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New Terms and Conditions

Drug Free Communities Support Program
FY 2007

The Drug Free Communities Support Program (DFC) is a collaborative effort between the Executive Office of the President, Office of National Drug Control Policy (ONDCP), and the Substance Abuse and Mental Health Services Administration (SAMHSA). Grant awards are made available by SAMHSA through an interagency agreement with the ONDCP. The purpose of the funding is to address two major goals: 1) Establish and strengthen collaboration among communities, private nonprofit agencies, and Federal, State, and local and tribal governments to support the efforts of community coalitions to prevent and reduce substance abuse among youth; and 2) Reduce substance abuse among youth and, over time, 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. While responsibility rests with the grantee for achieving the primary goals of the program, SAMHSA and its designated representatives shall monitor and provide continuing technical assistance, consultation, and coordination in the conduct of the project during the funding period. In addition to these terms and conditions and the applicable statutes and regulations, grantees are bound by the DHHS Grants Policy Statement and all requirements in the Program Announcement for the FY 2007 DFC.

A. ROLE OF THE GRANTEE:

The grantee adheres to the programmatic and fiscal requirements described in the FY 2007 DFC Program Announcement as well as to the specific goals and objectives indicated in the approved application. The grantee is or represents a coalition that is comprised of representatives from at least 12 community sectors (as listed in the FY 2007 Program Announcement). Grantee/coalition must have reduction of substance abuse among youth as a principal mission. The grantee functions as a unique entity and its meeting minutes must demonstrate that it has substantial involvement and participation from its membership. A funding plan must be in place or be developed to solicit substantial financial support from non-federal sources to ensure that it will be self-sustaining when federal assistance is no longer available. The grantee receives and expends non-federal matching funds. The grantee collects and reports data profiling youth within the areas it serves as described in the FY 2007 Program Announcement. Participation in a national evaluation of the DFC is required.

B. ROLE OF THE GOVERNMENT PROJECT OFFICER:

The Government Project Officer (GPO) monitors the grant to assure adherence to the approved goals and objectives stated in the grantee's application. Site visit(s) are conducted and then reports are developed with corrective action plans and /or technical assistance recommendations. The GPO reviews and evaluates grantee semi-annual progress reports and requires corrective action and/or makes technical assistance recommendations. When the GPO finds or is alerted to serious deficiencies in the grantee's performance, temporary staff intervention is provided to correct or ameliorate the conditions causing or contributing to the unsatisfactory performance. The GPO ensures compliance with legislative, regulatory and administrative requirements, and other terms and conditions of the award. Following completion of the project, the GPO analyzes and evaluates the overall performance of the grantee in relation to its success or failure with respect to achieving the goals and objectives of the grant program.

C. ROLE OF THE GRANTS MANAGEMENT OFFICER:

The Grants Management Officer (GMO) is responsible for all of the business management aspects of grant negotiation, award, financial and administrative aspects of the grant program. The GMO will utilize information from site visits, reviews of expenditure and audit reports, and other appropriate means to assure that the project is operated in compliance with all applicable Federal laws, regulations, guidelines, grant eligibility requirements and terms and conditions of award. Questions concerning the applicability of regulations and policies of this grant program, and all required prior approvals such as, requests for permission to expend funds for certain items should be directed to the GMO. The GMO is the only person who may grant such required approvals. All changes in the terms of the grant award must be in writing by the GMO.

D. SPECIAL TERMS OF AWARD:

Failure to comply with special terms and conditions may result in a drawdown restriction on your Payment Management Account or denial of funding in the future.

1. Grantee must receive and expend non-federal matching funds as required in the Program Announcement. In-kind support may also be used to satisfy the match requirement.

2. Grantee must collect, on a biennial basis, the following data on youth consistent with the geographic area served by the coalition: (1) age of onset of any drug (including alcohol, marijuana and tobacco); (2) frequency of drug use in the past 30 days (including alcohol, marijuana and tobacco); (3) perception of risk or harm; and (4) perception of disapproval of use by adults (including alcohol, marijuana and tobacco), or other measures as identified by ONDCP. The grantee should report on youth in at least three grades. The size of the data collection must be sufficient to provide an accurate and meaningful statistical representation of the geographic area served by the coalition.

3. By Oct. 31, 2007 grantee is required to submit a plan outlining how the coalition will comply with the data reporting requirements listed in section D-2. The report should be submitted to the Government Project Officer listed in the contact section of this award notice.

4. Grantee must participate in the national DFC evaluation. This includes the reporting of required data, and potential further interaction with the evaluation team, as necessary.

5. If required, grantee must develop a corrective action plan and complete approved plan within a designated timeframe to correct or improve identified deficiencies in performance and/or in the conditions contributing or causing the unsatisfactory performance.

6. Grantee must appropriate funds to send two (2) people to a four day the FY 2007 New Grantee Training Workshop. ONDCP will provide guidelines on the positions and/or participants who should attend. Budget revisions may be made a necessary.

7. DFC coalitions must use the Strategic Prevention Framework (SPF), a five step evidence-based process for community planning and decision-making. The 5-step process includes: needs assessment, capacity building, planning, implementation, and evaluation.

8. Grantees in the 3rd and 7th year of DFC funding must submit and have a sustainability plan approved by their GPO.

E. STANDARD TERMS OF AWARD:

1. This grant is subject to the terms and conditions, included directly, or incorporated by reference on the Notice of Grant Award. Refer to the order of precedence on the Notice of Grant Award.

2. The grantee organization is legally and financially responsible for all aspects of this grant.

3. Grant funds cannot be used to supplant current funding of existing activities. Supplanting is defined as replacing funding of a recipient's existing program with funds from a Federal grant.

4. Accounting Records and Disclosure - Awardees must maintain records which adequately identify the source and application of funds provided for financially assisted activities. These records must contain information pertaining to grant awards and authorizations, obligations, unobligated balances, assets, liabilities, outlays or expenditures, and income. SAMHSA, or its designee, may conduct a financial compliance audit and/or on-site program review.

5. Per (45 CFR 92.34) and the DHHS Grants Policy Statement, any copyrighted or copyrightable works developed under this cooperative agreement/grant shall be subject to a royalty-free, nonexclusive and irrevocable license to the Government to reproduce, publish, or otherwise use them and to authorize others to do so for Federal Government purposes. Income earned from any copyrighted work developed under this grant must be used and reported as program income.

6. A notice in response to the President's Welfare-to-Work Initiative was published in the Federal Register on May 16, 1997. This initiative is designed to facilitate and encourage grantees to hire welfare recipients and to provide additional needed training and/or mentoring as needed. The test of the notice is available electronically on the OMB home page at www.whitehouse.gov/wh/eop/omb.

7. Program income accrued under this award must be accounted for and may be used in accordance with the additional costs alternative described in (45 CFR 74.24 (b)(1)) or (45 CFR 92.25(g)(2)) as applicable. Program income must be used to further the grant objectives and shall only be used for allowable costs as set forth in the applicable OMB administrative requirements. Program income must be reported on the Financial Status Report, Standard Form 269 (long form).

8. Actions that require prior approval must be submitted in writing to the GMO, SAMHSA. The mailed/faxed request must bear the signature of an authorized business official of the grantee organization as well as the project director. When submitting e-mail requests, please include grant number, Project Director, the authorized institutional official's name, title and institution, telephone number, fax number and e-mail address. It is understood that the transmission of electronic prior approval requests is a clear expression of institutional approval and that all internal procedures have been properly completed. Additionally, the grantee will be responsible for any internal distribution of the request. Approval of the request may be granted by the GMO and will be in writing. No other written or oral approval should be accepted and will not be binding on SAMHSA. For prior approval procedures go to www.samhsa.gov then to "grants" then to "grants management" see "post award".

9. Any replacement of, or substantial reduction in effort of the Program Director (PD) or other key staff of the grantee requires the written prior approval of the GMO. The GMO must approve the selection of the PD or other key personnel, if the individual being nominated for the position had not been named in the approved application, or if a replacement is needed should the incumbent step down or be unable to execute the position's responsibilities. A resume for the individual(s) being nominated must be included with the request. Key staff positions are listed below:

Project Director
Project Coordinator

10. Any changes in the grantee scope of work such as goals, objectives, data collection, and evaluation require the written prior approval of the GMO.

11. None of the Federal funds provided under this award shall be used to carry out any program for distributing sterile needles or syringes for the hypodermic injection of any illegal drug.

12. Refer to the Notice of Grant Award for information regarding grant payment information and the Health and Human Services Inspector General's Hotline for information concerning fraud, waste or abuse.

13. As the grantee organization, you acknowledge acceptance of the grant terms and conditions by drawing or otherwise obtaining funds from the Payment Management System. In doing so, your organization must ensure that you exercise prudent stewardship over Federal funds and that all costs are allowable, allocable and reasonable.

14. No DHHS funds may be paid as profit (fees) per (45 CFR Parts 74.81 and 92.22(2)).

15. RESTRICTIONS OF GRANTEE LOBBYING (Appropriations Act Section 503).

(A) No part of any appropriation contained in this Act shall be used, other than for normal and recognized executive-legislative relationships, for publicity or propaganda purposes, for the preparation, distribution, or use of any kit, pamphlet, booklet, publication, radio, television, or video presentation designed to support or defeat legislation pending before the Congress, except in presentation to the Congress itself or any State legislature.

(B) No part of any appropriation contained in this Act shall be used to pay the salary or expenses of any grant or contract recipient, or agent acting for such recipient, related to any activity designed to influence legislation or appropriations pending before the Congress or any State legislature.

16. Where a conference is funded by a grant or cooperative agreement the recipient must include the following statement on all conference materials (including promotional materials, agenda, and Internet sites):

Funding for this conference was made possible (in part) by (insert grant or cooperative agreement award number) from ONDCP and SAMHSA. The views expressed in written conference materials or publications and by speakers and moderators do not necessarily reflect the official policies of the Department of Health and Human Services or the White House Office of National Drug Control Policy; nor does mention of trade names, commercial practices, or organizations imply endorsement by the U.S. Government.

F. REPORTING REQUIREMENTS:

1. Financial Status Report (FSR), Standard Form 269 (long form) is due within 90 days after expiration of the budget period and 90 days after the expiration of the project period. If applicable, include the required match on this form under Transactions (#10 a-d), Recipient's share of net outlays (#10 e-i) and Program Income (q-t) in order for SAMHSA to determine whether matching is being provided and the rate of expenditure is appropriate. Adjustments to the award amount, if necessary, will be made if the grantee fails to meet the match. The FSR must be prepared on a cumulative basis and all program income must be reported. Disbursements reported on the Financial Status Report must equal/or agree with the Final Payment Management System Report (PSC-272).

2. DFC Semi-Annual Progress Reports are due to be submitted through the Coalition Online Management and Evaluation Tool (COMET) on the following dates unless otherwise instructed by ONDCP through your GPO:

April 30, 2008 October 31, 2008

3. Grantee is required to submit an annual classification tool survey.

4 Submission of the Federal Cash Transactions Report PSC 272 is due 45 days after the end of each fiscal quarter. This Division of Payment Management report is completed on-line. To access the information and review the exact due dates go to http://www.dpm.psc.gov/

5. The grantee must comply with Government Performance Results Act (GPRA) requirements that include the collection and periodic reporting of performance data as specified in the RFA or by the GPO. This information is needed in order to comply with PL 102-62 which requires that ONDCP report evaluation data to ensure the effectiveness and efficiency of its programs. See Section D2 for specific requirements.

6. Submission of audit reports in accordance with the procedures established in Office of Management and Budget (OMB) Circular A-133 is required by the Single Audit Act Amendments of 1966 (P.L. 104-156). An audit is required for all entities which expend $500,000 or more of Federal funds in each fiscal year and is due to the Clearinghouse within 30 days of receipt from the auditor or within nine (9) months of the fiscal year, whichever occurs first, to the following address:

Federal Audit Clearinghouse
Bureau of the Census
1201 E. 10th Street
Jeffersonville, IN 47132

Failure to comply with this requirement may result in DHHS sanctions placed against your organization, i.e., classification as high risk, conversion to a reimbursement method of payment, suspension or termination of award.

G. INDIRECT COSTS:

1. Grantees that have not established indirect cost rates and wish to claim indirect costs are required to submit an indirect cost proposal to the appropriate office within 90 days from the start date of the project period. If the grantee requests indirect cost reimbursement but does not have an approved rate agreement at the time of award, the grantee shall be limited to a provisional rate equaling one-half of the indirect costs requested, up to a maximum of 10 percent of salaries and wages only. If the recipient fails to provide a timely proposal, indirect costs paid in the anticipation of establishment of a rate must be disallowed.

SAMHSA will not accept a research indirect cost rate. The grantee must use another sponsored program rate or lowest rate available.

Please contact the appropriate regional office of the Division of Cost Allocation to begin the process for establishing an indirect cost rate. To find a list of HHS Division of Cost Allocation Regional Offices go to the SAMHSA website www.samhsa.gov then click on "grants"; then click on "Important offices".

H. ENVIRONMENTAL STRATEGIES

Environmental strategies are strategies aimed at the environment and based on the community systems perspective that views a community as a set of persons engaged in shared social, cultural, political, and economic processes. Environmentally based strategies take into account the fact that individuals do not become involved with substances solely on the basis of personal characteristics. Rather they are powerfully influenced by a complex set of factors in the environment, such as the rules and regulations of the social institutions to which they belong, the norms of the communities in which they live, the mass media messages to which they are exposed, and the accessibility of alcohol, tobacco and illicit drugs. Because substance abuse is viewed as a product of the overall system, effective prevention requires making appropriate modifications to the community at large. The purposes of environmental strategies are to (1) limit access to substances, (2) change the culture and contexts within which decisions about substance use are made, or (3) reduce the negative consequences associated with use." (Center for Substance Abuse Prevention. Environmental Prevention Strategies: Putting Theory Into Practice (Training and Resource Guide). Rockville, MD, 1999.)

By focusing Federal funds on these environmental strategies, it is more likely that grantees will achieve lasting positive environmental change within their community. While grantees may use funds for direct services, the primary focus of the grant is on coalition development to bring about environmental change that prevents substance abuse at the community level. Grantees should primarily utilize local funds and in-kind match to support direct services. In so doing, grantees create a sense of ownership of those services within the community that will thrive beyond Federal funding.

All responses to special terms and conditions of award and post award requests must be mailed to the Division of Grants Management, OPS, SAMHSA below:

For Regular Delivery:
Division of Grants Management
OPS, SAMHSA

For Overnight Delivery:
Division of Grants Management
OPS, SAMHSA
1 Choke Cherry Road, Room 7-1091
Rockville, MD 20850