 6a-6i.
Table 20: Future Years Budget Summary (Enter “Total Costs” calculations from Table 21.)
Projected Future Years Federal Request Non-Federal
Match
Year 2 or 7 (select one)
Year 3 or 8 (select one)
Year 4 or 9 (select one)
Year 5 or 10 (select one)
TOTAL (2-5 or 7-10)
50
CALCULATION OF FUTURE BUDGET PERIODS
BASED ON THE FIRST 12-MONTH BUDGET PERIOD
Table 21: Sample of Future Budget Periods
Category
2nd
Project
Year
Federal
2nd
Project
Year
Match
3rd
Project
Year
Federal
3rd
Project
Year
Match
4th
Project
Year
Federal
4th
Project
Year
Match
5th
Project
Year
Federal
5th
Project
Year
Match
Personnel
Program
Director
$6,489 $0 $6,489 $0 $6,489 $0 $6,489 $0
Project
Coordinator
$46,276 $0 $46,276 $0 $46,276 $0 $46,276 $0
Clerical Support $0 $1,338 $0 $1,338 $0 $1,338 $0 $1,338
Fringe Benefits $10,896 $275 $10,896 $275 $10,896 $275 $10,896 $275
Travel $5,000 $2,000 $5,000 $2,250 $4,000 $2,500 $4,000 $2,500
Equipment $0 $0 $0 $0 $0 $0 $0 $0
Supplies $4,500 $2,000 $4,500 $2,000 $4000 $2,000 $4,000 $2,000
Contract
Evaluation $4,500 $0 $4,500 $0 $4,500 $0 $4,500 $0
Targeted
Media
$15,000 $20,000 $15,000 $30,000 $15,000 $30,000 $10,000 $35,000
Campaigns
Training
$4,000 $0 $3,000 $0 $2,500 $0 $2,500 $0
Compliance
Checks
$1,000 $12,000 $1,500 $14,000 $1,500 $14,000 $1,500 $14,000
Coalition
Members
$0 $35,000 $0 $40,000 $0 $40,000 $0 $40,000
Other $24,497 $52,387 $24,997 $35,137 $26,997 $34,887 $31,997 $29,887
Total Direct
Costs
$122,158 $125,000 $122,158 $125,000 $122,158 $125,000 $122,158 $125,000
Total Indirect
Costs
$2,842 $0 $2,842 $0 $2,842 $0 $2,842 $0
Total Costs $125,000 $125,000 $125,000 $125,000 $125,000 $125,000 $125,000 $125,000
Provide reason(s) for anticipated changes from the first year budget.
51
NOTE: The total federal dollars (direct + indirect costs) requested for the second through the fifth
12-month budget periods are entered on SF-424A, Section E: Column (b) = Year 2; Column (c) =
Year 3; Column (d) = Year 4; Column (e) = Year 5. The amounts entered onto SF-424A, Section
E of the SF-424A is used to determine the maximum federal funds a grantee may request in each
of the project years. Failure to complete this chart will mean that a funded application
cannot receive funding in the remaining years of the 5-year funding cycle.
If a coalition is applying for a second 5-year funding cycle, see Table 2 of this RFA for a
breakdown of the required matching funds for each year.
52
Appendix B: Formatting Requirements for
SAMHSA Grant Applications
While SAMHSA requires electronic submission for grant applications, a waiver has been granted
to allow paper submissions for the DFC Program for the FY 2013 application process. If
submitting a paper application, applicants must follow SAMHSA’s Formatting Requirements as
outlined below.
Regardless of the method of application submission (paper or electronic), registration in the
System for Award Management (SAM) is mandatory for any applicant for the DFC Program.
Failure to register with SAM will lead to an application being deemed ineligible and will not
proceed to peer review. It takes up to 72 hours for a SAM registration to be processed. Do not
wait until the day the application is being submitted to register for SAM, as there will not be
enough time for the registration to process and your application will not make the deadline.
SAMHSA’s goal is to review all applications submitted for grant funding. However, this goal
must be balanced against SAMHSA’s obligation to ensure equitable treatment of applications.
For this reason, SAMHSA has established certain formatting requirements for its applications. If
you do not adhere to these requirements, your application will be screened out and will not
be considered for funding.
Use the Application Package: Application for Federal Assistance SF-424, Budget
Information Form SF-424A (Non-Construction Programs), Checklist, Disclosure of
Lobbying Activities, if applicable and the Project/Performance Site Location(s) form.
You must be registered in the System Award Management (SAM) prior to submitting your
application. The DUNS number used on your application must be registered and active in
SAM prior to submitting your application. If the SAM is not active prior to submission,
the application will be screened out and will not be reviewed.
Applications must be received by the application due date and time, as detailed in
on the cover page of this RFA.
Information provided must be sufficient for review.
Text must be legible. Pages must be typed in black ink, single-spaced, using a font of
Times New Roman 12, with all margins (left, right, top, bottom) at least one inch each.
For applications submitted via hard copy, tables may be included using a font of Times
New Roman 10 and may have a landscape orientation, if desired. For Project Narratives
submitted electronically, see separate requirements in Appendix C of this RFA.
The 30-page limit for the Project Narrative cannot be exceeded.
Paper must be white paper and 8.5 inches by 11.0 inches in size.
53
To facilitate review of your application, follow these additional guidelines. Failure to adhere to
the following guidelines will not, in itself, result in your application being screened out and
returned without review. However, the information provided in your application must be
sufficient for review. Following these guidelines will help ensure your application is complete,
and will help reviewers to consider your application.
The required application components should be submitted in the order described in
Section III-2 of this RFA.
Pages should be typed single-spaced in black ink with one column per page. Pages should
not have printing on both sides.
Pages should be numbered consecutively from beginning to end, starting with the Table of
Contents as page 1, so that information can be located easily during review of the
application (hand write page numbers if necessary). The four pages of SF-424 and the
two pages of the SF-424A placed before the Table of Contents are not to be numbered.
Attachments should be labeled and separated from the Project Narrative and Budget
Narrative, and the pages should be numbered to continue the sequence. Hand numbering
of pages is allowed.
If you are submitting a paper application, send the original application and two copies to
the mailing address provided in Section III-3 of this RFA. Please do not use staples, paper
clips, or fasteners. Nothing should be stapled, folded, or pasted. Do not use heavy or
lightweight paper or any material that cannot be copied using automatic copying
machines. Inserting a piece of colored paper between the original each of the two copies
of the application is recommended. Odd-sized and oversized attachments such as posters
will not be copied or sent to reviewers. Do not include brochures, PowerPoints, training
handouts, videotapes, audiotapes, CD-ROMs, or DVDs.
54
Appendix C: Guidance for Electronic Submission of Applications
While SAMHSA requires electronic submission for grant applications, a waiver has been granted
to allow paper submissions for the DFC Program for the FY 2013 application process. If
submitting a paper application, applicants must follow SAMHSA’s Formatting Requirements as
outlined in Appendix B of this RFA. If submitting electronically, you must use the instructions
provided below. Regardless of the method of application submission (paper or electronic)
registration in the System for Award Management (SAM) is mandatory for any applicant for
the DFC Program. Failure to register with SAM will lead to an application being deemed
ineligible and will not proceed to peer review.
If you are choosing to submit your DFC application using electronic submission, please do so
well in advance of the deadline. Applicants are strongly encouraged to submit their applications
to Grants.gov early enough to resolve any unanticipated difficulties prior to the deadline. If your
application is not successfully validated by Grants.gov it will not be forwarded to SAMHSA as
the receiving institution.
If this is the first time you have submitted an application through Grants.gov, you must complete
three separate registration processes before you can submit your application. Allow at least
two weeks (10 business days) for these registration processes, prior to submitting your
application. The processes are:
1. DUNS Number registration:
The DUNS number you use on your application must be registered and active in the SAM.
2. System for Award Management (SAM) registration:
The System for Award Management (SAM) is a federal government owned and operated
free website that replaces capabilities of the former Central Contractor Registry (CCR)
system, as well as EPLS. Future phases of SAM will add the capabilities of other systems
used in federal awards processes.
SAM information must be updated at least every 12 months to remain active (for both
grantees and sub-recipients). Once you update your record in SAM, it will take 48 to 72
hours to complete the validation processes. Grants.gov will reject electronic submissions
from applicants with expired registrations. To create a user account, Register/Update
entity and/or Search Records from CCR, go to https://www.sam.gov.
You will find a Quick Start Guide for Entities Interested in Being Eligible for Grants
through SAM at
https://www.sam.gov/sam/transcript/Quick_Guide_for_Grants_Registrations.pdf.
3. Grants.gov Registration (get username and password):
55
Be sure the person submitting your application is properly registered with Grants.gov as the
Authorized Organization Representative (AOR) for the specific DUNS number cited on the
SF-424 (face page). See the Organization Registration User Guide for details at the
following Grants.gov link: http:/www.grants.gov/applicants/get_registered.jsp.
You can find additional information on the registration process at
http://www.grants.gov/assets/organizationregcheck_092112.pdf. The Organization Registration
Checklist available at this site provides registration guidance for a company, institution, state,
local or tribal government, or other type of organization submitting for the first time through
Grants.gov.
To submit your application electronically, you may search http://www.Grants.gov for the
downloadable application package by the funding announcement number (called the opportunity
number) or by the Catalogue of Federal Domestic Assistance (CFDA) number. You can find the
funding announcement number and CFDA number on the cover page of this funding
announcement. You must follow the instructions in the User Guide available at the
http://www.Grants.gov apply site, on the Help page.
In addition to the User Guide, you may wish to use the following sources for technical (IT) help:
By e-mail: support@Grants.gov
By phone: 1-800-518-4726 (1-800-518-GRANTS). The Grants.gov Contact Center is
available 24 hours a day, 7 days a week, excluding federal holidays.
Please also allow sufficient time for entering your application into Grants.gov. When you submit
your application you will receive a notice that your application is being processed and you will
receive two emails from Grants.gov within the next 24-48 hours. One will confirm receipt of the
application in Grants.gov and the other will indicate that the application was either successfully
validated by the system (with a tracking number) or rejected due to errors. If you do not receive
a receipt confirmation and a validation confirmation or a rejection e-mail within 48 hours,
you must contact Grants.gov directly. Please note that it is incumbent on the applicant to
monitor their application to ensure that it is successfully received and validated by Grants.gov.
It is strongly recommended that you prepare your Project Narrative and other attached
documents in Adobe PDF format. If you do not have access to Adobe software, you may
submit in Microsoft Office 2007 products (e.g., Microsoft Word 2007, Microsoft Excel 2007,
etc.). Directions for creating PDF files can be found on the Grants.gov website. Use of file
formats other than Adobe PDF or Microsoft Office 2007 may result in your file being unreadable
by our staff.
The Abstract, Table of Contents, Project Narrative, Supporting Documentation, Budget
Justification, and Attachments must be combined into 4 separate files in the electronic
submission. If the number of files exceeds 4, only the four files will be downloaded and
considered in the peer review of applications.
56
Formatting requirements for SAMHSA e-Grant application files are as follows:
Project Narrative File (PNF): The PNF consists of the Abstract, Table of Contents, and
Project Narrative (Section A)
Budget Narrative File (BNF): The BNF consists of only the budget justification
narrative.
Other Attachment File 1: The first Other Attachment file will consist of the Attachments
1-9.
Other Attachment File 2: The second Other Attachment file will consist of the
Attachments 10-17.
If you have documentation that does not pertain to any of the 4 listed attachment files, include
that documentation in Other Attachment File 2.
New for FY 2013
Applicants are now limited to using the following characters in all attachment file names:
Valid file names may include only the following characters:
A-Z, a-z, 0-9, underscore ( _ ), hyphen (-), space, period.
If your application uses any other characters when naming your attachment files, your
application will be rejected by Grants.gov.
Scanned images must be scanned at 150-200 dpi/ppi resolution and saved as a jpeg or pdf file.
Using a higher resolution setting or different file type could result in rejection of your
application.
It is strongly recommended that you prepare your Project Narrative and other attached
documents using Microsoft Office 2007 products (e.g., Microsoft Word 2007, Microsoft
Excel 2007, etc.). If you do not have access to Microsoft Office 2007 products, you may submit
PDF files. Directions for creating PDF files can be found on the Grants.gov website. Use of file
formats other than Microsoft Office 2007 or PDF may result in your file being unreadable by our
staff.
The DFC Program requires a large number of attachments in order to be accepted. This
part of the electronic submission can be challenging. Keep the Project Narrative as a separate
document. Consolidate all other materials in your application to ensure the fewest possible
number of attachments. Be sure to label each file according to its contents, e.g., “Attachments 1-
9”, “Attachments 10-17.” Failure to properly upload all required documents for the DFC
application will cause the application to be deemed ineligible and it will be screened out.
With the exception of the standard forms in the application package, all pages in your application
should be numbered consecutively. Documents containing scanned images must also contain
page numbers to continue the sequence.
57
If an applicant chooses to use Grants.gov, a paper back up copy will not be accepted as the
official submission and no part of the paper application can supplement what is submitted
through Grants.gov.
58
Appendix D: Coalition Roles and Relationship to Sector Members
As Attachment 1, the coalition must include a completed Sector Member Table (Table 23). The
DFC Program uses two pieces of evidence to prove the 12 sectors: (1) Sector Member Table and
(2) Coalition Involvement Agreements (CIA).
Tips for Completing the Sector Member Table:
1. Remove all italicized instructions in the template.
2. Sector Member Name: Choose sector member that best fits each sector. Do not provide more
than one name per sector. Paid staff nor the person signing the CIA can be sector members.
3. Organization Name and Role: Identify organization member represents and position held in
the organization (e.g., Youth sector: Johnson High School, student body president). Provide
sufficient information that indicates an individual’s fit within a sector. For example, for
“State, Local or Tribal Government Agency with Expertise in the Field of Substance Abuse,”
it may not be clear by listing the name of the organization that it fits this sector. State type of
funding the organization receives that makes it fit this sector.
4. Specific Contribution to Coalition: Provide tasks sector member performs for coalition.
5. Page Number for Matching CIA: Give page number for first page of the matching CIA.
6. An individual must not represent more than one of the 12 sectors.
7. For the youth sector, list the member’s age.
8. If someone other than the individual listed in the “Member Name” column signs the CIA, the
person listed in the “Member Name” column must be identified in the CIA as the sector
representative. For example, if the Chief of Police signs the CIA instead of an officer who is
listed in the Sector Member Table as the sector representative, he/she must identify by name
the sector representative listed.
Table 22: Sector Descriptions
Sector Sector Description
Youth A person 18 or younger (must identify age)
Parent Someone who has a child/grandchild/foster child
Business Owner/Manager of business; business-related organization
Media Outlet where community gets information
School Person able to influence school policy/procedure
Youth-Serving Organization Provide services to youth
Law Enforcement Sworn law enforcement officer
Religious/Fraternal Organization Leader of faith-based organization
Civic/Volunteer Group Member of organization that provides civic or volunteer
activities to community (not a coalition volunteer)
Healthcare Professional Any physical/mental/behavioral healthcare professional
State, Local or Tribal
Governmental Agency with
Expertise in the Field of
Substance Abuse
Employee of a government funded agency with a focus on
substance abuse
Other Organization Involved in
Reducing Substance Abuse
Any community organization that addresses substance abuse
59
Table 23: Sector Member Table
Sector
Member
Name
(first and last
name)
Organization
Name and Role
(name of
organization and
role)
Specific
Contribution
to Coalition
(tasks
performed as
part of
coalition)
Page Number for
Matching CIA
(provide page
number only)
Youth (an individual
18 or younger,
provide age)
Parent
Business
Media
School
Youth-Serving
Organization
Law Enforcement
Religious or Fraternal
Organization
Civic or Volunteer
Group
Healthcare
Professional
State, Local, or
Tribal Governmental
Agency with
Expertise in the Field
of Substance Abuse
Other Organization
Involved in Reducing
Substance Abuse
60
Appendix E: Coalition Involvement Agreements
As Attachment 2, applicants must include one Coalition Involvement Agreement (CIA) for each
sector member identified in Attachment 1. The following page provides a sample CIA.
Applicants can tailor the agreement as needed, but must include table below (Table 24) at the
top of each CIA.
Tips for Coalition Involvement Agreements:
1. Insert Table 24 at the top of each CIA. Remove the italicized language and enter the
correct information.
2. There must be one CIA for each sector member listed in the Sector Member Table
(Attachment 1). The “Member Name” must match. Do not provide more than 12 CIAs.
3. CIAs must not be more than 12 months old at the time the application is submitted.
4. CIAs must be hand signed and dated. Do not used typed/electronic signatures.
5. CIAs must have two signatures: one for the sector member and one for the individual
representing the coalition.
6. This document is not considered legally binding by the Government or the DFC Program,
but instead allows an applicant to indicate compliance with the required 12 sectors. By
signing a CIA, an individual is affirming that he/she represents a specific sector within
the coalition.
7. The CIA on the following page is a template and can be tailored by the coalition, but
must meet all of the above requirements.
8. Paid staff (current or proposed), nor the person signing the CIA on behalf of the coalition
can serve as sector members.
Table 24: CIA Information Table
Sector Member Name Organization Name
Insert name of one of the 12
sectors.
Insert Individual’s Name listed on the
Sector Member Table, Attachment 1)
Insert Organization
Name
61
Sample Coalition Involvement Agreement (CIA)
Sector Member Name Organization Name
Insert name of one of the 12
sectors.
Insert Individual’s Name listed on the
Sector Member Table, Attachment 1
Insert Organization
Name
This agreement between [Coalition Name] and the [Sector] Representative, [Sector
Representative’s Name] shall be from [Start Date] until terminated by a mutual accord. This
agreement will be reevaluated on a yearly basis.
[Coalition Name] will be held responsible to:
1. Create and follow by-laws and policies.
2. Formulate coalition goals and objectives.
3. Oversee operations of activities, programs, and paid staff.
4. Continue to increase new membership of the coalition.
5. Create and follow a strategic Action Plan.
6. Create a credible and relevant sustainability plan which includes volunteer membership and
resources, both financial and material.
7. Respects the rights of [Coalition Name] members to hold their own opinions and beliefs.
The [Sector] Representative, [Sector Representative’s Name], will be held responsible to:
1. Be a community leader amongst the represented sector.
2. Ensure clear communication between the sector represented and the coalition.
3. Act as a positive role model for youth, families, and peers.
4. Support the coalition’s mission.
5. Attend coalition meetings which are held on a [Frequency] basis.
6. Participate in at least one subcommittee.
7. Attend coalition sponsored trainings, town hall meetings, and community events.
8. Contribute to the strategic planning process.
9. Participate in sustaining the coalition’s capacity, involvement, and energy.
10. Participate in the DFC Workstation, a communication vehicle used by the DFC federal
partners to provide timely information to coalitions.
11. Prevent youth substance use through environmental strategies.
12. Provides the following services to be used as match, if applicable:
_______________________________ ___________________________
Coalition Representative’s Name Sector Representative’s Name
________________________________ ____________________________
Coalition Representative’s Signature Sector Representative’s Signature
_________________________ __/__/__ _____________________ __/__/__
Title Date Title Date
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Appendix F: Assurance of Legal Eligibility
As Attachment 5, attach either Appendix F or G. Use Appendix F, if the coalition is applying
for this grant on its own behalf. Use Appendix G, if the coalition is partnering with an outside
agency as its grantee/legal applicant.
A coalition applying on its own behalf must answer the following questions and sign below.
1. Is the coalition serving as its own legal grantee?
Yes [ ] No [ ]
2. Is the coalition’s name listed in Item #8 on the SF-424 (face page) of this application?
Yes [ ] No [ ]
If the answer to any of these questions is “no”, then the coalition must enter into a relationship
with an entity eligible to receive federal funds and submit a Memorandum of Understanding
(see Appendix G) and include as Attachment 5.
If the answer to all of these questions is “yes”, the applicant coalition must sign and date the
Statement of Legal Eligibility below and include as Attachment 5.
Statement of Legal Eligibility
I, [Coalition Representative] hereby certify that [Coalition Name] is legally eligible to receive
federal funding.
______________________________
Coalition Representative’s Name
__________________________________
Coalition Representative’s Signature
___________________________ __/__/__
Title Date
63
Appendix G: Grantee/Legal Applicant Roles and Relationship with Coalition
As Attachment 5, attach either Appendix F or G. Use Appendix F, if the coalition is applying
for this grant on its own behalf. Use Appendix G, if the coalition is partnering with an outside
agency as its grantee/legal applicant. The signatures on the MOU must include that of the
grantee/legal applicant and the coalition. The date must not be older than 12 months at the time
of application. A sample MOU is on the following page. Below are considerations when
developing a relationship with an outside partnering agency serving as the grantee/legal applicant
on behalf of a community coalition:
1. Through the Drug-Free Communities Act of 1997, it is the intent of Congress to fund the
work of community coalitions addressing youth substance use. Furthermore, DFC
funds are not meant to substantially supplement the budget of a partnering agency. While
it is allowable for a reasonable amount of funds to be retained by the partnering agency for
administration of the DFC grant, DFC funds are intended to support the work of a
community-based coalition.
2. It is the intent of the DFC Program that a coalition’s volunteer leadership has a
management role in all financial decisions related to a DFC grant applied for on their
behalf by a partnering organization.
3. Arrangements for grantee services should be treated as a business transaction. It is
suggested that the grantee and coalition seek guidance from an attorney and/or accountant
when entering into such an agreement. Both the grantee and coalition should be fully
aware of and understand the commitment placed on the grantee through provision of this
service.
Accounting Requirements
Another consideration for the coalition applying for this grant is the administration of accounts
receivable and payable. In accordance with OMB Circular A-110, a federal grant recipient must
be capable of accounting for the expenditure of federal funds. Upon award of grant funds, the
grantee is subject to a Financial Capability Review. The review typically includes an
examination of financial statements, including those contained in reports issued to stockholders,
lending institutions, and SEC filings; cash flow forecasts; loan agreements and evidence showing
compliance with these agreements; aging of accounts receivable and payable; and financial
history of the grantee and affiliated concerns. Details discussed in this circular should be
reviewed by the grantee/legal applicant.
For further assistance on understanding issues regarding the grantee role, responsibilities, or
expectations, contact SAMHSA’s Division of Grants Management at 240-276-1422.
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Sample MOU between Coalition and Grantee/Legal Applicant
This agreement between [Grantee/Legal Applicant] and [Coalition] shall be from [Date] until
terminated by mutual agreement:
RESPONSIBILITIES OF THE COALITION:
a. Set policy for and oversee its own programs including goals and objectives in alignment with
the DFC Program’s Terms and Conditions.
b. Select and direct staff and volunteers, set goals and objectives for contract employees, and
negotiate and approve contracts.
c. Create, approve, and follow its budget in compliance with DFC requirements.
d. Provide copies of all required documentation to the grantee/legal applicant as requested.
e. Reimburse grantee/legal applicant for any indirect or direct expenses incurred by the
coalition with prior approval of the grantee/legal applicant.
f. Be solely responsible for liabilities arising out of its program and its interaction with program
participants.
RESPONSIBILITIES OF THE GRANTEE/LEGAL APPLICANT:
a. Provide the coalition staff with office space.
b. Compile financial reports on a mutually agreed upon schedule and provide to coalition.
c. Provide accounting services to prepare and distribute payroll, pay invoices, prepare and
submit the appropriate forms for employment, wages and payroll taxes on behalf of the
coalition.
d. Negotiate and/or bid and approve contracts.
e. Maintain all records pertaining to costs and expenses to reflect costs of labor, materials,
equipment, supplies, services, and other costs and expenses when reimbursement is claimed
or payment is made.
f. Obtain Workman's Compensation Insurance and liability coverage for the coalition’s
employees.
[Grantee/Legal Applicant] and [Coalition] mutually agree to abide by all applicable federal and
state anti-discrimination statutes, regulations, policies, and procedures. This agreement shall be
subject to all applicable provisions of state and federal law and regulations related to the delivery
and funding of social service.
________________________________ ___________________________
Coalition Representative’s Name Grantee Representative’s Name
________________________________ ____________________________
Coalition Representative’s Signature Grantee Representative’s Signature
________________________ __/__/__ ____________________ __/__/__
Title Date Title Date
65
Appendix H: Assurance of One DFC Grant at a Time
As Attachment 7, the grantee/legal applicant should read the statement below and sign and date
this document to assure that it will not hold more than one DFC grant during the FY 2013-2017
funding cycles. NOTE: DFC Mentoring and STOP ACT grants are in a separate category and
do not apply to this assurance.
Applicant Assurance of One DFC at a Time
I attest that the [Grantee/Legal Applicant] will be in receipt of only one DFC grant during FY
2013 through FY 2017.
____________________________
Authorized Official’s Name for the Grantee/Legal Applicant (print)
____________________________
Authorized Official’s Signature for the Grantee/Legal Applicant
____________________________
Title
____________________________
Organization/Agency
____________________________
Date
66
Appendix I: Assurance of 10-Year Funding Limit
As Attachment 8, the grantee/legal applicant should read the statement below and sign and date
this document to assure that the applicant coalition has not already had 10 years of DFC funding.
Under the DFC Act, coalitions may not receive more than 10 years of DFC funding. This policy
does not apply to agencies serving as grantees/legal applicants on behalf of DFC-funded
coalitions. This policy does not apply to DFC Mentoring funds . Specific restrictions on DFC
coalitions and grantee/legal applicants are outlined below.
Agencies serving as Grantee/Legal Applicant on behalf of a coalition:
1. An organization serving as the grantee/legal applicant on behalf of a coalition may not receive
DFC funds on behalf of the same coalition for more than 10 years.
Example: Grantee/Legal Applicant X has received DFC funds on behalf of Coalition Y for 10
years. Grantee/Legal Applicant X may no longer receive funds on behalf of Coalition Y.
Additionally, Coalition Y must not apply for DFC funds (directly or through a different
grantee agency) in the future.
2. An organization serving as grantee/legal applicant on behalf of a coalition that has already
received 10 years of DFC funding may apply for DFC funds on behalf of a new “unique and
distinct” coalition.
Example: Grantee/Legal Applicant X has received DFC funds on behalf of Coalition Y for 10
years. Coalition Z is a new coalition and wants Grantee/Legal Applicant X to apply for DFC
funds on its behalf. This is allowable.
3. An organization serving as grantee/legal applicant on behalf of a coalition may receive DFC
funds on behalf of any coalition that has not received a full 10 years of funding.
Example: Coalition Y previously received four years of DFC funding using Grantee/Legal
Applicant X. Coalition Y can ask Grantee/Legal Applicant A to apply for its remaining years
of DFC funding (up to 6 years).
Coalitions:
1. A coalition that is its own grantee/legal applicant may receive up to 10 years of DFC funding.
Under all situations, a coalition may not receive more than10 years of DFC funding.
2. A coalition that has received 10 years of DFC funding through an outside agency serving as
grantee/legal applicant may not receive DFC funding through a different grantee/legal
applicant.
3. A coalition that has received DFC funding through a series of grantees/legal applicants is not
eligible to receive more than 10 years of DFC funding.
Example: Coalition X received DFC funding through Grantee Y for six years, and Grantee Z
for four years, Coalition X is no longer eligible to receive any DFC funds.
4. A coalition that proposes to serve a community (or any part of a community) that has already
been served for 10 years by another DFC-funded coalition must demonstrate to the
satisfaction of the DFC grant review officials and the final determination of the DFC
Administrator that it is “unique and distinct” from the coalition that previously served the
same community.
67
I attest that [Coalition Name] is in compliance with the 10-Year Funding Limit Policy. I also
attest that the information provided on this form is true and correct. Providing false or
misleading information is unlawful and subject to criminal penalties, 18 USC1001.
_________________________ ___________________________
Authorized Official Name of Authorized Official Name of
Grantee/Legal Applicant (Print) Applicant Coalition (Print)
_________________________ ___________________________
Authorized Official Signature of Authorized Official Signature of
Grantee/Legal Applicant Applicant Coalition
_________________________ ___________________________
Title Title
_________________________ ___________________________
Organization/Agency Organization/Agency
_________________________ ___________________________
Date Date
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Appendix J: Resumes and Job Descriptions
As Attachment 9, applicants must include a resume (no longer than two pages) and a position
description (no longer than one page) for the Program Director and Project Coordinator, and each
additional key paid or in-kind position. If a person has been selected but not yet hired, include a
letter of commitment from that individual along with a resume and position description. If no
individual has been identified for a position, a position description is still required, along with an
overview of the hiring plan.
Resumes
Existing curricula vitae of project staff members may be used if they are updated and contain all
items of information requested below. You may add any information items listed below to
complete existing documents. For development of new curricula vitae include items below in the
most suitable format:
1. Name of staff member
2. Educational background: school(s), location, dates attended, degrees earned (specify year),
major field of study
3. Professional experience
4. Honors received and dates
5. Recent relevant publications
6. Other sources of support [Other support is defined as all funds or resources, whether
federal, non-federal, or institutional, available to the Project Director/Program Director
(and other key personnel named in the application) in direct support of their activities
through grants, cooperative agreements, contracts, fellowships, gifts, prizes, and other
means.]
Job Description
1. Title of position
2. Description of duties and responsibilities
3. Qualifications for position
4. Supervisory relationships
5. Skills and knowledge required
6. Personal qualities
7. Amount of travel and any other special conditions or requirements
8. Salary range
9. Hours per day or week
69
Appendix K: General Applicant Information
As Attachment 10, complete this table (2 pages) with the requested information.
Table 25: General Applicant Information
Information Requested Response
1. Grantee/Legal Applicant Name (Item 8 on SF-424)
2. Applicant Coalition Name (Item 15 of SF-424; if same as Grant
Applicant Name, skip to question 3)
3. Coalition Contact Person & Phone Number & Email Address
*person charged with day-to-day operations of coalition
4. Coalition Mailing Address
5. Grantee/Legal Applicant Contact Person & Phone Number &
Email Address
*person at grantee/legal applicant organization charged with
oversight of grant
6. Grantee/Legal Applicant Mailing Address
7. List Federal Congressional Districts served by coalition. Go to
http://www.house.gov for more information. (Item 16 on SF-424)
8. Geographical boundaries served by the coalition (e.g., city,
county, streets, etc.)
9. List all zip codes served by the coalition. Go to
http://zip4.upsp.com/zip4/welcome.jsp.
10. Total population served by the coalition.
11. Total number of students in grades 6-12 in schools/districts served
by coalition.
12. Coalition must identify service area as “rural” or “urban” (see
Appendix Q). Applicants must choose one response. If rural,
provide county name coalition is serving.
13. Coalition must identify if the service area is “Economically
Disadvantaged” (see Appendix Q). Indicate yes or no.
14. Does the coalition serve a federally recognized tribal area?
Indicate yes or no.
70
Information Requested Response
15. Does the coalition have representation that includes at least one
representative of the Bureau of Indian Affairs, the Indian Health
Service, or a tribal government agency with expertise in the field
of substance abuse? Indicate yes or no.
16. Provide the contact information for the proposed evaluator for the
DFC grant (include name, phone number, and e-mail address).
17. Is the applicant a religious or faith-based organization? Indicate
yes or no.
18. Year the coalition was established.
19. Has the applicant coalition been mentored through DFC’s
Mentoring grant program? Indicate yes or no. Provide Mentoring
grant’s award number (SP-xxxxx).
20. Provide the date you registered the applicant in the System for
Award Management (SAM). *Failure to have an active
registration will make your application ineligible.
71
Appendix L: Intergovernmental Review (E.O. 12373) Requirements
This grant program is covered under Executive Order (EO) 12372, as implemented through
Department of Health and Human Services (HHS) 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. Certain jurisdictions have elected to participate in the EO
process and have established State Single Points of Contact (SPOCs). A current listing of
SPOCs is included in the application package and can be downloaded from the Office of
Management and Budget (OMB) website at http://www.whitehouse.gov/omb/grants_spoc.
Check the list to determine whether your state participates in this program. You do not need
to do this if you are an American Indian/Alaska Native Tribe or tribal organization.
If your state participates, contact your SPOC as early as possible to alert him/her to the
prospective application(s) and to receive any necessary instructions on the State’s review
process.
For proposed projects serving more than one state, you are advised to contact the SPOC of
each affiliated State.
The SPOC should send any state review process recommendations to the following address
within 60 days of the application deadline. For United States Postal Service: Diane Abate,
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.
ATTN: SPOC – Funding Announcement No. SP-13-002. Change the zip code to 20850 if
you are using another delivery service.
In addition, if you are a community-based, non-governmental service provider and you are not
transmitting your application through the state, you must submit a Public Health System Impact
Statement (PHSIS)3 to the head(s) of appropriate state and local health agencies in the area(s) to
be affected no later than the application deadline. The PHSIS is intended to keep state and local
health officials informed of proposed health services grant applications submitted by
community-based, non-governmental organizations within their jurisdictions. If you are a state,
local government, American Indian/Alaska Native Tribe, or tribal organization, you are not
subject to these requirements.
3 Approved by OMB under control no. 0920 -0428; Public reporting burden for the Public Health System
Reporting Requirement is estimated to average 10 minutes per response, including the time for copying the face
page of SF-424 and the abstract and preparing the letter for mailing. An agency may no t conduct or sponsor,
and a person is not required to respond to, a collection of information unless it displays a currently valid OMB
control number. The OMB control number for this project is 0920 -0428. Send comments regarding this burden
to CDC Clearance Officer, 1600 Clifton Road, MS D-24, Atlanta, GA 30333, ATTN: PRA (0920-0428).
72
The PHSIS consists of the following information:
a copy of the face page of the application (SF-424); and
a summary of the project, no longer than one page in length, that provides: 1) a
description of the population to be served; 2) a summary of the services to be provided;
and 3) a description of the coordination planned with appropriate state or local health
agencies.
For SAMHSA grants, the appropriate state agencies are the Single State Agencies (SSAs) for
substance abuse and mental health. A listing of the SSAs for substance abuse can be found on
SAMHSA’s website at http://www.samhsa.gov. A listing of the SSAs for mental health can be
found on SAMHSA’s website at http://www.samhsa.gov/grants/SSAdirectory-MH.pdf. If the
proposed project falls within the jurisdiction of more than one state, you should notify all
representative SSAs.
If applicable, you must include a copy of a letter transmitting the PHSIS to the SSA in
Attachment 13, “Letter to the SSA.” The letter must notify the state that, if it wishes to
comment on the proposal, its comments should be sent no later than 60 days after the application
deadline to the following address.
For United States Postal Service: Diane Abbate, 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. ATTN: SSA – Funding Announcement No. SP-13-002.
Change the zip code to 20850 if you are using another delivery service.
In addition:
Applicants may request that the SSA send them a copy of any state comments.
The applicant must notify the SSA within 30 days of receipt of an award.
73
Appendix M: Disclosure of All Prior DFC Funding
As Attachment 15, indicate the status of the grantee/legal applicant and/or coalition, complete
the table below, sign and date the form. Do not include information about STOP Act or DFC
Mentoring grants on this form.
Indicate the status of the Grantee/Legal Applicant and/or the applicant coalition for this
application:
[ ] Coalition has had no prior funding
[ ] Coalition formerly funded through DFC (not DFC Mentoring Program)
[ ] Grantee/Applicant has had no prior DFC funding
[ ] Grantee/Applicant formerly funded through DFC (not DFC Mentoring Program)
List all of the DFC funding received or expended by either the Grantee/Legal Applicant and/or
the coalition. For example, if the applicant previously received DFC funding as a member of a
coalition unrelated to the coalition currently applying for funding, that information must be
entered below. NOTE: Add as many rows as needed to include all required information for all
prior DFC funding associated with the Grantee / Legal Applicant and Applicant Coalition for this
application.
Table 26: Disclosure of All Prior DFC Funding
Fiscal Year
of Funding
DFC Award Number(s)
(for current and all
previous years)
Grantee/Legal
Applicant Name Coalition Name Names of Paid
Staff
By signing below, I attest that [Coalition name] is applying for Year [enter year number] of
DFC funding. I also attest that the information provided in the above chart is true and correct.
Providing false or misleading information is unlawful and subject to criminal penalties, 18
USC1001.
_________________________ ___________________________
Authorized Official for Authorized Official Name for
Grantee/Legal Applicant (Print) Applicant Coalition (Print)
_________________________ ___________________________
Authorized Official Signature for Authorized Official Signature for
Grantee/Legal Applicant Applicant Coalition
_________________________ ___________________________
Title Title
_________________________ ___________________________
Organization/Agency Organization/Agency
_________________________ ___________________________
Date Date
74
Appendix N: DFC National Cross-Site Evaluation Requirements
As Attachment 16, the applicant grantee/legal applicant and/or coalition must provide the
information in the table below.
The DFC Program collects four specific measures (core measures) to determine the effectiveness
of the DFC Program. The core measures are:
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 of the above core measures must be collected every two years, in three grades (6th-12) on
four substances (alcohol, tobacco, marijuana, and prescription drugs). Grantees are allowed to
collect other data as they see fit to meet their local and coalition evaluation needs.
Provide the following information to indicate the applicant coalition’s ability to meet the DFC
National Cross-Site Evaluation requirements:
Table 27: DFC National Cross-Site Evaluation Requirements
Questions Answer
Name of the survey(s) used to collect data required
to obtain the core measures:
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
How often/when will the survey(s) be administered
and collected?
What, if any, supplemental survey(s) and/or data
will be used to meet the DFC National Cross-Site
Evaluation requirements?
When was the data collected used to answer
Question 5 of the Project Narrative?
75
Appendix O: Sample Congressional Notification
As Attachment 17, applicants must follow the exact format below and include the
completed Congressional Notification. The Project Description must not be more than 35
lines; therefore, the entire document must not exceed more than one page. This information will
be shared with members of Congress and the media, and may be posted to the DFC website, if
the application is funded.
Grant Award # SP0_____ (if applicable)
Coalition Name:
Coalition Contact Name:
Coalition Contact E-Mail:
Coalition Contact Phone:
If different, from above:
Grantee/Legal Applicant Name:
Grantee/Legal Applicant Contact:
Grantee/Legal Applicant E-Mail:
Grantee/Legal Applicant Contact Phone:
[Coalition Name]
[State]
Serving Congressional District(s) [__]
Project Description
The [Coalition Name] was awarded a FY 2013 Drug-Free Communities Support Program grant
in the amount of $ [fill in amount requested] by the White House Office of National Drug
Control Policy, in cooperation with the Substance Abuse and Mental Health Services
Administration. The Coalition serves [Community/Town], [State], a community of [total
population]. The goals of the coalition are to establish and strengthen community collaboration
in support of local efforts to prevent youth substance use. The coalition will achieve its goals by
implementing these strategies [provide a one-sentence description of each strategy that the
coalition will implement below]:
76
Appendix P: Pre-Submission Verification
Use the checklist below to ensure that the application meets all submission requirements. Please
place an “X” beside each item that has been completed. Include the completed verification
as the last page of the application. NOTE: This checklist is not the same as the required
Checklist found in the Grant Application Package. You must include both checklists.
Table 28: Pre-Submission Verification
Items to Complete “X” if
Completed
Did you complete and sign the Application for Federal Assistance (SF-424)?
Did you complete Sections B, C, and E of the Non-Construction Budget Worksheet
(SF-424A)?
Did you include a Table of Contents and numbered it page 1?
Did you include a Community Overview after the Table of Contents (page 2)?
Is your Project Narrative (scored section) no longer than 30 pages?
Does your Project Narrative address all 10 questions?
Did you include the Action Plan (question 7)?
Is a one-year Budget Narrative and future years funding table included?
Did you include a lease agreement and floor plan for proposed cost for Rent, if
applicable?
Did you include an Indirect Cost Rate Agreement for proposed indirect cost, if
applicable?
Did you demonstrate that your coalition will meet the matching fund requirements
(Budget Narrative, SF-424, and SF-424A)?
Did you meet all Statutory Eligibility Requirements (see Table 1 of this RFA)?
In Attachment 1, did you list all 12 community sectors (see Appendix D, Table 23)?
In Attachment 2, did you include one CIA from each person listed in the Sector
Member Table (see Appendix E; including Table 24 on each CIA)?
In Attachment 3, did you provide two sets of meeting minutes from the specified
timeframes?
In Attachment 4, did you include the coalition’s Mission Statement?
In Attachment 5, did you include an MOU between the coalition and the
grantee/legal entity or a statement that the coalition is legally eligible to receive a
grant (see Appendix F or G)?
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Items to Complete “X” if
Completed
In Attachment 6, if applicable, did you include Letter(s) of Mutual Cooperation, with
other coalition(s) that are serving a same zip code or partial zip code area as the
applicant coalition?
In Attachment 7, did you include the Assurance of One Grant at a Time (see
Appendix H)?
In Attachment 8, did you include Assurance of 10-Year Funding Limit (see Appendix
I)?
In Attachment 9, did you include the required resumes and job descriptions (see
Appendix J)?
In Attachment 10, did you include the completed General Applicant Information
Table (see Appendix K)?
In Attachment 11, did you include the coalition’s Organizational Chart?
In Attachment 12, did you include the coalition Logic Model?
In Attachment 13, did you include a copy of the letter to the SSA (see Appendix L)?
In Attachment 14, did you include all required forms, certifications, disclosures, and
assurances?
In Attachment 15, did you include the Disclosure of All Prior DFC Funding (see
Appendix M)?
In Attachment 16, did you include the DFC National Cross-site Evaluation
Requirements (see Appendix N)?
In Attachment 17, did you include the Congressional Notification (see Appendix O)?
Did you include the Checklist found in the Grant Application Package as the next-to-
last page of the application?
Is this completed Pre-Submission Verification the last page of the application (see
Appendix P)?
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Appendix Q: Glossary of Terms
Activities: Efforts conducted to achieve identified objectives. Example: Conduct three
responsible beverage server trainings with 15 businesses represented at each training.
Authorized Representative/Official: The person authorized to sign the grant application as the
official representative of the applicant organization who has the fiduciary authority to act on
behalf of the applicant and assume the obligations imposed by the federal laws, regulations,
requirements, and conditions that apply to grant applications or awards.
Business Official: The individual responsible for the financial aspects of the grant (i.e.
Authorized Representative/Official, Accountant, Bookkeeper).
Coalition Involvement Agreement (CIA): An agreement between the coalition and each of its
12 sector members that establishes the minimum acceptable contribution to be considered an
active coalition member. It is not considered a legally binding document for the purposes of this
RFA. It is only to allow a coalition to demonstrate compliance with the12 required sectors.
Community-Level Change: Change that occurs within the overall population of the
community.
Economically Disadvantaged Area: An area with 20 percent or more children living in
households below the poverty line as defined by the U.S. Census Bureau.
Grantee: The recipient of grant funds. For the purposes of this RFA, it is either a coalition that
is a legally eligible entity (to receive federal funds) or a partnering agency that has agreed to be
the legal applicant on behalf of a coalition and serve as the grantee if awarded.
Objectives: What is to be accomplished during a specific period of time to move toward
achievement of a goal. Objectives should be expressed in specific, measurable terms. Example:
By 10/30/16, decrease the percentage of alcohol sales to minors by 10% as measured by the rate
of failed compliance checks (currently 25%).
Rural: According to the Drug-Free Communities Act of 1997, rural is defined as a county with
a population that does not exceed 30,000 individuals.
Strategy: The overarching approach of how the coalition will achieve intended results.
Example: Increase enforcement of laws prohibiting the sale of alcohol to minors through
compliance checks.
Urban: The Census Bureau classifies as "urban" all territory, population, and housing units
located within an urbanized area (UA) or urban cluster (UC). It delineates UA and UC
boundaries to encompass densely settled territory, which consists of: Core Census block groups
or blocks that have a population density of at least 1,000 people per square mile and surrounding
census blocks that have an overall density of at least 500 people per square mile.