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New Terms and Conditions
Drug Free Communities Support Program
FY 2008
REMARKS:
The Drug Free Communities Program's Progressive Grant Program Discipline and Appeals processes have been developed by the Executive Office of the President, Office of National Drug Control Policy (ONDCP) and Substance Abuse and Mental Health Services Administration (SAMHSA). There are three progressive discipline actions that can be taken: 1) High Risk status, 2) Suspension 3) Termination.
An overview of this plan is included as Attachment 1 to this package, and the complete explanation and procedures are posted on the Drug Free Communities Program website, www.ondcp.gov/dfc or can be linked through www.samhsa.gov.
FY 2008 - Drug Free Communities Support Program (NEW)
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). ONDCP issues grant awards to community coalitions through an interagency agreement with SAMHSA. 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 HHS Grants Policy Statement which can be accessed through www.samhsa.gov/grants/management.aspx and all requirements in the FY 2008 DFC Request for Applications are available at www.samhsa.gov/grants/archives.aspx.
A. ROLE OF THE GRANTEE:
The grantee adheres to the programmatic and fiscal requirements described in the FY 2008 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 2008 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 ensure a dollar for dollar match of federal funds and 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 2008 Program Announcement. Participation in a national evaluation of the DFC program is required.
IF A COALITION USES A FISCAL AGENT, THAT AGENT THEN BECOMES THE PRIMARY APPLICANT/GRANTEE FOR THE GRANT.
B. ROLE OF THE GOVERNMENT PROJECT OFFICER (GPO):
GPOs should have an initial contact with each grantee shortly after the grantee receives the Notice of Award from SAMHSA. This discussion, at a minimum, should include clarification of program goals and objectives; review of Government Performance and Results Act targets; a review of staff; a determination of whether there are immediate needs for training or technical assistance; review of the budget; terms and conditions or other issues. Finally, this conversation should provide the grantee the details necessary to plan for and attend the mandatory DFC New Grantee Training held during the first quarter of the grant year. GPOs have regular and ongoing contact with grantees, at the minimum, on a monthly basis, through e-mail, phone calls and site visits. Receive, review and provide appropriate feedback on the semi-annual programmatic progress reports. GPOs are responsible for ongoing project monitoring and coordinating with SAMHSA Division of Grants Management (DGM – which conducts the fiscal oversight of the grantee), where appropriate. Program aspects of monitoring are accomplished by collecting and continuously reviewing information from telephone communications, site visits, progress reports, correspondence, COMET submissions, technical assistance reports, grantee meetings, and other sources. Monitoring also includes taking corrective action, as needed. The AAGAM states that “each monitoring action must result in written documentation that the monitoring has taken place, if any exceptions have been identified, and the type of follow-up action recommended (Chapter 3.06.106).” GPOs review semi-annual progress reports and provide feedback to the grantee on whether performance is satisfactory.
C. ROLE OF THE GRANTS MANAGEMENT OFFICER (GMO) and SAMHSA's DIVISION OF GRANTS MANAGEMENT (DGM):
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.
GMO conducts post award grant administration activities including: budget revisions; carryovers; change in grantee; change in scope or nature of the annual plan; change of key personnel. GMO reviews and validates the Financial Status Reports at the end of each budget year assuring that grantees comply with the match requirements. GMO provides technical assistance on various grants management issues to grantees and the Government Project Officer (GPO). GMO, in concert with GPO, conducts site visits to review grantees' financial compliance. GMO, along with the GPO, reviews and then processes no-cost extension requests.
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. The Special Terms and Conditions of this award are as follows:
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 report, on a biennial basis (at least every two years), 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. The grantee is responsible for providing that data on or before the deadline established for each reporting period as highlighted in Section F of this document and on the program website at www.ondcp.gov/dfc. Failure to meet established deadlines could result in the GPO placing the grantee on High Risk status which could lead to an eventual suspension or termination of the grant for failure to comply with reporting requirements.
3. By Oct. 31, 2008 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 FY 2008 New Grantee Training Workshop to be held in Washington, DC during the first quarter of the grant year. ONDCP will provide guidelines on the positions and/or participants who should attend.
7. New grantees (Year One) must also budget for two individuals to attend two additional trainings for a total of seven additional training days (in addition to the New Grantee Training) throughout the first year of the grant. For budgeting purposes only, assume that second training will take place in Denver, CO and the third in Washington, DC. Actual training dates and locations will be announced later in the year through your GPO and the information will be posted on the program website at www.ondcp.gov/dfc.
8. 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.
9. Grantees in the 3 rd and 7 th year of DFC funding must submit and have a sustainability plan approved by their GPO. Within 60 days of the start of the 3 rd and 7 th year, grantees must submit this plan electronically to the 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 Award (NoA). Refer to the order of precedence in Section III (Terms and Conditions) on the NoA.
2. The grantee organization is legally and financially responsible for all aspects of this grant, including funds provided to sub-recipients.
3. Grant funds cannot be used to supplant current funding of existing activities. Under the HHS Grants Policy Directives, 1.02 General -- Definition: Supplant is to replace funding of a recipient's existing program with funds from a Federal grant.
4. The recommended future support as indicated on the NoA reflects TOTAL costs (direct plus indirect). Funding is subject to the availability of Federal funds, the demonstration of matching funds, and acceptable documentation of the progress of the grant.
5. Accounting Records and Disclosure - Awardees and sub-recipients 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 or subgrant awards, matching funds and in-kind support, and authorizations, obligations, unobligated balances, assets, liabilities, outlays or expenditures, and income. The awardee, and all its sub-recipients, should expect that SAMHSA, or its designee, may conduct a financial compliance audit and on-site program review of grants with significant amounts of Federal funding.
6. Per (45 CFR 92.34) and the HHS 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 copyrightable work developed under this grant must be used a program income.
7. 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 and their sub-recipients to hire welfare recipients and to provide additional needed training and/or mentoring as needed. The text of the notice is available electronically on the OMB home page at www.whitehouse.gov/omb/fedreg/omb-not.html.
8. Program income accrued under the award must be accounted for in accordance with (45 CFR 74.24) or (45 CFR 92.25) as applicable. Program income must be reported on the Financial Status Report, Standard Form 269 (long form).
Program income accrued under this award 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 Circulars A-102 ("Grants and Cooperative Agreements with State and Local Governments") and A-110 ("Uniform Administrative Requirements for Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations").
9. All actions that require prior approval must be submitted in writing to the GMO, SAMHSA. The mailed/faxed/e-mailed request must bear the signature of an authorized business official of the grantee organization as well as the project director. E-mail requests are acceptable. 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 within 30 days. No other written or oral approval should be accepted and will not be binding on SAMHSA. For prior approval procedures access www.samhsa.gov/grants/management.aspx.
10. Any replacement of, or substantial reduction in effort of the Program Director (PD) or other key staff of the grantee or any of the sub-recipients requires the written prior approval of the GMO within 30 days. 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 by letter or e-mail. Key staff (or key staff positions, if staff has not been selected) are listed below:
Name, Project Director @ % level of effort
Name, Project Coordinator @ % level of effort
11. Submit by letter or e-mail any changes in the grantee scope of work such as goals, objectives, data collection, and evaluation require the written prior approval of the GMO and GPO within 30 days.
12. 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.
13. Refer to the NoA under Section II (Payment/Hotline Information) regarding the Payment Management System and the HHS Inspector General's Hotline concerning fraud, waste or abuse.
14. 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.
15. No HHS funds may be paid as profit (fees) per (45 CFR Parts 74.81 and 92.22(2)).
16. RESTRICTIONS ON GRANTEE LOBBYING (Appropriations Act Section 503).
(a) No part of any appropriation contained in the Drug Free Communities Act of 1997 (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.
17. 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 Office of National Drug Control Policy or the Department of Health and Human Services: nor does mention of trade names, commercial practices, or organizations imply endorsement by the U.S. Government.
18. This award is subject to the requirements of Section 106 (g) of the Trafficking Victims Protection Act of 2000, as amended (22 U.S.C. 7104). For the full text of the Act, go to www.samhsa.gov/grants/trafficking.aspx.
19. Grantees must comply with the requirements of the National Historical Preservation Act and EO 13287, Preserve America. The HHS Grants Policy Statement provides clarification and uniform guidance regarding preservation issues and requirements (pages I-20, "Preservation of Cultural and Historical Resources"). Questions concerning historical preservation, please contact, Mike Daniels, SAMHSA Federal Preservation Coordinator, SAMHSA at Mike.Daniels@samhsa.hhs.gov or 240-276-0759.
F. REPORTING REQUIREMENTS:
1. Financial Status Report (FSR), Standard Form 269 (long form) is required on an annual basis and must be submitted for each budget period no later than 90 days after the close of the budget period. The FSR 269 is required for each 12 month period, regardless of the overall length of the approved extension period authorized by SAMHSA. In addition, a final FSR 269 is due within 90 days after the end of the extension. 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 FSR must equal/or agree with the Final Payment Management System Report (PSC-272). The FSR may be accessed from the following website at www.psc.gov/forms/sf/SF-269.pdf and the data can be entered directly on the form and the system will calculate the figures and then print and mail to this office.
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:
May 11, 2009 AND November 10, 2009
3. Grantee is required to submit an annual classification tool survey through the COMET system. Submission of the survey is required by the following date unless otherwise instructed by ONDCP through your GPO:
November 10, 2008
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 www.dpm.psc.gov.
5. The grantee must comply with the GPRA requirements that include the collection and periodic reporting of performance data as specified in the RFA or by the Project Officer. This information is needed in order to comply with PL 102-62 which requires that SAMHSA report evaluation data to ensure the effectiveness and efficiency of its programs.
6. Submission of audit reports in accordance with the procedures established in 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 the above stated terms and conditions may result in classification as High Risk status, suspension, termination of this award or denial of funding in the future.
G. INDIRECT COSTS:
If grantees want to claim indirect costs, they must have an indirect cost rate agreement; otherwise, all costs should be charged as a direct cost. Grantees that have not established an indirect cost rate agreement are required to submit an indirect cost rate 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 whichever is less. If the recipient fails to provide a timely proposal, indirect costs paid in anticipation of establishment of a rate must be disallowed.
SAMHSA will not accept a research indirect cost rate. The grantee must use other-sponsored program rate or lowest rate available.
Please contact the appropriate 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 www.samhsa.gov/grants/contact.aspx.
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 community 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. The primary focus of the federal grant funding 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 postaward requests must be mailed to the Division of Grants Management, OPS, SAMHSA below:
For Regular Delivery:
Division of Grants Management
OPS, SAMHSA
1 Choke Cherry Road, Room 7-1091
Rockville, MD 20857
For Overnight or Direct Delivery:
Division of Grants Management
OPS, SAMHSA
1 Choke Cherry Road, Room 7-1091
Rockville, MD 20850
CONTACTS:
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