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DRUG FREE COMMUNITIES SUPPORT PROGRAM FY2011 Grant Application Workshop. Executive Office of the President of the United States White House Office of National Drug Control Policy & Substance Abuse and Mental Health Services Administration. What We Hope You Learn.

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drug free communities support program fy2011 grant application workshop


Executive Office of the President of the United States

White House Office of National Drug Control Policy


Substance Abuse and Mental Health Services Administration

what we hope you learn
What We Hope You Learn
  • Requirements of the DFC Support Program
  • Responding to the FY11 Request for Applications
  • Application and Budget Requirements
dfc at a glance
DFC At a Glance
  • FY2011 Appropriation: *as of 01/2011 the FY2011 Federal Budget is still pending before Congress
  • 92% of every dollar appropriated to DFC has gone directly to local community coalitions
  • FY2010 cohort had 741 grants in 49 States and 4 U.S. Territories/Protectorates with more than 8,800 community volunteers
  • ONDCP manages DFC in partnership with the Substance Abuse and Mental Health Services Administration (SAMHSA)

($90M for FY08)





theory of the dfc program
Theory of the DFC Program
  • A small amount of Federal funding combined with a local match of resources and volunteer support can reduce youth drug use
  • By mobilizing community leaders to identify and respond to the drug problems unique to their community, DFC is designed to change the entire community environment
  • Focusing on environmental changeultimately contributes to reductions in substance use among youth, and over time, substance abuse among adults
dfc is community focused
DFC is Community Focused

DFC-funded coalitions:

  • develop and implement a plan that is community-focused; not focused only on individuals
  • focus on changing the entire community by identifying and implementing strategies that will affect community beliefs, attitudes, perceptions, and practices around drug issues

RFA pg. 6

dfc s definition of a coalition
DFC’s Definition of a Coalition

A formal arrangement for cooperation and collaboration between groups or sectors of a community, in which each group retains its identity, but all agree to work together toward a common goal of building a safe, healthy, and drug free community

  • DFC grants are intended to support community-based coalitions

RFA pg. 6

goals of the dfc program
Goals of the DFC Program
  • To establish and strengthencollaboration among communities, nonprofit agencies, and Federal, State, local and tribal governments to support the efforts of community coalitions to prevent and reduce substance use among youth
  • To reduce substance useamong youth and, over time, reduce substance abuse among adults by addressing the factors in a community that increase the risk of substance abuse and promoting the factors that minimize the risk of substance abuse

RFA pg. 5

fy2011 award information
FY2011 Award Information

As of the release of this RFA the FY2011 Federal Budget is still pending before Congress, therefore projections for available funding and for the number of potential awards are based on a $95M appropriation (the 2010 level for the program) and are subject change based on passage of the final FY2011 Federal Budget.

FY2011 Projections (based on $95M appropriation):

  • $9.35million is available for new DFC grants
  • Approximately 75new DFC grants will be awarded
  • Awards are for up to $125,000 per year for 5 years,known as a “funding cycle”

RFA pgs. 10-11

fy2011 award information1
FY2011 Award Information

To apply for a DFC grant, a coalition must fall into one of the following three categories:

  • Never received a DFC grant
  • Experienced a lapse in funding during a 5-year cycle
  • Completing Year 5 of the first DFC funding cycle in September, 2010

RFA pg. 10

the grant cycle
The Grant Cycle


HHS format/requirement screening


RFA public


Applications Due


Peer Review Process


Statutory Eligibility Screening

Eligible? Ineligible?


Rank Ordered


POs familiarizing new Grantees with DFC/NCA registration

Late August

Funding Decisions Announced


Mandatory New Grantee Training

who are peer reviewers
Who are Peer Reviewers?
  • Primarily DFC grantees in Years 1-4 or 6-10
  • Can be former DFC grantees
  • Trained by ONDCP and SAMHSA to review the requirements of the FY2011 RFA and the goals of the DFC program
  • Add a human element to the process
    • Do not make it hard for reviewers to find information
    • Lose the “fluff”
  • Want to read your “story”
    • Write application for one of your peers to read
eligibility requirements table 2 statutory eligibility requirements rfa pages 12 22

Table 2: Statutory Eligibility Requirements

RFA pages 12-22

proving the applicant eligible
Proving the Applicant Eligible
  • LABEL attachments so that eligibility screeners can easily find them
    • In order, as requested
    • Bold the title
    • Number the Attachments (e.g., Attachment 1)
  • NUMBER the Attachment pages
    • even if you have to hand write the numbers
    • Table 2 addresses Statutory Eligibility Requirements and you must include evidence in Attachments 1-8, 16
proving sector involvement
Proving Sector Involvement
  • RFA asks for 2 pieces of evidence related to sector involvement:
  • Sector Table
    • Use Table 22/Appendix D
    • Include as Attachment 1 in your application

2. Coalition Involvement Agreement (CIA)

    • Use sample CIA/Appendix E, pgs 66-67, Table 23 must be included
    • Include as Attachment 2in your application

RFA Pgs. 12-13

requirement 1 12 sectors
Requirement 1: 12 Sectors
  • Youth
    • a person 18 years of age or younger
  • Parent
    • Mother/father/guardian/grandparent
  • Business
    • An individual actively involved in and/or connected to the local business community; Chamber of Commerce/business owner
  • Media
    • A representative from a media outlet or other source where the community gets information
  • School
    • Principal/Superintendent/Board Member
  • Youth-Serving Organizations
    • Boys and Girls Club/4-H

RFA pg. 12

requirement 1 12 sectors1
Requirement 1: 12 Sectors
  • Law Enforcement
    • Chief of Police/Sheriff
  • Religious/Fraternal Organizations
    • Pastor/Rabbi/Imam/Interfaith Leader
  • Civic/Volunteer Groups
    • Sertoma Club/Kiwanis Club Officer
    • NOT a coalition volunteer, but someone representing a community-based civic/volunteer organization
  • Healthcare Professionals
    • Doctor/Nurse/Dentist/Health Professional
  • State/Local/Tribal Government
    • SSA/State Prevention or Treatment Director
  • Other Substance Abuse Organizations
    • Prevention/treatment provider/recovery organization

RFA pg. 12

sector table tips
Sector Table Tips
  • List one name per sector
    • Give the name of the individual that is most capable of leveraging resources of that sector
  • No single person can represent more than 1 sector
  • Use the “Specific Contribution to the Coalition” column to provide context as to how the individual serves the coalition/community
    • Be specific for each person and sector
  • Give the page number in the last column of the 1st page of the matching Coalition Involvement Agreement for that individual.
  • Sector member name must match the individual signing the CIA for that sector.

RFA pg. 64-65

coalition involvement agreement tips
Coalition Involvement Agreement Tips
  • Provide only the 12 that match the names in the Sector Table (Attachment 1)
  • Cannot be more than 12 months old at the time of application
  • CIA’s are NOT legally binding documents but are a way for applicants to document sector member commitment.
  • If someone other than the person listed as the Sector Member needs to sign the CIA, the person in the Sector Table MUST be named on the CIA
  • Must include Table 23 at the top of each CIA
  • List the 1st page number of each CIA in the last column on the Sector Table

RFA pgs. 66-67

requirement 2 six months existence
Requirement 2: Six Months Existence
  • Two sets of coalition minutes are required
    • betweenJANUARY 1 & SEPTEMBER 30, 2010
    • betweenOCTOBER 1, 2010 & MARCH 18, 2011
  • Must include a list of all attendees by sector
    • All sectors do NOT have to be present in each set of minutes
  • Include month,day, and year of the meeting
  • Must demonstrate a focus on youth substance use prevention
  • Must be the coalition’sminutes--not those of an outside agent applying on behalf of a coalition
  • Include as Attachment 3 in your application

RFA pgs 13-14

coalition minutes tips
Coalition Minutes Tips
  • Check the month, date & year to ensure compliance with the required timeframes
  • Define attendees by name, sector represented, agency/organization represented
  • If the minutes do not reflect the name of the applicant organization, explain any variance in coalition name
requirement 3 mission statement
Requirement 3: Mission Statement
  • Coalition must have as its principal mission the reduction of substance abuse, with a primary focus on reducing youth substance use
  • Must be the coalition’s mission--not that of an outside agent applying on behalf of the coalition
  • Include your mission statement as Attachment 4in your application

RFA pgs14-15

mission statement tips
Mission Statement Tips
  • Make it easy to locate within the application
    • Put on a sheet of paper by itself
    • Label it “Attachment 4: Coalition’s Mission Statement”
  • Check to ensure that it clearly indicates youth substance use prevention is the mission of the COALITION
requirement 4 multiple drugs
Requirement 4: Multiple Drugs
  • “…developed a strategic plan to reduce substance use among youth, which targets multiple drugs of abuse”
    • Multiple = more than 1
    • Name each drug specifically
    • Evidence:Discuss as answer in Narrative Questions 2 and 10

RFA pg. 15

multiple drugs tips
Multiple Drugs Tips
  • Clearly indicate the drugs the coalition will focus on in Question #2
  • Clearly indicate the drug being addressed within each specific objective/strategy/activity within the Action Plan in Question #10
requirement 5 national cross site evaluation reporting system
Requirement 5: National Cross-Site Evaluation/Reporting System
  • Coalitions must be able to measure & report outcomes in compliance with the National Cross-Site Evaluation of the DFC Program
    • Coalitions must collect the four core measures
      • Past 30-day use, Age of Onset, Perception of Risk/Harm and Perception of Parental Disapproval
    • On three substances
      • Alcohol, Tobacco and Marijuana
    • In at least three grades
      • 6th-12th
    • Every two years

RFA pgs. 16

requirement 5 national cross site evaluation reporting system1
Requirement 5: National Cross-Site Evaluation/Reporting System
  • Each applicant must provide:
    • Name of the survey instrument(s) used to collect four core measures
    • How often/when will the survey(s) be administered?
    • What, if any supplemental, survey(s) will be used
    • Evidence: Answers are provided as Attachment 16 (See Appendix J, RFA pg. 76)

RFA pgs. 16

requirement 6 legally eligible entity
Requirement 6: Legally Eligible Entity
  • Must be an entity legally eligible to receive Federal funding
  • Can be a coalition with 501(c)(3) status
  • Can be an outside agent acting on behalf of the coalition
  • Evidence: MOU or statement of legal eligibility
      • Include as Attachment 5 in your application
      • Use Sample MOU in Appendix F, RFA pgs. 68-67

RFA pg. 17

requirement 7 1 1 match
Requirement 7: 1:1 Match
  • Must show a dollar-for-dollar match from non-Federal sources equaling amount of request from the Federal Government
    • Cash (e.g., shared salary/benefit expenses for paid staff)
    • In-kind/donated (e.g., office/meeting space, paper, copying services)
    • Applicants serving Native American/American Indian communities with representation that includes at least one Native American member may include Bureau of Indian Affairs or Indian Health Service Federal funds as match
  • Do not overpromise match
    • Must account for every matched dollar to the Government
  • Evidence:424, 424A, Budget Narrative (see Appendix A, pgs. 45-59, Sample Budget)

RFA pg. 18-19

dfc match requirements
Funding Year & Match Requirement

Years 1-6 = 100%

Years 7-8 = 125%

Years 9-10 = 150%

DFC Match Requirements

RFA pg. 22-23

requirement 8 funding request limit
Requirement 8: Funding Request Limit
  • No more than $125,000/year
    • Make sure budget calculations are correct and do not exceed $125,000 for your Federal request
  • Evidence:424, 424A, and Budget Narrative

RFA pg. 20

requirement 9 community overlap
Requirement 9: Community Overlap

Two coalitions may not serve the same community unless both have clearly demonstrated a plan for collaboration

  • Go to http://www.ondcp.gov/dfc to see if there is a DFC-funded coalition near you and reach out to that coalition to check for overlap
  • Zip codes serve as the method for identifying potential overlaps
  • In your application, state which zip codes you propose to serve and indicate any overlaps you have identified
  • Include in your application a signed letter explaining the overlap of zip codes, and how the coalitions plan to collaborate

Evidence: Include Letter(s) of Mutual Cooperation as Attachment 6 and list zip codes served in Attachment 10 (Section E, pgs. 38-40: General Applicant Information chart)

RFA pgs. 20-21

community overlap tips
Community Overlap Tips
  • More than one coalition may serve an overlapping footprint provided they document mutual support.
  • Sector representatives may not represent more than one coalition at a time.
  • If two first-time applicants are applying for an overlapping grant, each must show support from the other.
requirement 10 one grant at a time
Requirement 10: One Grant at a Time

Grantee = Entity awarded a grant

  • No more than one “regular” DFC grant per grantee or coalition at one time
  • Evidence: Include as Attachment 7, the signed Applicant Assurance of One Grant at a Time (See Appendix G, RFA pg. 72)


with 501(c)(3) status

Outside Agent

RFA pg. 21

requirement 11 end of grant policy
Requirement 11: End of Grant Policy
  • No coalition can receive DFC funding for more than 10 years
  • Outside agents cannot seek funding for more than one coalition at a time or the same coalition for more than 10 years
  • Evidence: Include as Attachment 8, the signed End of Grant Policy/Congressional 10-Year Funding Limit Policy (See Appendix H, pg. 73-74)

RFA pg. 22

review and selection process
Review and Selection Process
  • Must receive application on time (March 18, 2011)
  • Screened for formatting, page limitsand related HHS requirements
  • Screened for Statutory Eligibility Requirements
  • If eligible, progresses to a Peer Review process (3 reviewers per application)
  • Rank ordered (average of the 3 scores)
  • Funding decisions announced (August 2011)
other helpful tips
Other Helpful Tips
  • Paper submissions ensure reviewers see your information in the same order and format in which you created it. Therefore, ONDCP recommends you TYPE IT, PRINT IT, BOX IT and SHIP IT in accordance with the guidelines for submission of paper applications within the RFA.
  • All applicants will be advised of receipt within 30 days.
  • If you used GRANTS.GOV to submit your grant, SAVE your confirmations & if you don’t get one, CALL THE HELP LINE IMMEDIATELY!
  • SAMHSA will not accept paper back-up copies if GRANTS.GOV is used.

RFA pgs. 23-27; 60-63

other helpful tips1
Other Helpful Tips
  • Get your DUNS number as soon as possible (RFA pg. 24)
  • Write your grant to read like a story of life in your community
  • Watch your page count - don’t waste space – number all of your pages (body and attachments)
  • If you start the Project Narrative on page 5 of your application and go to page 35, you have submitted 31 pages! The limit is 30!
other helpful tips2
Other Helpful Tips
  • Application must have a consistent focusfrom Question 1 through Question 13 and budget.
  • Applicant must focus on environmental strategies and population-level change (RFA pgs. 6-7)
  • Action Plan must have specific strategies/activities for specific drugs named and is not general or unrealistic (RFA pgs. 35-36)
why applicants f ail to get f unded
Why Applicants Fail to Get Funded?
  • Miss the application deadline (March 18, 2011)
  • Applicant does not properly demonstrate that they meet the Statutory Eligibility Requirements (pgs. 12-22)
  • Applicant fails to use data to describe the nature and extent of the problem in their community
  • Applicant fails to respond to the questions in the RFA in a clear and concise manner--”fluff”
post funding requirements
Post-Funding Requirements
  • If you successfully compete for DFC funding in the FY2011 cycle, there are several important requirements you must meet as a condition of your funding
  • The following slides outline those requirements
environmental prevention strategies
Environmental Prevention Strategies

DFC-funded coalitions are expected to plan and implement efforts that are considered “environmental strategies” as outlined in the applicant’s response to RFA Question 10, Table 4: 12-Month Action Plan.

RFA pgs. 6-7

grant requirement reports
Grant Requirement: Reports
  • Program Progress Reports
    • Two times per year
  • Coalition Classification Tool
    • Once a year
  • Financial Status Report
    • Once a year
  • Financial Disbursement Report
    • Four times per year
  • Details at:
    • http://ondcp.gov/dfc/reportduedates.html
grant requirement grantee meetings
Grant Requirement: Grantee Meetings
  • New Grantee Meeting (3 days)
    • All Year 1 and Year 6 grantees are required to send a minimum of two people (including the Program Director) to the mandatory New Grantee Meeting in Washington, DC in December, 2011
      • The Program Director is the person charged with daily oversight of the coalition
    • Full details of this and any additional training requirements will be outlined in your Notice of Award, should you receive FY11 funding

RFA pg. 9

grant requirement grantee meetings1
Grant Requirement: Grantee Meetings
  • CADCA’s National Coalition Academy (15 days)
    • Only required for first-time grantees (Year 1)
    • Must send 2 coalition members
    • Residential setting
    • Food/room provided dependent upon location
    • Coalitions responsible for travel to/from site (airfare/rental car/personal car usage)
  • For more information, go to: http://www.cadca.org/trainingevents/training_coalitions/national-coalition-academy

RFA pg. 10

preparing the application
Preparing the Application

Your application will be peer reviewed according to the published review criteria in the RFA (RFA pgs. 30-32)

Project Narrative can be no more than 30 pages

No limit for budget and attachments

Retype all 13 bolded questions exactly as they appear in the RFA (Section A, RFA pgs. 32-37)

Responses to questions should build upon each other

preparing the application1
Preparing the Application

Font must be Times New Roman, 12 pt font

Charts/tables can be 10 pt font (unless electronically submitted)

Black and White (no color)

1” margins on all pages


One column

One sided

All pages must be numbered consecutively from beginning to the end

Hand number if necessary

project narrative evaluation criteria rfa pgs 30 32
Project Narrative Evaluation Criteria (RFA pgs. 30-32)
  • Applicants need to review the points assigned to each of the 13 questions within the RFA
  • Peer Reviewers will use 5-, 10- and 15-point scales to score the questions
  • Review the RFA for language on these scoring mechanisms
community overview
Community Overview

Required, though not scored

Does not count toward 30-page limit

No more than 1 page in length

Paints a picture of the community, including demographics and aspects of diversity such as age, race, ethnicity, gender, socioeconomic status, and culture

Tells the story about what it is like to live in your community

Provides a historical perspective if there have been significant shifts or events

RFA pg. 32

section a narrative questions
Section A: Narrative Questions

Maximum score: 90 points

13 questions

Bolded questions are followed by bullets that MUST be addressed within each response

Applicants can provide information beyond the bullets, but must address each bullet

If a coalition, for some reason, cannot fully address a bullet, explain why

Format responses by typing only the bolded question, followed by complete answer


Question #1

What is the coalition’s history in terms of development and addressing youth substance use?

  • Coalition’s history of organizing around youth substance use prevention (i.e., coalition formation, activities/efforts conducted)
  • Coalition’s evolution over time, including response to changing community situations
  • Explanation of when and how youth substance use prevention was included in or added to the coalition’s focus

RFA pg. 33


Question #2

  • What are the community’s youth substance use-related problems and the coalitions prioritization of those problems?
  • Prevalence of use, including current core measures data, if available
  • Social indicator data related to youth consequences
  • Processes for problem prioritization based on data
  • Identified youth substance use prevention/reduction priorities (must be at least two named substances)*
  • *Statutory Eligibility Evidence

RFA pgs. 15 & 33


Question #3

  • What factors/local conditions contribute to the community’s youth substance-use related problems?
  • Environmental conditions and/or policies and practices (e.g., accessibility and availability of substances, , licensing laws)
  • Community norms (e.g., denial, lack of readiness, parental approval)
  • Poor coordination and/or insufficient involvement of existing agencies, organizations, services and community leaders

RFA pg. 33


Question #4

  • What resources are available and/or lacking in the community to address youth substance use and how will being award a DFC grant leverage available resources and fill in where there are gaps?
  • Volunteers, community-based organizations, partnerships, programs and other prevention efforts
  • Financial resources (e.g., local agencies, foundations, ongoing efforts in the community)
  • Training and/or technical assistance

RFA pg. 33-34


Question #5

  • Up to this point, how has the coalition used the information collected to educate and mobilize the community?
  • Process for selecting relevant data to share with the community
  • Process for translating and packaging data for the community to understand local issues related to youth substance use
  • Communication mechanisms (e.g., public forums, media channels, social media, etc.)

RFA pg. 34


Question #6

  • How does the coalition engage, recruit and retain volunteers/partners, including the required 12 sectors?
  • Recruitment and retention efforts to date and plans for future recruitment and retention, including those specific to youth involvement
  • Current and future leadership development
  • Access to community leaders and decision makers

RFA pg. 34


Question #7

  • How will the coalition ensure cultural competence in its youth substance use prevention efforts?
  • Describe the community’s diversity, including race, ethnicity, age, gender, socioeconomic status, sexual orientation, etc.
  • Degree to which coalition membership reflects the diversity of the community
  • Training for coalition members on cultural issues
  • Messages and materials for various community populations and implementation methods for reaching all populations

RFA pg. 34


Question #8

  • How do the coalition’s key staff (paid or unpaid) and volunteer leaders (and grantee/legal applicant, if applicable) share work efforts?
  • Explanation of how the grantee/legal applicant (if different from the coalition), key staff, and volunteers share the work of the coalition
  • Individuals involved in decision-making and development planning, and in what capacity
  • Leadership and committee structure (include Organizational Chart as Attachment 11), including selection process for elected leaders

RFA pg. 34-35


Question #9

  • What will be the coalition's role in management coalition funding, including DFC funding if awarded?
  • Role of grantee/legal entity (if applicable), key staff, and coalition members in budget development, monitoring grant funds, match documentation and making personnel decisions
  • Systems, policies, and procedures related to financial decision-making

RFA pg. 35


Question #10

  • What is the coalition’s plan for addressing youth substance use during the first 12 months of the DFC grant award?
  • Use Plan Table on pgs.*; table must be included in Project Narrative and counts toward the 30-page limit
  • DFC Goal 1: include objectives, strategies, and activities that will strengthen the coalition’s internal capacity, as well as increase overall community collaboration
  • DFC Goal 2: include objectives, strategies, and activities that will impact youth substance use; address each specific substance within the Action Plan that the coalition will address in the next 12 months

RFA pgs. 35-36


Question #11

  • How will the key staff (paid or unpaid) and volunteer leadership ensure the implementation of the activities in the Action Plan?
  • Role of grantee/legal applicant (if applicable), key staff, and members in monitoring the Action Plan
  • Identification of known barriers and challenges & the process to address them, including modifying the Action Plan
  • Plan for keeping the community, including coalition members and community leaders, informed of progress toward implementation, adjustments and actions related to the Action Plan
  • Determination of community collaboration and coalition strength measures (e.g., meeting attendance, sector involvement, member satisfaction survey results, key leader interviews)

RFA pg. 36


Question #12

  • How will the coalition measure its impact in achieving the objectives provided in the Action Plan in the community?
  • Determination of data for substance use-related problems to be collected on an ongoing basis
  • Processes to be used to periodically collect and analyze data noted above (e.g., frequency of data collection, use of coalition members/partners in data collection and analysis
  • How data will be used to adjust/update/improve the Action Plan in an ongoing basis

RFA pg. 37


Question #13

  • How will the coalition maintain resources needed to achieve its long-term goals?
  • Program sustainability efforts to ensure that the activities of the coalition will be sustained over time
  • Address coalition longevity and succession planning
  • Ensuring human capital (volunteer and partner engagement)
  • Securing financial resources

RFA pg. 37

section b budget narrative
Section B:Budget Narrative

Maximum score: 10 points

Provide a one-year budget narrativethat includes:

Budget details


Description of matching resources

Additional support received by the coalition

Provide a budget projection for each of the remaining grant years in the 5-year cycle

Use the template provided in Appendix A, RFA pgs. 45-59

RFA pgs. 30, 31-32, 37

budget evaluation criteria
Budget Evaluation Criteria

Budget items (Federal request and non-Federal match) must align with the activities outlined in the proposed Action Plan (RFA Question #10) and the DFC Program priorities

Review the Budget Evaluation Criteria in the RFA for the 10-point scale used to score the Budget Narrative by Peer Reviewers

RFA pg. 31-32

attachment 1 sector table
Attachment 1: Sector Table

Must use Table 22 exactly as provided in Appendix D, RFA pg.65

Must list one person for each sector (12 total)

Applicants will not score higher for providing more than 12 sector member names

No single person can serve as more than one sector

Youth must be age 18 or younger

Use the “Specific Contribution to the Coalition” column to provide information about the specific assets of each sector member

Provide the page number of the 1st page of the matching Coalition Involvement Agreement (CIA) in the last column of the Sector Table

attachment 2 coalition involvement agreements cia
Attachment 2: Coalition Involvement Agreements (CIA)
  • Use Table 23, provided in Appendix E, RFA pgs. 66, at the top of each CIA
  • May use CIA template provided in Appendix E, pg. 67
  • Provide only 12 CIAs that match the 12 sector members provided in Attachment 1
    • Applicants will not score higher for providing more than 12 CIAs
  • CIAs are not legally binding documents
  • Serve as proof of substantial sector member involvement
  • Cannot be more than 12 months old at the time of application
attachment 3 2 sets of coalition minutes rfa pgs 13 14
Attachment 3: 2 Sets of Coalition Minutes (RFA pgs. 13-14)
  • Must be the coalition’s minutes
  • Check the date!
    • Between January 1-September 30, 2010
    • Between October 1, 2010-March 18, 2011
  • Provide month, date and year
  • Must list each attendee & the sector he/she represents
    • All sectors do not have to be present at both meetings
  • Must indicate the coalition's work on youth substance use prevention
  • Just two sets—applicants will not score higher for providing more than two sets
attachment 4 coalition mission statement rfa pg 14 15
Attachment 4: Coalition Mission Statement (RFA pg. 14-15)
  • Must be the coalition’s Mission Statement
  • Put on a single sheet of paper by itself
  • Clearly label: “Attachment 4: Coalition Mission Statement”
  • Ensure that it clearly indicates that the coalition’s mission includes the prevention of youth substance use
attachment 5 grantee coalition mou or statement of legally eligibility entity
Attachment 5: Grantee/Coalition MOU or Statement of Legally Eligibility Entity
  • Scenario One:
    • The coalition is it’s own 501(c) 3 and is legally eligible to apply for a DFC grant on its own
      • On a single sheet of paper, labeled “Attachment 5: Statement of Legally Eligibility Entity”
      • Write a statement indicating the coalition is a legally eligibility entity

RFA pgs. 17-18

attachment 5 grantee coalition mou or statement of legally eligibility entity1
Attachment 5: Grantee/Coalition MOU or Statement of Legally Eligibility Entity
  • Scenario Two:
    • The coalition is partnering with an outside agency to serve as the legal applicant/grantee on its behalf
      • May use the sample in Appendix F, RFA pg. 70 for the Memorandum of Understanding between the partnering agency and the coalition
      • Must have two signatures: one from the legal applicant/grantee and one from the coalition

RFA pgs. 16-17

attachment 6 letters of mutual cooperation
Attachment 6: Letters of Mutual Cooperation
  • If an applicant coalition is going to overlap zip codes with a current DFC grantee or an applicant applying in the same cycle, the following must be included in a Letter of Mutual Cooperation:
    • Which zip codes overlap
    • What the two (or more) coalitions will do to work together
    • Must have one signature from all overlapping coalitions on the letter

RFA pgs. 20-21

attachment 7 assurance of one grant at a time
Attachment 7: Assurance of One Grant at a Time
  • Use the template in Appendix G exactly as it is provided (RFA pg. 72)
  • Have the Authorized Official for the legal applicant/grantee sign the document
  • Indicates understanding that only one DFC grant can be awarded to a single grantee at any time
    • Does not apply to DFC Mentoring Grants

RFA pg. 21

attachment 8 10 year funding limit
Attachment 8: 10-Year Funding Limit
  • Use the template in Appendix H exactly as it is provided (RFA pgs. 73-74)
  • Have the Authorized Official for the legal applicant/grantee sign the document
  • Indicates an understanding that a coalition cannot receive more than 10 years of DFC funding

RFA pg. 22

attachment 9 resumes job descriptions
Attachment 9: Resumes & Job Descriptions
  • Include resume for Program Director & Project Coordinator
    • These individuals can be the same person
  • Include the Job Descriptions for these positions
  • Include resumes/job descriptions for key volunteer staff (if applicable)
  • Cannot be more than 2 pages

RFA pg. 38, Section D

attachment 10 general applicant information section e chart
Attachment 10: General Applicant Information (Section E chart)
  • Use the chart in Section E exactly as provided (RFA pgs. 38-40)
  • Answer all requests for information

RFA pgs. 38-40, Section E

attachment 11 coalition organizational chart
Attachment 11: Coalition Organizational Chart
  • Provide the coalition’s organizational chart
  • Should show leadership and structure
  • May include: task forces, committees and overall structure of the coalition

RFA pg. 40, Section F

attachment 12 coalition s logic model
Attachment 12: Coalition’s Logic Model
  • Must be the applicant coalition’s Logic Model
  • Accepted in whatever current form it is in
  • No specific template/format is required
  • For technical assistance in developing a Logic Model, contact CADCA at 800-542-2322, ext. 240

RFA pg. 40, Section G

attachment 13 letter to single state agency ssa
Attachment 13: Letter to Single State Agency (SSA)
  • Include a letter to the Single State Agency (SSA) indicating that the applicant has informed the SSA contact person (State Single Point of Contact/SPOC) that an application for DFC funding has been submitted
  • Does not apply to American Indian/Alaska Native tribes
  • See Appendix M, RFA pgs. 80-81 for additional instructions and the website to locate your State’s SPOC

RFA pg. 41, Section H

attachment 14 forms certifications assurances and disclosures
Attachment 14: Forms, Certifications, Assurances and Disclosures
  • Non-Construction Programs: Read the list of assurances & certifications on the SAMSHA website & check the box marked “I Agree” before signing the face page (SF 424 v2)
  • Project Performance Site Location(s) Form: Is provided is the online application kit that you can download at www.samhsa.gov/grants/applicationkit.aspx
  • Assurance of Compliance with SAMHSA Charitable Choice Statutes & Regulations Form SMA 170: Is provided is the online application kit that you can download at www.samhsa.gov/grants/applicationkit.aspx
  • Disclosure of Lobbying Activities: Standard Form-LLL found in the HHS 5161-1 is used. If no lobbying activities are disclosed, write N/A and sign the form.

RFA pg. 25-26; 41, Section I

attachment 15 disclosure of prior dfc funding
Attachment 15: Disclosure of Prior DFC Funding
  • Use Appendix I exactly as provided (RFA pg.75)
  • Complete the requested information for both the legal applicant/grantee and/or the applicant coalition
  • If multiple DFC grants for different coalitions have been received by a legal applicant/grantee, all must be included on this form
  • Use the chart in the center of Appendix I and add rows as needed
  • Must have two signatures: one from the legal applicant/grantee and one from the applicant coalition for this application

RFA pg. 41, Section J

attachment 16 dfc national cross site evaluation requirements
Attachment 16: DFC National Cross-site Evaluation Requirements
  • Use Appendix J exactly as provided (RFA pg. 76)
  • Complete the three questions in the chart
  • Provide the year that the data supplied in Question 2 of the Project Narrative was provided under “Additional Information”

RFA pg. 41, Section K

attachment 17 congressional notification
Attachment 17: Congressional Notification
  • Use Appendix K exactly as provided (RFA pg. 77)
  • Include all of the information requested and in line with what is in the DFC application you are submitting
  • “Project Description” cannot be more than 35 lines

RFA pg. 41, Section L

additional attachments
Additional Attachments
  • Only Attachments 1-17 are required
  • If an applicant chooses to submit additional Attachments, they should be labeled and provided after Attachment 17
  • Do not send brochures, CDs, PowerPoints, or promotional items
  • Additional Attachments are not required, are not scored and will not affect the score of an applicant
next to last page of the application
Next to Last Page of the Application
  • Checklist found in the HHS 5161-1
  • Place as the next to last page of the application either immediately after Attachment 17 or after any additional Attachments the coalition chose to submit

RFA pg. 41, Section M

last page of the application
Last Page of the Application
  • Use Appendix L exactly as provided (RFA pgs. 78-79)
  • Ensure that all documents are included that are listed in the chart in Appendix L
  • Attach the checklist in Appendix L as the last page of the submitted application

RFA pg. 41, Section M

division of grants management
Division of Grants Management
  • The Division of Grants Management (DGM) conducts an administrative review of the application
  • DGM conducts a cost analysis of the applicant’s budget, negotiating with applicant to make changes if necessary
  • DGM conducts a Financial Capability Review of potential grantee organization
documents needed to apply
Documents Needed to Apply
  • 2011 DFC Request for Applications (RFA) No. SP-11-002
  • Grant Application HHS-5161-1
  • See RFA Appendix A, pgs. 45-59: Sample Budget for 1st year of a 5-year grant cycle
  • Components
    • Budget Definitions
    • Sample Budget and Narrative Justification
    • Budget Summary
    • Calculation of Future Budget Periods
  • No more than $125,000/year
budget definitions
Budget Definitions
  • Authorized Official: Individual in applying agency with fiduciary authority
  • Program Director: An individual with provided daily oversight of the grant
  • Project Coordinator: An individual who coordinates coalition services and DFC project activities
  • Business official: Individual who oversees the business aspects of the grant

RFA pgs. 46-47

budget definitions1
Budget Definitions
  • Applying agency: Organization which agrees to serve as the grantee
    • Legally responsible for the programmatic and fiscal requirements of the grant
    • Has an active role in the administration of the grant (not pass through funds to another group)
    • The coalition must have reduction of substance abuse as its principal mission
non federal matching
Non-Federal Matching
  • Matching is not required on a category by category basis
  • In-kind donations may be used as matching
  • Federal funds or Federal funds passed through a State or local government may not be used as matching
    • Applicants with representation that includes at least one Native American member may include Federal funds as match
  • Matching cannot be claimed for costs that are not allowable using Federal funds
budget categories summary

Fringe Benefits





Construction – Not allowed


Indirect Costs

Budget Categories & Summary
budget categories summary1
Budget Categories & Summary
  • Direct Costs - costs that can be identified specifically with a particular sponsored project
  • Indirect Costs - costs incurred for common or joint objectives that cannot be identified specifically with a particular project or program. These costs also are known as “facilities and administrative costs”
budget categories summary2
Budget Categories & Summary
  • Indirect Costs – If you:
    • Have a negotiated rate agreement, include the document in the application package
    • Do not have a negotiated rate agreement, you cannot claim indirect costs using a rate; however, you can charge the costs directly
    • Wish to obtain a rate, go to http://rates.psc.gov for assistance

RFA pg. 47

calculation of future budget periods
Calculation of Future Budget Periods
  • Budget increases and decreases must be explained and justified
  • Applicants must show projected Federal request and non-Federal match

RFA pg. 57, Table 20 & RFA pg. 58, Table 21

where do i get the hhs 5161 1
Where Do I Get the HHS-5161-1?
  • To obtain copies of the HHS-5161-1 and all other forms, go to:


completing the application
Completing the Application
  • The HHS-5161-1 contains information about HHS policies and procedures
  • Before completing, read the Request for Applications (RFA) # SP-11-005
  • Read all instructions
  • If HHS-5161-1 is not submitted, the application will not be reviewed
face page sf 424 exp 03 31 2012
Face Page - SF-424 (exp. 03/31/2012)
  • Item 8/Legal Name = Applying agency
    • Applicants’ EIN and DUNS number must be used
    • To obtain DUNS number, call 1-866-705-5711or go to http://www.dnb.com/us
    • Grant funds cannot be passed through to the coalition as the grantee is legally and fiscally responsible for the grant
    • It is expected that this is a long-term relationship between the grantee and the coalition
face page sf 424 exp 03 31 20121
Face Page - SF-424 (exp. 03/31/2012)
  • Catalog of Federal Domestic Assistance Number: 93.276
  • CFDA Title: Drug Free Communities Support Program
  • Funding Opportunity Number: SP-11-002
  • Title: Drug Free Communities Support Program
face page sf 424 exp 03 31 20122
Face Page SF-424 (exp. 03/31/2012)


  • Proposed project:
    • Start Date: 9/30/20xx
    • End Date: 9/29/20xx (usually 5 years)
  • Subject to Executive Order 12372
    • Intergovernmental Review of Federal Programs
    • Go to http://www.whitehouse.gov/omb/grants_spoc to reference list of states affected by EO 12372
  • Authorized signature: Person legally responsible for application and grant funds
budget information non construction programs sf 424a
Budget InformationNon-Construction Programs (SF-424A)
  • Section A: Leave blank
  • Section B: Budget categories same as budget summary
    • Column 1: Federal funds request
    • Column 2: Non-Federal matching
  • Program Income: Income generated from grant-funded activities

Budget InformationNon-Construction Programs (SF-424A)

  • Section C: Complete
    • Also enter into “Estimated Funding” on SF-424 Face Page Items 18 b through f
  • Section D: Leave blank

Budget InformationNon-Construction Programs (SF-424A)

  • Section E: Budget Estimates of Federal Funds Needed for Balance of the Project
    • 16(a) Grant Program = DFCSP
    • 16(b-e) additional years (taken from Calculation of Future Budget Periods) – First is year 2 or 7, etc.
  • Section F: Complete
    • If Indirect Costs are requested, Indirect Cost Rate Agreement must be submitted
checklist cont
Checklist (cont.)
  • Type of Application
    • If applying for Year 6, with NO BREAK in funding, check “Competing Continuation”
    • All other applicants, check “New”
  • Part A
  • HHS Form 690 – Assurance of Compliance
    • Located at http://samhsa.gov/Grants/ApplicationKit.aspx
    • Sign and mail to HHS Office of Civil Rights
checklist cont1
Checklist (cont.)
  • Part B
  • Public Health Systems Impact Statement (RFA– Application and Submission Requirements)
    • Intergovernmental review - Executive Order (EO) 12372
    • Go to http://whitehouse.gov/omb/grants_spocto reference list of States affected by EO 12372
checklist cont2
Checklist (cont.)
  • Part C
    • Name of Business Official: Authorizing Official or individual designated by the Authorizing Official
      • Include the full address
    • Name of Program Director:
      • Include the full address
      • This should be the same person as Item 8f of SF-424
    • Address: Must be physical location, not a P.O. Box
checklist cont3
Checklist (cont.)
  • Part D
    • Private Non-profit Organization: Evidence of non-profit status must be provided with the application
    • Check the appropriate boxes and submit required documentation with the application, including EIN verification from the IRS
disclosure of lobbying activities
Disclosure of Lobbying Activities
  • The SF-LLL must be submitted with the application
  • If there are:
    • No lobbying activities, write “Not Applicable” (N/A)
    • Lobbying activities, complete SF-LLL

Other Forms and Registrations

  • Assurance of Compliance with SAMHSA Charitable Choice Statues and Regulations – SMA 170 (found at www.samhsa.gov)
  • Project Performance Site Location(s) Form
  • Applicants must register with Central Contract Registration (CCR) at www.bpn.gov/CCR
application formatting requirements
Application Formatting Requirements
  • Use the HHS-5161-1: Application for Federal Assistance
  • Number of pages: 30-page limit for narrative and no limit for budget & attachments
  • Paper size: 8.5 X 11
  • Type size: Times New Roman 12-point
      • Charts/Tables can be done in 10-point font on paper submissions ONLY
  • Page layout: 1 inch margins


One column

Black ink

One-sided(RFA pgs. 60-61)

application formatting requirements1
Application Formatting Requirements
  • All pages should be numbered consecutively
  • Adhere to funding limits, including both Federal share and matching (see budget section of this presentation)
  • Send original and two copies
  • Do not use staples, paper clips, or fasteners
submitting application
Submitting Application
  • Application cannot be faxed, hand carried, or emailed
  • Use a carrier listed in RFA
submitting application cont
Submitting Application (cont.)
  • On-line submission – http://www.grants.gov
    • DUNS number required
    • At least two weeks prior to submitting the application, applicant must register or renew their registration at http://www.grants.gov
    • On-line tutorial is provided for submitting applications on grants.gov

RFA pgs. 62-63

the drug free communities support program csap
The Drug Free Communities Support Program- CSAP

Where can I get additional materials?

SAMHSA’s National Clearinghouse on Alcohol and Drug Information (NCADI), call 1-800-729-6686 or go to http://ncadi.samhsa.gov



for additional spf or coalition support
For Additional SPF or Coalition Support

Contact CADCA’s National Coalition Institute for technical assistance related to the Strategic Prevention Framework (SPF) or other COALITION-related issues

CADCA’s Technical Assistance Manager

Phone: 800-54-CADCA, ext. 240

Email: training@cadca.org

**Do not call CADCA for specific RFA assistance. Use the information on the next slide for specific RFA questions.

for additional rfa support
For Additional RFA Support

RFA/Program Questions:

DFC Hotline Team

SAMHSA, Center for Substance Abuse Prevention



Grants Management Questions:

Barbara Orlando, Grants Management Officer

SAMHSA, Division of Grants Management



financial capability reviews what are they
Financial Capability Reviews –What are they?
  • Assessments of applicants’ financial management systems (FMS) to determine if they are capable of adequately administering Federal awards
financial capability reviews why are they important
Financial Capability Reviews –Why are they important?
  • Financial capability reviews identify weaknesses in applicants’ FMS, which are required to be corrected
  • Grantee organizations with adequate FMS are less likely to be the victims of fraud, waste, and abuse
  • Grantees with adequate FMS are more likely to achieve their programmatic objectives
financial capability reviews how are they conducted
Financial Capability Reviews –How are they conducted?

The Financial Advisory Services Officers review either:

  • A recent report on an audit performed in accordance with OMB Circular A-133; or
  • Accounting and personnel policies and procedures (P&P) along with the most recent financial statements (F/S) or IRS Form 990, Return of Organization Exempt from Income Tax
financial capability reviews using a recent omb a 133 audit
Financial Capability Reviews –Using a Recent OMB A-133 Audit
  • F/S and Notes are reviewed for indicators of financial instability
  • Notes to the F/S and A-133 audit report section are reviewed for significant issues
financial capability reviews using p ps f s or irs 990
Financial Capability Reviews –Using P&Ps & F/S or IRS 990
  • P&Ps are compared to management controls within Grantee Financial Management Requirements (GFMR), which are based on administrative requirements (45 CFR Parts 74 & 92),cost principles (OMB Circular A-87 & A122), and HHS Grants Policy Statement
  • The GFMRs are available to applicants at http://www.samhsa.gov/grants/management.aspx
  • F/S or IRS Form 990s are reviewed for indicators of financial instability