DRUG AND ALCOHOL PROGRAM - Department of Health · General assessment principles ... 5. Delivery of Grant Activities ... Annexure A1 – Drug and Alcohol Treatment Services

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DRUG AND ALCOHOL PROGRAM

Guidelines

September 2016

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Contents Part A ...................................................................................................................................................... 6

1. Program Overview ...................................................................................................................... 6

Program background .......................................................................................................................... 6

Program outcomes ............................................................................................................................. 6

Program objectives ............................................................................................................................ 6

Funding .............................................................................................................................................. 6

2. Eligibility .................................................................................................................................... 7

Who is eligible for grant funding? ..................................................................................................... 7

What activities are eligible for grant funding? .................................................................................. 7

What activities are not eligible for grant funding? ............................................................................ 7

3. Grant Application Process .......................................................................................................... 8

Overview of application process ........................................................................................................ 8

Grant Program Process Flowchart ..................................................................................................... 8

Types of selection process ................................................................................................................. 8

Timing of Grant opportunities ........................................................................................................... 9

How to apply for Grant funding ...................................................................................................... 10

Applicant responsibilities ................................................................................................................ 10

Submitting an application ................................................................................................................ 10

4. Assessment of Grant Applications ............................................................................................ 11

General assessment principles ......................................................................................................... 11

How will applications be assessed? ................................................................................................. 11

Stage 1 – Eligibility Criteria and Application Compliance ............................................................. 11

Stage 2 – Selection Criteria ............................................................................................................. 11

Value with relevant money .............................................................................................................. 14

Approval of grant funding ............................................................................................................... 14

Application outcomes ...................................................................................................................... 15

Award of grants and contracting arrangement ................................................................................. 15

5. Delivery of Grant Activities ...................................................................................................... 15

Grant recipient responsibilities ........................................................................................................ 15

Grant payments ................................................................................................................................ 16

Reporting requirements .................................................................................................................... 16

Risk Management ............................................................................................................................ 16

Program Evaluation ......................................................................................................................... 16

Branding .......................................................................................................................................... 16

6. Probity and Legislation ............................................................................................................. 18

Complaints Process .......................................................................................................................... 18

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Conflict of interest ........................................................................................................................... 18

Privacy - confidentiality and protection of personal information .................................................... 18

Freedom of information ................................................................................................................... 18

Legislation and delegation ............................................................................................................... 19

7. Consultation .............................................................................................................................. 19

8. Taxation implications ................................................................................................................ 19

9. Glossary of Terms ..................................................................................................................... 20

Annexure A1 – Drug and Alcohol Treatment Services ........................................................................ 21

1) Activity summary ...................................................................................................................... 22

2) Activity outcomes ..................................................................................................................... 22

3) Activity objectives .................................................................................................................... 22

4) Funding available ...................................................................................................................... 22

5) Timing ....................................................................................................................................... 23

Table A: Timing of an average grant opportunity ........................................................................... 23

6) Type of selection process .......................................................................................................... 23

7) Who is eligible for grant funding? ............................................................................................ 23

8) What activities and items are eligible for grant funding? ......................................................... 23

9) What activities and items are not eligible for grant funding? ................................................... 24

10) Selection criteria ....................................................................................................................... 24

11) Oversubscription / undersubscription ....................................................................................... 24

12) Contractual arrangements ......................................................................................................... 25

13) Reporting requirements ............................................................................................................. 25

14) Performance indicators ............................................................................................................. 25

Quantitative ...................................................................................................................................... 25

Annexure A2 – Drug and Alcohol Prevention ...................................................................................... 26


2) Activity outcomes ..................................................................................................................... 27

3) Activity objective ...................................................................................................................... 27


5) Timing ....................................................................................................................................... 28



8) Who is eligible for procurement funding? ................................................................................ 29


10) What activities and items are eligible for procurement funding? ............................................. 29


12) What activities and items are not eligible for procurement funding? ....................................... 30

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Quantitative ...................................................................................................................................... 31

Annexure A3 – Drug and Alcohol National Leadership ....................................................................... 33


2) Activity outcome ....................................................................................................................... 34

3) Activity objectives .................................................................................................................... 34


5) Timing ....................................................................................................................................... 35










Quantitative ...................................................................................................................................... 37

Part B Drug and Alcohol Program ........................................................................................................ 38

1. Drug and Alcohol Program: [insert name of Grant Opportunity ]Grant Opportunity. ............. 42

2. About the grant program ........................................................................................................... 43

About the [insert name of Grant Opportunity] ................................................................................ 44

[insert name of Grant Opportunity] outcomes ................................................................................. 44

3. Grant amount ............................................................................................................................ 44

4. Grant eligibility criteria ............................................................................................................. 45

Who is eligible to apply for a grant? ................................................................................................ 45

Who is not eligible? ......................................................................................................................... 46

What qualifications or skills are required? ...................................................................................... 47

5. Eligible grant activities ............................................................................................................. 47

What can the grant money be used for? ........................................................................................... 47

What the grant money cannot be used for? ...................................................................................... 47

6. The grant selection process ....................................................................................................... 48

The assessment criteria .................................................................................................................... 49

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7. Assessment of grant applications .............................................................................................. 50

Who will assess applications? .......................................................................................................... 50

Who will approve grants? ................................................................................................................ 50

8. The grant application process ................................................................................................... 51

Overview of application process ...................................................................................................... 51

Application process timing .............................................................................................................. 51

Completing the grant application ..................................................................................................... 52

Attachments to the application ........................................................................................................ 52

Grant applications from consortia .................................................................................................... 53

Questions during the application process ........................................................................................ 53

Further grant opportunities .............................................................................................................. 53

9. Notification of application outcomes ........................................................................................ 53

Feedback on your application .......................................................................................................... 54

10. Successful grant applications .................................................................................................... 54

The grant agreement ........................................................................................................................ 54

11. Announcement of grants ........................................................................................................... 55

12. Delivery of grant activities ........................................................................................................ 55

Your responsibilities ........................................................................................................................ 55

[Insert name of relevant Commonwealth entity]’s responsibilities ................................................. 56

Grant payments and GST ................................................................................................................. 56

Evaluation ........................................................................................................................................ 56

Acknowledgement ........................................................................................................................... 56

13. Probity ....................................................................................................................................... 57

Complaints process .......................................................................................................................... 57

Conflict of interest ........................................................................................................................... 57

Privacy: confidentiality and protection of personal information ..................................................... 57

Freedom of information ................................................................................................................... 59

14. Consultation .............................................................................................................................. 59

15. Glossary .................................................................................................................................... 60

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Part A 1. Program Overview

These guidelines provide an overview of the arrangement for the administration of the Drug and Alcohol Program (the Program).

Note: These guidelines may be varied from time-to-time by the Australian Government as the needs of the Program dictate. Amended guidelines will be published on the Department of Health’s (the department) website.

Program background As part of the 2014-15 Budget, the Australian Government decided to consolidate the Flexible Funds into a smaller number of clearly articulated themed programs to improve alignment to the Government’s priorities and directions.

The Program is comprised of the former Substance Misuse Service Delivery Grants Fund, Substance Misuse Prevention and Service Improvement Grants Fund, and Non Government Organisation Treatment Grants Program and Health Surveillance Fund.

The Program supports the Australian Government’s continued commitment to building safe and healthy communities by reducing the impact of drug and alcohol misuse to individuals, families and communities.

Program outcomes The Program aims to achieve improved health and social outcomes for individuals, families, and communities at risk of, or currently affected by, substance misuse in Australia.

Program objectives The objectives of the Program are to:

• Support drug and alcohol treatment services across Australia to reduce the impact of substance misuse on individuals, families, carers and communities;

• Support prevention and early intervention activities and promote evidence-based information about drug and alcohol through education;

• Support the development of drug and alcohol data to support evidence-based treatment national policy and service delivery; and

• Support service linkages between drug and alcohol treatment services and mental health services, as well as with social, educational and vocational long-term support services.

Funding The Australian Government has committed up to $684.947 million (GST exclusive) over four years for the Program, commencing in 2016-17. Amounts available for individual grant activities are identified in the specific Annexure for each activity. Annexures are attached to this document.

Up to $241.527 million (GST exclusive) of the committed funding under the Program will be provided through Primary Health Networks over four years from 1 July 2016 under the Primary Health Network Grant Program Guidelines, Annexure 2 – Drug and Alcohol Treatment Services, available here. Additionally, as announced by the Minister for Health and Minister for Sport, the Hon Greg Hunt on 3 March 2017, a further $42.6 million per annum will be provided to PHNs to commission additional drug and alcohol treatment services from 2017-18 to 2018-19.

Funds appropriated for the purpose of the Program may also be used for the procurement of work directly related to the purpose of the Program, such as evaluation, as long as it is approved in writing by the Commonwealth.

Funding amounts specified in forward years are indicative only and may be subject to change.

http://www.health.gov.au/internet/main/publishing.nsf/Content/F4F85B97E22A94CACA257F86007C7D1F/$File/Annexure%20A2%20-%20Drug%20and%20Alcohol%20Treatment%20Services.pdf

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2. Eligibility Who is eligible for grant funding? The following types of entities may be eligible for funding. Some grants may only be available to a subset of the below types of legal entity or restricted to selected applicants. See the Annexures for further information.

• Incorporated association incorporated under Australian state/territory legislation • Incorporated cooperative incorporated under Australian state/territory legislation • Aboriginal corporation registered under the Corporations (Aboriginal and Torres Strait

Islander) Act 2006 • Organisation established through specific Commonwealth or state/territory legislation • Company incorporated under the Corporations Act 2001 (Commonwealth of Australia) • Partnership • Trustee on behalf of a trust • Individual • Australian local government body • Australian state/territory government

The department recognises that, where appropriate, some organisations could form consortia to deliver activities.

Some grants may only be available to selected applicants as dictated by changing policy needs. Where the department restricts a grant opportunity to selected applicants, subsidiaries of those applicants may also apply, unless otherwise specified in the relevant grant opportunity. In such circumstances, subsidiaries will be required to provide proof of their relationship to the entity that was invited to apply for grant funding.

What activities are eligible for grant funding? Activities funded under the Program must be consistent with the outcomes and objectives in section 1 of these guidelines. Information about what specific grants may or may not be used for is available in the relevant Annexure for each activity:

• Drug and Alcohol Treatment Services – Annexure 1 • Drug and Alcohol Prevention – Annexure 2 • Drug and Alcohol National Leadership – Annexure 3

What activities are not eligible for grant funding? The following types of activities will not be funded under the Program:

• Purchase or repair of equipment or motor vehicles; • Retrospective items/activities; • Activities undertaken by political organisations; • Activities which subsidise commercial activities; and • Services or activities which promote or provide advice on how to engage with illicit drugs.

Funding will also not be provided to replace any funding currently provided by a state or territory government to a particular organisation for a specific purpose. For example, any Commonwealth funded activity should not duplicate and state or territory government funded activities.

Funding for capital works, such as the purchase of any land, the purchase or construction of a completely new premises, the demolition (whether or not followed by the replacement) of the majority of an existing premises, refurbishment of an existing building to make it fit for purpose, or works including minor capital works, may be funded under specific circumstances at the discretion of the Approver.

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3. Grant Application Process Overview of application process All grants grant opportunities will be undertaken in accordance with the Commonwealth Grants Rules and Guidelines (CGRGs) and will be consistent with the outcomes and objectives of the Program.

Grant Program Process Flowchart

GRANT OPPORTUNITY OPENS

The department advertises a grant opportunity or invites selected external entities to apply for funding under the Program.

SUBMIT AN APPLICATION

Applicant completes and submits an application.

APPLICATION ASSESSMENT The department assesses applications against Eligibility and Selection Criteria.

APPROVAL OF FUNDING

Advice is provided to the Approver on the merits of each application and the Approver makes a decision about the award of grants.

NOTIFICATION OF OUTCOMES AND AWARD OF GRANTS

The department advises applicants of the outcomes of their applications. Grant agreements are negotiated with and signed by successful applicants and the department. Unsuccessful applicants may

not be notified until grant agreements have been executed with successful applicants.

DELIVERY OF GRANT ACTIVITIES

Grant recipient undertakes the activity in accordance with the grant agreement and completes milestones and reporting requirements. The department makes payments, monitors progress and

collates reports.

EVALUATION The department evaluates the outcomes of the Program. The grant recipient provides information to

assist this evaluation.

Types of selection process There are a number of types of selection process that the department may undertake in order to award grants under the Program. In selecting the appropriate type of selection process, the department will consider the market for the specific activities to be funded as well as applying proportionality based on the complexity, value and urgency of available grants.

The department may use any of the following types of selection process to award grants under the Program. The Annexures identify the types of selection process that may be used for particular activities.

http://www.finance.gov.au/publications/fmg-series/3-commonwealth-grant-guidelines.html

http://www.finance.gov.au/publications/fmg-series/3-commonwealth-grant-guidelines.html

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Open competitive grant opportunities

Open competitive grant opportunities which will open and close to applications on nominated dates, with eligible applications being assessed against the selection criteria and then prioritised against other eligible applications for the available funding.

Targeted or restricted competitive grant opportunities

Targeted or restricted competitive grant opportunities which will open to a small number of potential grant recipients based on the specialised requirements of the granting activity or project under consideration.

Non-competitive open processes

Non-competitive, open processes under which applications may be submitted at any time over the life of the granting activity and are assessed individually against the selection criteria, with funding decisions in relation to each application being determined without reference to the comparative merits of other applications.

Demand driven processes

Demand-driven processes where applications that satisfy stated eligibility criteria receive funding, up to the limit of available appropriations and subject to revision, suspension or abolition of the granting activity.

Closed non-competitive processes

Closed non-competitive processes where applicants are invited to submit applications for a particular grant and the applications or proposals are not assessed against other applicants’ submissions, but assessed individually against other criteria.

One-off grants

Provision will be made under the Program for one-off grants and emergency payments, provided that they meet the outcomes and objectives of the Program.

One-off grants to be determined on an ad-hoc basis, usually by Ministerial decision.

Procurement

Procurement processes will be conducted in accordance with the Commonwealth Procurement Rules and will be independent of any grant processes.

Timing of Grant opportunities Application periods may vary depending on the complexity and urgency of grants, as well as the type of selection process. Dates and application periods will be confirmed in the grant opportunity. For further details of the frequency of grant opportunities see the Annexures.

Table 1 outlines the expected timing of an average grant opportunity.

Table 1: Timing of an average grant opportunity

Activity Timeframe*

Application period 6 weeks

Assessment of applications 3 – 6 weeks

Approval of outcomes of assessment 1-2 week

Award and negotiations of grant agreements 1-3 weeks

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Activity Timeframe*

Notification to unsuccessful applicants After execution of grant agreements

* Timeframes are indicative only.

How to apply for Grant funding For open rounds, applicants may obtain an grant opportunity from the department’s Tenders and Grants webpage. For targeted rounds the grant opportunity will be supplied to the applicant.

In addition to this Program Guidelines document, the grant opportunity may include the following:

Grant Opportunity

The grant opportunity provides details of each grant being offered, including but not limited to:

• objectives and requirements of the grant; • activities that are eligible and ineligible for funding; • additional eligibility requirements; • opening and closing dates for applications; • a guide to the amount of funding available for each grant; and • instructions on how to submit an application for funding.

Application form

The application form gathers information about the applicant and contains the selection criteria upon which applications will be assessed. Applicants should complete and return the application form to the department in accordance with the requirements of the grant opportunity. Submitting an application does not guarantee funding.

Sample grant agreement

The sample grant agreement is comprised of a set of standard terms and conditions, supplementary conditions for each activity as required, and a schedule specific to the individual grant. Preferred applicants will be required to sign a grant agreement with the Commonwealth, as represented by the department, before receiving any grant funding. The specific requirements of any grant agreement offered to applicants who are recommended for funding may vary from those in the sample, based on a risk assessment of the applicant, and the specific activities to be delivered under the grant.

Applicant responsibilities Applicants are responsible for ensuring that their applications are complete and accurate and submitted to the department in accordance with the requirements of the grant opportunity.

Applicants should contact the department immediately if they discover an error in an application after submission. The department may, at its discretion, request clarification or additional information from applicants that does not alter the substance of an application in response to an omission or error of form. However, the department is not bound to accept any additional information, or requests to change submissions, from applicants after the application closing time.

Unless otherwise specified in the grant opportunity, applicants may request clarification information from the department at any time between the grant opportunity open date and last date for questions, as advertised in the grant opportunity.

Submitting an application Applications should be submitted to the department by the date specified in the grant opportunity and should meet all the requirements outlined below.

http://www.health.gov.au/internet/main/publishing.nsf/Content/Listing+of+Tenders+and+Grants-1

http://www.health.gov.au/internet/main/publishing.nsf/Content/Listing+of+Tenders+and+Grants-1

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Applications should address all of the relevant criteria to be considered for funding. These criteria are outlined in the grant opportunity. It is important to complete each section of the application form and use the checklist to make sure each requirement has been considered.

Applications must be submitted in English on the official application form as specified in the grant opportunity.

4. Assessment of Grant Applications General assessment principles Applications for funding under the Program will be assessed against the selection criteria outlined in the Annexures. Selection criteria will incorporate the following principles:

• Activity – how the application aligns with the objectives of the Activity; • Capacity – the applicant’s capacity to deliver the activity/ies in an effective and efficient manner; • Outcomes and benefits – the expected outcomes of the activity/ies; and • Value with relevant money – the overall value for money offered by the application.

How will applications be assessed? The department will establish an Assessment Committee to assess applications and make a recommendation to the Approver on which applicants to fund. The Assessment Committee will be comprised of representatives of the Program policy division, specialist grant application assessors and grant managers. Depending on the volume and complexity of grant applications received, the Assessment Committee may utilise surge capacity to assist with the assessment. The Assessment Committee may also seek input from external advisors to inform the assessment process. Any non-APS personnel involved in the assessment will be treated as agency staff in accordance with Part 1, section 2.8 of the CGRGs.

The selection process is undertaken in two stages.

Stage 1 – Eligibility Criteria and Application Compliance Each applicant must satisfy all Eligibility Criteria and any application compliance requirements, specified in the relevant grant opportunity, in order to be considered for further assessment. The chairperson of the Assessment Committee will make the final decision on eligibility and compliance.

At the discretion of the Approver, eligibility criteria may be waived where the department receives an insufficient number of suitable applications for grant funding under a grant opportunity or to fill gaps in service provision. The department may also contact applicants to clarify their eligibility, at the discretion of the chair of the Assessment Committee responsible for assessing an application for grant funding.

Stage 2 – Selection Criteria Only applications that satisfy all Eligibility Criteria (if any) will proceed to Stage 2 and be assessed against the Selection Criteria. Applications will then be assessed to ensure value with relevant money is achieved in line with the outcomes and objectives of the Program.

For open competitive grant opportunities, the Selection Criteria will be assessed against the rating scale in Table 2.

The assessment against the Selection Criteria will be used to identify those applicants with the capability to best meet the policy priorities of the Program, and may include a ranking of applicants.

The department intends to recommend applicants on the principle of giving preference to higher ranked applicants, but the department reserves the right to recommend a lower ranked applicant over a higher ranked applicant where this better reflects the policy priorities of the Program, and provides better value with relevant money.

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Applicants should also note that, where the assessment process does not identify a preferred applicant, the department reserves the right to approach and/or broker an arrangement between one or more funding applicants and/or other interested parties.

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Table 2: Competitive assessment rating scale

Rating (for individual criterion) Score

Excellent – response to this criterion, including all sub-criteria, exceeds expectations. Additional evidence* is available and confirms consistent superior performance against this criterion.

9-10

Good – response to this criterion addresses all or most sub-criteria to a higher than average standard. Some additional evidence* is available and confirms good performance against this criterion.

7-8

Average – response against this criterion meets most sub-criteria to an average but acceptable level. Some additional evidence* is available and provides some support for claims against this criterion.

5-6

Poor – poor claims against this criterion, but may meet some sub-criteria. Additional information available may be lacking detail and/or not directly relevant to the criterion.

2-4

Does not meet criterion at all – response to this criterion does not meet expectations or insufficient or no information to assess this criterion. Little or no additional evidence* available.

0-1

*Additional evidence may include specified attachments to the application, previous departmental experience with this applicant, or information from other responses in the application.

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For closed non-competitive processes and one-off grants, the Selection Criteria will be rated against the scale in Table 3.

Table 3: Non-competitive assessment rating scale

Rating Description

Highly Suitable Demonstrates an exceptional understanding of criterion and associated issues. A highly capable response/solution, with demonstrated experience that significantly exceeds that required to perform the work.

Suitable Demonstrates a satisfactory understanding of the criterion and associated issues. A mostly capable response/solution, with some experience. May have a minor level of risk associated with the proposal. Panel considers the risk to the Government is manageable.

Unsuitable Fails to demonstrate an acceptable understanding of the criterion and/or the associated issues. A poor response/solution with minimal to no experience. Significant level of risk associated with the proposal.

Specific assessment details will be explained further in each grant opportunity.

Where the number of suitable applications is greater than the available funding, applications will be ranked in order of policy priority.

Value with relevant money All funds provided under the Program for grants and procurement activities are considered relevant money. The Australian Government is required to make proper use of public resources, including achieving value with relevant money. The department considers the following factors in assessing whether a grant will achieve value with relevant money:

• how well the application aligns with the outcomes and objectives of the Program; • whether the requested grant will achieve something worthwhile that would not occur without the

grant; • the applicant’s relevant skills and prior experience delivering similar activities; • the applicant’s past performance in delivering grant activities funded by the Commonwealth; • referee reports; • the systems and procedures that the applicant has in place for effectively managing grant funds

and achieving objectives; • the applicant’s approach to risk management; • the quantum of funds requested to deliver the grant activities; and • the allocation of grant funds indicated in any indicative budget that forms part of the funding

application.

Approval of grant funding Following an assessment of the applications by the Assessment Committee, advice will be provided by the Committee chair to the Funding Approver on the merits of the application/s.

The Approver will consider whether the proposal will make an efficient, effective, ethical and economical use of Commonwealth resources, as required by Commonwealth legislation, and whether any specific requirements will need to be imposed as a condition of funding.

Funding approval is at the discretion of the Approver.

The Approver may vary for each grant opportunity under the Program, based on the profile and value of grants, and will be identified in the grant opportunity.

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Application outcomes

Notification of application outcomes

The department will advise all applicants of the outcomes of their applications in writing following a decision by the Approver. Unsuccessful applicants may not be notified until grant agreements have been entered into with the successful applicant/s. Advice to applicants who are recommended for funding will contain details of any specific conditions attached to the funding offer. Funding approvals will also be listed on the department’s website.

Feedback on applications

Unsuccessful applicants may request feedback on their applications from the department within a period of two months of being advised of the outcome. The department will provide feedback in writing within one month of receiving a request for feedback.

Award of grants and contracting arrangement Award of grants is at the sole discretion of the Approver.

Applicants who are recommended for funding will be required to enter into a grant agreement with the Commonwealth (represented by the department) before receiving any grant funding. The department may use the Department of Health Standard Funding Agreement, the Commonwealth Low Risk Grant Agreement or the Department of Health Capital Works Standard Funding Agreement to fund grants under the Program. The standard terms and conditions for the designated agreement will apply and cannot be changed. The department may apply supplementary conditions to a grant agreement that override standard conditions or add additional conditions, based on the requirements of the specific activity and a risk assessment of the organisation delivering the activity.

There may be specific conditions attached to the funding approval required as a result of the assessment process or the risk rating of an organisation or imposed by the Approver. These will be identified in the offer of funding or during funding agreement negotiations.

The department will negotiate with applicants who are recommended for funding with the aim of having grant agreements signed shortly after a decision by the Approver.

Applicants will not be considered successful and should not make financial commitments in expectation of receiving funding until a grant agreement has been executed with the Commonwealth.

5. Delivery of Grant Activities Grant recipient responsibilities Grant recipients must carry out each activity in accordance with these Program guidelines and the obligations contained in the grant agreement, which includes the standard terms and conditions, any supplementary conditions and the schedule. The schedule will outline the requirements specific to the funded activity.

Grant recipients are responsible for:

• ensuring that the terms and conditions of the grant agreement are met and that the activity is managed in efficient and effective manner;

• ensuring the effective and efficient use of grant funds; • employing and managing staff required to deliver the activity; • maintaining contact with the department and advising of any emerging issues that may impact on

the success of the activity; • identifying, documenting and managing risks and putting in place appropriate mitigation

strategies; • meeting milestones and other timeframes specified in the grant agreement;

http://www.health.gov.au/internet/main/publishing.nsf/Content/gps-standard-funding-agreement

http://www.finance.gov.au/financial-framework/financial-management-policy-guidance/grants/grant-agreement-template-project.html


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• complying with record keeping, reporting and acquittal requirements in accordance with grant agreement;

• participating in activity evaluation as necessary for the period specified in the grant agreement; and

• ensuring that activity outputs and outcomes are in accordance with the grant agreement.

Grant payments The department will make payments to grant recipients in accordance with the executed grant agreement. The department’s default invoice process is Recipient Created Tax Invoices (RCTI).

Reporting requirements Applicants should note that if successful, some details of their Activity/ies (including an activity outline, the applicant’s name and the amount of funding awarded) will be made public and posted on the department's website as part of department’s legislative reporting obligations under the Commonwealth Grants Rules and Guidelines.

Grant recipients must provide the department with the reports for an activity containing the information, and at the times and in the manner specified in the grant agreement. Specific reporting requirements will form part of the grant recipient’s agreement with the department.

Default reporting requirements for each activity are listed in the relevant Annexure, however reporting requirements vary depending on the department’s risk assessment of each grant recipient. Risk assessments may be reviewed by the department at any time during the life of the grant agreement and reporting requirements may be adjusted accordingly.

The department is responsible for assessing the information provided in progress reports and monitoring the performance of grant recipients.

Risk Management The department is committed to a comprehensive and systematic approach to the effective management of risk, including adverse effects and potential opportunities. Contractual arrangements will be managed in proportion to the level of risk to the Commonwealth. As such, applicants and grant recipients may be subject to a risk management assessment, by the department, prior to the offer of any contractual arrangement and periodically thereafter.

Grant agreements may require supplementary conditions and increased reporting frequency as a result of the department’s risk assessment of a grant recipient for the delivery of a specific activity. The department may at any time review this risk assessment and vary the grant agreement to introduce or remove additional requirements. Grant recipients may receive different risk ratings for the delivery of different activities and the requirements of each grant agreement will reflect the risk associated with the delivery of that activity.

Grant recipients are responsible for managing risks to their own business activities and priorities. The department manages risks to Australian Government policy outcomes and relevant money through its management of grants under the Program.

Program Evaluation An Evaluation Report may be required as part of the final report to assess the effectiveness of the Activity in delivering the required outputs and deliverables against the performance measures, and how the Activity has contributed to Program objectives and outcomes. If required, the Evaluation Report should identify the learnings and provide recommendations to improve future delivery of similar activities.

Branding All publications related to grants under the Program should acknowledge the Commonwealth as follows:

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“This [name of activity] is supported by funding from the Australian Government under the Drug and Alcohol Program.”

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6. Probity and Legislation The Australian Government is committed to ensuring that the process for providing funding under the Program is transparent and in accordance with these guidelines.

Complaints Process The department’s Grant and Procurement Complaints Procedures apply to complaints that arise in relation to grant and procurement processes. It covers events that occur between the time the grant opportunity documentation is released to potential applicants and the date of contract execution, regardless of when the actual complaint is made. The department requires that all complaints relating to a grant or procurement process must be lodged in writing.

Any enquiries relating to funding decisions for the Program should be directed to [email protected].

Conflict of interest A conflict of interest may exist if departmental staff, any member of an advisory panel or expert committee, and/or the applicant or any of its personnel:

• has a relationship (whether professional, commercial or personal) with a party who is able to influence the application assessment process, such as a departmental officer;

• has a relationship with, or interest in, an organisation, which is likely to interfere with or restrict the applicants from carrying out the proposed activities fairly and independently; or

• has a relationship with, or interest in, an organisation from which they will receive personal gain as a result of the organisation receiving funding under the Program.

Each applicant will be required to declare as part of their application, existing conflicts of interest or that to the best of their knowledge there is no conflict of interest, including in relation to the examples above, that would impact on or prevent the applicant from proceeding with the activity or any grant agreement it may enter into with the Australian Government.

Where a party subsequently identifies that an actual, apparent, or potential conflict of interest exists or might arise in relation to an application for funding, external parties must inform the department in writing immediately. The chair of the Assessment Committee will be made aware of any conflicts of interest and will handle them in compliance with departmental policies and procedures.

Conflicts of interest for departmental staff will be handled in compliance with the Australian Public Service Commission policies and procedures.

Privacy - confidentiality and protection of personal information Each applicant will be required, as part of their application, to declare their ability to comply with the Privacy Act 1988, including the 13 Australian Privacy Principles, and impose the same privacy obligations on any subcontractors they engage to assist with the activity.

The grant agreement will impose obligations on the grant recipient with respect to special categories of information collected, created or held under the grant agreement. The grant recipient is required to seek the department’s consent in writing before disclosing confidential information.

Freedom of information All documents in the possession of the department, including those in relation to the Program, are subject to the Freedom of Information Act 1982 (FOI Act).

The purpose of the FOI Act is to give members of the public rights of access to information held by the Australian Government and its agencies. Under the FOI Act, members of the public can seek access to documents held by the department. This right of access is limited only by the exceptions and exemptions necessary to protect essential public interests and private and business affairs of persons in respect of whom the information relates.

All FOI requests must be referred to the Freedom of Information Coordinator in writing.

http://www.health.gov.au/internet/main/publishing.nsf/Content/pfps-complaintsprocedures

mailto:[email protected]

http://www.apsc.gov.au/publications-and-media/current-publications/aps-values-and-code-of-conduct-in-practice/conflict-of-interest



http://www.comlaw.gov.au/Details/C2014C00757

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By mail: Freedom of Information Coordinator FOI Unit Department of Health GPO Box 9848 CANBERRA ACT 2601

By email: [email protected]

For more information about making a freedom of information request for access to documents in the possession of the department, please visit the department’s Freedom of Information webpage.

Legislation and delegation Australian Public Service staff involved in grants administration are accountable for complying with the Commonwealth Grants Rules and Guidelines (CGRGs) and other policies and legislation that interact with grants administration.

The Approver is the Minister for Health or the First Assistant Secretary, Population Health and Sport Division or the relevant Branch Head. In approving the award of a grant, the Approver must consider whether the grant activity will make an efficient, effective, ethical and economical use of Australian Government resources, as required by Commonwealth legislation. The Approver may require that specific conditions be imposed upon any offer of funding.

7. Consultation The department has sought feedback from stakeholders with regard to the development of grant Program guidelines and grants administration arrangements. This consultation indicated stakeholder expectations which contributed to the development of the Program and these guidelines.

8. Taxation implications Applicants are responsible for ensuring compliance with appropriate taxation legislative requirements, including the GST and income tax implications of receiving a grant (where applicable). Applicants are advised to seek independent professional advice about their taxation obligations before applying for a grant under the Program.

For general guidance on the taxation treatment of grants and funding from the Commonwealth, applicants may wish to refer to the Australian Taxation Office website.


http://www.health.gov.au/internet/main/publishing.nsf/Content/foi-about

http://www.finance.gov.au/resource-management/grants/

http://www.ato.gov.au/

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9. Glossary of Terms the Activity means the specific activity or project that is the subject of a grant.

grant opportunity means any formal opportunity to apply for grant funding under the Program.

the Approver means the person with the authority to award funding under the Program.

Assessment Committee means the panels of assessment staff formed to assess applications for funding.

compliance requirements means any mandatory requirements around the completion and submission of applications for grants under the Program.

the department means the Australian Government Department of Health, unless otherwise stated.

Eligibility Criteria means the minimum mandatory requirements which applicants must meet in order to qualify for a grant under a grant opportunity.

financial year means a 12 month period beginning on 1 July of one year and ending on 30 June the following year.

grant agreement means a contractual arrangement between a grant recipient and the Commonwealth, as represented by the department, including the terms and conditions of the department’s Standard Funding Agreement, any supplementary conditions and the schedule for a specific activity.

grant recipient means an organisation funded by the Commonwealth to deliver a grant activity.

the Program means the Drug and Alcohol Program.

relevant money means money standing to the credit of any bank account of the Commonwealth or a corporate Commonwealth entity or money that is held by the Commonwealth or a corporate Commonwealth entity.

selection criteria means the set of questions against which applicants’ suitability to deliver a grant activity will be assessed by the department.

selection process means the method from the list in Part A, section 0 used to select grant recipients.

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ANNEXURE A1 – DRUG AND ALCOHOL

TREATMENT SERVICES

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1) Activity summary The Drug and Alcohol Treatment Services Activity (the Activity) forms part of the Program.

The Activity contributes to the Program’s objectives by:

• Supporting drug and alcohol treatment services across Australia to provide better outcomes for individuals, families, carers and communities.

2) Activity outcomes The Activity aims to:

• Provide increased access to a range of evidence-based drug and alcohol treatment services; • Strengthen the capacity of the drug and alcohol sector to achieve improved health and social

outcomes for those seeking treatment for drug and/or alcohol misuse; and • Reduce the impact associated with substance misuse for individuals, families and

communities.

3) Activity objectives The objectives of the Activity are to:

• Provide funding support to drug and alcohol treatment services to deliver evidence-based and best practice treatment modalities for drug and alcohol misuse; and

• Provide funding to entities to deliver activities that strengthen the capacity of the drug and alcohol treatment sector to address the needs of individuals, families, carers and communities affected by drug and alcohol misuse.

4) Funding available Up to $302.458 million (GST exclusive) over 4 years, commencing in 2016-17, has been allocated to this Activity from the grant program. The duration and value of available grants will be advised in the relevant grant opportunity.

Commonwealth funding to drug and alcohol treatment services will also be provided through Primary Health Networks under the Primary Health Network Grant Program Guidelines, Annexure 2 – Drug and Alcohol Treatment Services, available here.

http://www.health.gov.au/internet/main/publishing.nsf/Content/F4F85B97E22A94CACA257F86007C7D1F/$File/Annexure%20A2%20-%20Drug%20and%20Alcohol%20Treatment%20Services.pdf

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5) Timing Table A: Timing of an average grant opportunity

Grant opportunities will be made available as determined by the Commonwealth in line with Government priorities.

Activity Timeframes*


Assessment of applications 3 – 6 weeks after closing

Approval of outcomes of assessment 1 – 2 weeks after assessment

Award and negotiation of grant agreements 1 – 3 weeks after approval



6) Type of selection process Eligible organisations are able to apply for funding through open competitive, targeted competitive or closed non-competitive grant opportunities and one off/unsolicited proposals. The majority of grant funding for the Activity will be made available through open competitive grant opportunities.

Definitions of each type of selection process can be found in Part A, section 0. The grant opportunity provides detailed information on the applicable type of selection process.

Procurement funding will also be eligible under this Annexure and will be conducted in accordance with the Commonwealth Procurement Rules. Procurements will be independent of any grant processes. The eligibility of organisations and activities for procurement will be determined by assessing against clauses (7), (8) and (9) below.

7) Who is eligible for grant funding? Unless otherwise specified in the grant opportunity for a grant, Part A, section 0 of this document identifies the entity types which are eligible for funding.

Eligibility criteria will not be waived in any circumstances, however the department may contact applicants to clarify their eligibility at the discretion of the chair of the Assessment Committee responsible for assessing an application for grant funding.

8) What activities and items are eligible for grant funding? Applications for funding should be consistent with the outcomes and objectives of the Activity. The following activities and items are eligible to receive funding:

• Drug and alcohol treatment service delivery; o i.e. where a representative from the particular entity meets face to face with the

individual client and provides a service during this interaction. Services may include (but are not limited to) withdrawal treatment, assessments, brief interventions, counselling and residential programs (where medical treatment and counselling are provided in-house). Generally, services are provided by medical practitioners and nurses, with support staff ideally being qualified with a Certificate IV in Drug and Alcohol Treatment.

• Online drug and alcohol treatment activities and telephone information and referral services; and

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• Capacity building activities with the purpose of strengthening the drug and alcohol sector to improve service outcomes for people with problems relating to drug and alcohol misuse; i.e. through: o developing and maintaining national guidelines and resources regarding best practice

diagnosis, referral and treatment standards for the drug and alcohol treatment services sector;

o improving networking across the sector and between services through knowledge and information sharing;

o integrating drug and alcohol treatment services with services provided in the broader health system, including primary care and mental health services, to identify and implement clearer referral pathways;

o obtaining and maintaining appropriate industry standards and qualifications; and o piloting innovative treatment models of care.

Some grant opportunities may target a subset of these activities. In such cases the grant opportunity will identify which activities are eligible for funding.

Capital works, such as the purchase of any land, the purchase or construction of a completely new premises, the demolition (whether or not followed by the replacement) of the majority of an existing premises, refurbishment of an existing building to make it fit for purpose or works including minor capital works may be funded under this Activity under specific circumstances at the discretion of the Approver.

9) What activities and items are not eligible for grant funding? The following activities and items are not eligible for funding under this Activity:

• Activities that duplicate existing Commonwealth funded activities; • Activities that duplicate or replace existing state or territory government-funded activities;

and • Unapproved pharmacotherapy treatments intended for use outside an approved clinical trial

setting.

10) Selection criteria Applications for funding under this Activity may be assessed against some or all of the following selection criteria:

• Capacity to deliver the expected outcomes of the activity/ies within the proposed timeframe; • Demonstrated evidence that the proposed quantum of services can be delivered within the

proposed budget; • Capacity to deliver the objectives of the Activity in an effective and efficient manner

demonstrating good governance arrangements; and • Value for money.


11) Oversubscription / undersubscription Where the number of suitable applications is greater than the available funding, suitable applications will be shortlisted against the value with relevant money considerations in Part A, section Error! Reference source not found.. In the event that negotiations are unsuccessful with any applicant who is recommended for funding, or additional funds become available, the department may offer a grant agreement to other applicants who have been shortlisted, at the sole discretion of the Approver.

Where there are insufficient suitable applications received under a grant opportunity, the department may seek to fill any gaps in policy objectives through targeted approaches to selected applicants.

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12) Contractual arrangements Successful applicants will be required to enter into a grant agreement with the Commonwealth (represented by the department). The terms and conditions of the Standard Funding Agreement will apply to grants funded under this Activity.

13) Reporting requirements Specific reporting requirements will form part of each funded organisation’s agreement with the department. The default reporting requirements for the Activity include:

• Activity work plan; • Six monthly performance reporting; • Annual income and expenditure reports; and • Final report.

Reporting requirements may vary depending on the department’s risk assessment of each grant agreement. Risk assessments may be reviewed by the department at any time during the life of the grant agreement and reporting requirements may be adjusted accordingly.


Grant recipients may also be required to report against a mixture of quantitative and qualitative performance indicators which measure how well the grant activities contribute to the objectives of the Activity and the outputs required in the individual grant agreement. Specific performance indicators with agreed performance targets will be included in the grant agreement.

14) Performance indicators Grant recipients will be required to report against the following performance indicators in their performance reports for the Activity:

Quantitative • Number of clients treated during the reporting period; • Number of treatment episodes completed during the reporting period; • Number of treatment episodes that ceased prematurely during the reporting period; and • Number of clients placed on a waiting list during the reporting period;

Qualitative

• Observed trends in the principle drug of concern amongst clients during the reporting period; • Observed trends in demographics of clients seeking treatment at the service during the

reporting period; • Trends in the primary treatment types being utilised by the service; • Linkages that have been established or maintained during the reporting period; and • General reasons reported for early cessation of treatment.


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ANNEXURE A2 – DRUG AND ALCOHOL PREVENTION

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1) Activity summary The Drug and Alcohol Prevention Activity (the Activity) forms part of the Program.


• Supporting prevention and early intervention activities relating to drug and alcohol misuse and promoting evidence-based information and education;

• Supporting the development of the evidence-base behind drug and alcohol treatment service delivery and associated national policies;

• Supporting the development and collection of national drug and alcohol related data and the production of associated reports; and

• Supporting the current and emerging priorities of the Government with respect to drug and alcohol misuse through procurement activities as required, including the promotion of evidence-based information about drugs and alcohol through social marketing campaigns.

2) Activity outcomes The Activity aims to:

• Build knowledge, awareness and capacity of the drug and alcohol sector and community to respond to substance misuse and related health and social issues amongst the drug and alcohol sector and broader communities;

• Improve access to early intervention and information support for individuals (and their families) at risk – or in the early stages – of developing problematic use of drugs and/or alcohol;

• Reduce the prevalence and severity of drug and/or alcohol misuse in Australian communities; • Enhance the capacity of the sector to undertake drug and alcohol research, informing national

efforts to address substance misuse; • Monitor trends in drug and alcohol use and harms and community attitudes through regular

national and targeted data collections to inform evidence based drug and alcohol policy and prevention activities;

• Identify early intervention and preventative health needs through evidence-based approaches which encompass research and formative evaluation (i.e. evaluations are conducted through the study);

• Enhance knowledge on treatment approaches for emerging drugs of concern, including supporting research on innovative treatment models;

• Increase community awareness of substance misuse and related health and social impacts; • Meet current and emerging Government priorities related to drug and alcohol misuse through

procurement activities as required; • Support clinical research into new treatment options, including training health professionals

in new treatment methods and evaluating new treatment methods for emerging drugs of concern; and

• Provide outcomes of key research projects to the drug and alcohol treatment research to the sector.

3) Activity objective The objective of the Activity is to:

• Provide funding to support delivery of prevention and early intervention activities targeting

drug and alcohol misuse; • Provide funding to support entities in undertaking research, data collection, and information

activities relating to drug and/or alcohol misuse;

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• Provide funding for entities to develop and implement social marketing campaigns to promote evidence based messages about drugs and alcohol (i.e. delivery of the National Drugs Campaign) through television, internet, social media and radio advertising;

• Procure services to contribute to the development and expansion of national drug and alcohol related data sets to enable continued availability to drug and alcohol prevalence and harms trend data over time through national and sentinel data collections; and

• Procure services to meet current and emerging Government priorities related to drug and alcohol misuse, as required.

4) Funding available Up to $137.335 million (GST exclusive) over 4 years, commencing in 2016-17, has been allocated to this Activity from the grant program. The duration and value of available grants will be advised in the relevant grant opportunity.

5) Timing Table B: Timing of an average grant opportunity









6) Type of selection process Eligible organisations are able to apply for funding through open competitive, targeted competitive or closed non-competitive grant opportunities and one-off/unsolicited proposals.




Eligibility criteria will not be waived in any circumstances, however the department may contact applicants to clarify their eligibility at the discretion of the chair of the Assessment Committee responsible for assessing an application for grant funding.

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8) Who is eligible for procurement funding? Unless otherwise specified in the grant opportunity for a grant, Part A, section 2.1 of this document identifies the entity types which are eligible for funding.

At the discretion of the Approver, eligibility criteria may be waived where the department receives an insufficient number of suitable applications for procurement funding under a grant opportunity or to fill gaps in service provision. The department may also contact applicants to clarify their eligibility, at the discretion of the chair of the Assessment Committee responsible for assessing an application for grant funding.


• Online information, referral and support services for individuals, families, carers, and communities affected by drug and/or alcohol misuse;

• Telephone information referral and support services for individuals, families, carers, and communities affected by drug and/or alcohol misuse;

• Production and development of research, information and educational materials to promote evidence-based information to schools, drug and alcohol treatment services and other health professionals through online means;

• Engagement with the education and sports sectors to raise awareness and support behaviour change in children with respect to substance misuse;

• Research activities relating to drug and/or alcohol misuse, including research on transitioning evidence-based treatment methods into clinical practice through education, training and clinical placements;

• Targeted data collection and trend analysis / monitoring activities relating to drug and alcohol misuse;

• Identification and reporting of emerging data trends of local and national concern in the illicit drug markets;

• Translating prevention and early intervention research into practice, enhancing the evidence-base on drug and alcohol prevention and early intervention;

• Building community networks and linkages that support communities to respond to drug and alcohol misuse; and

• Building community capacity to undertake education and prevention activities to create an environment that reduces drug and alcohol misuse.


10) What activities and items are eligible for procurement funding? Applications for funding should be consistent with the outcomes and objectives of the Activity. The following activities and items are eligible to receive funding:

• Development and implementation of social marketing campaigns that comply with the Guidelines on Information and Advertising Campaigns by non-corporate Commonwealth entities (2014) and related activities;

• Stakeholder engagement and linkages across programs; • Support for the development, coordination and review of strategies, guidelines and frameworks

to support activities in the Program; • Collection and analysis of national drug and alcohol prevalence and related harms data; • Evaluation of the Program or Activities; • Secretariat activities; • Support projects undertaken by Portfolio agencies that meet the objectives of the Program;

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• Public relations activities including the development of media opportunities and launching of websites; and

• Other procurement activities required to meet current and emerging Government priorities related to drug and alcohol misuse.



• Activities that duplicate existing Commonwealth funded activities; • Activities that duplicate or replace existing state or territory government-funded activities; • Activities that do not primarily relate to drug and alcohol misuse; and • Capital works, such as the purchase of any land, the purchase or construction of a completely

new premises, the demolition (whether or not followed by the replacement) of the majority of an existing premises, refurbishment of an existing building to make it fit for purpose or works including minor capital works.

12) What activities and items are not eligible for procurement funding? • Activities that duplicate existing Commonwealth funded activities; • Activities that duplicate or replace existing state or territory government-funded activities; • Activities that do not primarily relate to drug and alcohol related harms; and • Capital works, such as the purchase of any land, the purchase or construction of a completely

new premises, the demolition (whether or not followed by the replacement) of the majority of an existing premises, refurbishment of an existing building to make it fit for purpose or works including minor capital works.




demonstrating good governance arrangements; and • Value for money.




31







Quantitative Organisations will deliver a specified number of project deliverables as per each project plan. This may include:

• Collation and provision of data which demonstrates the number of people assisted, the number of assistance events provided and the result for the client.

• Data on the distribution of resources in hard copy and online, the number of downloads of resources and or searches for information in online environments on content specific to the funding project.

• Geographic data on service delivery, cohort and sub populations assisted by region/rural/remote locations.

• Reporting of expenditure against agreed Budgets items for specified activities, as well as for the entire project funding

• Quantitative evaluation processes undertaken as part of the specified funded project.

Qualitative

Consistent with the agreed project plan and deliverables, performance will be measured by:

• Provision of agreed research and information to enable the Commonwealth to consider its response to prevalent, persistent and harmful emerging substances and provide readily accessible evidence-based, best practice treatment and treatment modalities consistent with the requirements of the specific funding agreement(s);

• Independent review and or evaluation, where appropriate, to ensure the appropriateness of deliverables and fit for purpose, as specified in the finding agreement.

• Provision of evidence based innovative and effective treatment interventions including for emerging substances and which are developed and evaluated with research outcomes provided to the Commonwealth;

• Provision of appropriately tested effective social marketing campaign materials which are evaluated and results provided to the department;


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• Services are procured to develop and expand national drug and alcohol data collections, enabling the continued availability of trend data on the prevalence and harms associated with drug and alcohol use. Data reports provided to the standards and timeframes stipulated in the relevant funding agreements; and

• Provision of support for health professionals and healthcare workers in the drug and alcohol and primary health care sectors is provided in the form of training, education and information services as described in funding agreements and in accordance with indicators identified in the respective agreement, with the relevant organisation.

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ANNEXURE A3 – DRUG AND ALCOHOL

NATIONAL LEADERSHIP

34

1) Activity summary The Drug and Alcohol National Leadership Activity (the Activity) forms part of the Program.


• Supporting the development and delivery of evidence-based drug and alcohol treatment service delivery and national policy through advisory mechanisms.

2) Activity outcome The Activity aims to:

• Improve the development of national policies, strategic frameworks, and planning tools related to drug and alcohol treatment service delivery, early intervention and prevention of drug and/or alcohol misuse, ensuring policy-making is informed by evidence and experts from the drug and alcohol sector.

3) Activity objectives The objectives of the Activity are to:

• Provide funding to entities for the purpose of reporting on, providing advice, and making recommendations regarding emerging priorities within the drug and alcohol sector and related issues. These recommendations will be provided for the benefit of the Department of Health and Commonwealth Government in developing relevant and effective national drug and alcohol policies;

• Provide funding to entities for the purpose of developing national planning tools and strategic frameworks for the Commonwealth; and

• Provide funding to entities for the purpose of expanding the knowledge base of the Department of Health and Commonwealth Government with respect to drug and/or alcohol misuse.

4) Funding available Up to $5 million (GST exclusive) over 4 years, commencing in 2016-17, has been allocated to this Activity from the grant program. The duration and value of available grants will be advised in the relevant grant opportunity.

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5) Timing Table A: Timing of an average grant opportunity









6) Type of selection process Eligible organisations are able to apply for funding through open competitive, targeted competitive, closed non-competitive grant opportunities or one-off/unsolicited proposals. The bulk of grant funding for the Activity will be made available through targeted competitive grant opportunities.




At the discretion of the Approver, eligibility criteria may be waived where the department receives an insufficient number of suitable applications for grant funding under a grant opportunity or to fill gaps in service provision. The department may also contact applicants to clarify their eligibility, at the discretion of the chair of the Assessment Committee responsible for assessing an application for grant funding.


• Update and development of national policies, strategic frameworks, and planning tools related to drug and alcohol treatment service delivery and early intervention and prevention of drug and/or alcohol misuse;

• Provision of advice to oversee and manage the ongoing work of the National Drug Strategy 2016-2025 (i.e. the Ministerial Council/Forum); and

• Provision of expert advice regarding drug and alcohol issues, including advice on emerging issues and new substances (i.e. The Australian National Advisory Council on Alcohol and Drugs).

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• Activities that duplicate existing Commonwealth funded activities; • Activities that duplicate or replace existing state or territory government-funded activities; • Activities that do not primarily relate to drug and alcohol misuse; and • Capital works, such as the purchase of any land, the purchase or construction of a completely new

premises, the demolition (whether or not followed by the replacement) of the majority of an existing premises, refurbishment of an existing building to make it fit for purpose or works including minor capital works.




demonstrating good governance arrangements; and • Value for money. Specific assessment details will be explained further in each grant opportunity.








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Quantitative • Organisations will deliver a specified number of project deliverables as per each project plan.

This may include: o the provision of evidence-based planning tools; o evidence based recommendations regarding drug and alcohol related priorities and

issues o draft strategies or frameworks o consultation plans and approaches o provision of data and/or research outcomes o reporting of expenditure against agreed Budgets items for specified activities, as well

as for the entire project funding o quantitative evaluation processes undertaken as part of the specified funded project

Qualitative

• All parties contracted under this Annexure agree to a work plan and contribute to positive working relationships between national advisory bodies, the department and the Minister’s Office that contribute to effective policy development. This will be measured through evaluation of the outcomes;

• Projects that are delivered through the ANACAD work plan that contribute to the drug and alcohol policy objectives of the government. The quality and performance of these activities will be measured through evaluation and monitoring of the deliverables in each funding agreement.

• Establishment of a Ministerial Council/Forum which provides policy advice to the Government through biannual meetings. This will be performed through pragmatic governance arrangements that minimise duplication and maximise efficiencies in the Commonwealth and State and Territories’ investment in the drug and alcohol sector.

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SAMPLE TEMPLATE

Part B Drug and Alcohol Program [Insert Grant Opportunity Name] Grant Opportunity

Opening date: [If relevant insert] day/month/year

Closing date and time: [If relevant insert time] (AEST) on [insert day/month/year]

Commonwealth Policy entity: Department of Health

Co-Sponsoring Entities: [insert Commonwealth entity name (joint policy owner or admin hub)]

Enquires: If you have any questions, please contact [insert relevant officials name, title, phone number, email, and other]

Questions should be sent no later than [insert day/month/year]

Date guidelines released: [insert day/month/year]

Type of grant opportunity: [open competitive, restricted competitive, restricted non-competitive or open non-competitive]

Template purpose: This template has been developed to assist Commonwealth entities to administer grant programs. It seeks to:

• improve the quality of grant guidelines for potential grant applicants, so that grant guidelines are consistent across entities, programs and grant opportunities

• implement a grant guidelines format that is easy to navigate through the use of standardised terms and format

• reduce the number of documents that form grant guidelines

• streamline the process and timeframes to develop and publish grant guidelines.

Template instructions: This template can be used for either open or restricted grant opportunities, and for grants that are evaluated against assessment criteria and/or compared against other applicants. This template can be used for grant opportunities undertaken through a single round or invitation to apply, or through multiple concurrent rounds. The types of grants opportunities that this template can be used for include:

• open competitive grants processes, with multiple rounds and set opening and closing dates, where grant applications are assessed against both the selection criteria and the other applications

• open non-competitive processes, under which applications can be submitted at any time and are assessed individually against the selection criteria

39

• restricted competitive processes, with multiple or single rounds and set opening and closing dates, where a group of applicants are invited to submit applications, which are assessed against both the selection criteria and the other applications

• restricted non-competitive processes, where a group of applicants are invited to submit applications, which are assessed against the selection criteria.

Once the template is completed, the grant guidelines should contain all the information necessary for a potential applicant to understand: how to apply for a grant; the processes and timeframes involved; the roles and responsibilities of all relevant stakeholders; and the expectations if their application is successful.

When using this template, delete the shaded instruction boxes and add or change text in the square brackets to make it relevant to the grant program and opportunity.

In this template, ‘you’ or ‘grantee’ refers to the individual, non-government organisation or consortia making an application. ‘

Tip: Grant guidelines should be clear, consistent and fit for purpose. The content and complexity of grant guidelines and related processes should be proportional to the grant program, grant activity, and likely grantee.

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Template instructions: Update this contents page once all amendments to the grant guidelines have been made. To do this, right click anywhere on the contents and select ‘update field’, then ‘update entire table’. This field relies on the correct use of heading styles, which must be consistently used throughout the guidelines.

Contents 1. [Insert name of Grant Program]: [insert name of Grant Opportunity ] Processes ... Error! Bookmark not defined.

2. About the grant program ........................................................... Error! Bookmark not defined.

2.1 About the [insert name of Grant Opportunity] .................. Error! Bookmark not defined.

2.2 [insert name of Grant Opportunity] outcomes .................. Error! Bookmark not defined.

3. Grant amounts ........................................................................... Error! Bookmark not defined.

4. Grant eligibility criteria ............................................................. Error! Bookmark not defined.

4.1 Who is eligible to apply for a grant? ................................. Error! Bookmark not defined.

4.2 Who is not eligible to apply for a grant? ........................... Error! Bookmark not defined.

4.3 What qualifications or skills are required?........................ Error! Bookmark not defined.

5. Eligible grant activities ............................................................. Error! Bookmark not defined.

5.1 What can the grant money be used for? ............................ Error! Bookmark not defined.

5.2 What the grant money cannot be used for? ....................... Error! Bookmark not defined.

6. The grant selection process ....................................................... Error! Bookmark not defined.

6.1 The assessment criteria ..................................................... Error! Bookmark not defined.

7. Assessment of grant applications .............................................. Error! Bookmark not defined.

7.1 Who will assess applications? ........................................... Error! Bookmark not defined.

7.2 Who will approve grants? ................................................. Error! Bookmark not defined.

8. The grant application process ................................................... Error! Bookmark not defined.

8.1 Overview of application process ....................................... Error! Bookmark not defined.

8.2 Application process timing ............................................... Error! Bookmark not defined.

8.3 Table 1: Expected timing for this grant opportunity ......... Error! Bookmark not defined.

8.4 Completing the grant application ...................................... Error! Bookmark not defined.

8.5 Attachments to the application .......................................... Error! Bookmark not defined.

8.6 Grant applications from consortia ..................................... Error! Bookmark not defined.

8.7 Questions during the application process .......................... Error! Bookmark not defined.

8.8 Further grant opportunities ................................................ Error! Bookmark not defined.

9. Notification of application outcomes ........................................ Error! Bookmark not defined.

9.1 Feedback on your application ........................................... Error! Bookmark not defined.

10. Successful grant applications ................................................ Error! Bookmark not defined.

10.1 The grant agreement .......................................................... Error! Bookmark not defined.

11. Announcement of grants ....................................................... Error! Bookmark not defined.

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12. Delivery of grant activities .................................................... Error! Bookmark not defined.

12.1 Your responsibilities ......................................................... Error! Bookmark not defined.

12.2 [Insert name of relevant Commonwealth entity]’s responsibilities . Error! Bookmark not defined.

12.3 Grant payments and GST .................................................. Error! Bookmark not defined.

12.4 Evaluation ......................................................................... Error! Bookmark not defined.

12.5 Acknowledgement ............................................................ Error! Bookmark not defined.

13. Probity ................................................................................... Error! Bookmark not defined.

13.1 Complaints process ........................................................... Error! Bookmark not defined.

13.2 Conflict of interest ............................................................ Error! Bookmark not defined.

13.3 Privacy: confidentiality and protection of personal information ..... Error! Bookmark not defined.

13.4 Freedom of information .................................................... Error! Bookmark not defined.

14. Consultation .......................................................................... Error! Bookmark not defined.

15. Glossary ................................................................................ Error! Bookmark not defined.

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1. Drug and Alcohol Program: [insert name of Grant Opportunity ]Grant Opportunity.

Template instructions: Modify this flowchart as appropriate.

The Program is designed to achieve Australian Government objectives

This grant opportunity is part of the above Grant Program which contributes to [insert name of Commonwealth Entity]’s Outcome X. The [insert name of Commonwealth Entity] works with

stakeholders to plan and design the grant program and guidelines consistent with the Commonwealth Grants Rules and Guidelines.

The grant opportunity opens on DATE

The grant guidelines are published and advertised on GrantConnect.

Grant applications submitted

Applicants complete and submit grant applications.

Grants application(s) assessed

Applications are first checked to make sure that the eligibility criteria are met. Then responses to the assessment criteria are evaluated. This includes an overall consideration of value for money.

Selection processes that are competitive will also include a comparison of applications against each other to determine the most meritorious [If appropriate] For those grant applicants that do not meet

the eligibility requirements, applicants are notified that they have been disqualified from further assessment.

Grant recommendation(s) are made

Recommendation and advice are given to the decision maker on the merits of each application.

Approval of grant(s)

The decision maker makes a decision about the grant(s).

Notification of outcomes is expected in DATE as month or quarter/year

Applicant(s) are notified of the outcome(s). Unsuccessful applicant(s) may not be notified until grant agreement(s) with successful applicant(s) are in place.

Entering into a grant agreement [OR] Accepting a letter of agreement

Grant agreements are negotiated and signed. The type of grant agreement is based on the nature of the grant and proportional to the risks involved. [OR] A letter of agreement will be provided to successful

applicants. This is a simplified grant agreement setting out the terms and conditions for the grant.

Delivery of grant

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The grantee undertake the grant activity as set out the grant agreement . The Department of Health (the department) manages the grant, including working with the grantee, making payments and

monitoring performance.

Evaluation of the Grant

The specific grant activity and grant opportunity as a whole are evaluated. It is based on ongoing information collected from the grantee and other information collected by the department.

2. About the grant program Template instructions: All programs are either PBS Programs or component programs of a PBS Program. Include the name of the PBS Program here if the Grant Program is a component program of the PBS Program. Grants awarded will be reported on GrantConnect and link to the PBS program.

Describe the grant program and whether it is a program with a single grant opportunity or a grant program where there are multiple grant opportunities. The description of the grant program can include information on:

• the purpose of the grant program

• the context and /or history of the program, including related programs (and the PBS Program it belongs to) and/or activities

• the scope and timeframes for the program

• the Australian Government’s policy objectives for the grant program, including relevant targets, outcomes and deliverables

• key performance indicators and how they will be measured

• other relevant information.

If the grant program comprises multiple grant opportunities, include specific information about when any future opportunities will occur.

For a single grant opportunity grant program, provide information in section 2 and 2.1, deleting section 2.2.

For a program with multiple grant opportunities, either concurrently or over time, provide high level summary information at section 2 and provide the opportunity specific information at 2.1 and 2.2.

Tip: The grant program objective is the purpose that the program has been established to achieve. Objectives should be concise, unambiguous, and measurable. They should clearly link to the policy outcomes of the Government and be consistent with the relevant Commonwealth entity’s strategic plan. Deliverables/outputs/targets/goals contribute to the achievement of the overall program objective. These are often smaller ‘building blocks’ in the progress towards the high level outcome.

For opportunities that contribute to a high level program, use only the relevant high level details that provide context to this specific opportunity. If there are linked opportunities that a stakeholder ought to be aware of include information on those here. Provide a reference to expanded strategic information for the full program as being available in the ‘Forecast Opportunities’ part of GrantConnect, or on the agency website prior to GrantConnect being launched.

The Drug and Alcohol Program (the Program) is intended to provide a flexible funding pool to support activities that aim to achieve improved health and social outcomes for individuals, families and communities at risk of, or currently affected by, substance misuse in Australia.

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The objectives of the Program are to:

• Support drug and alcohol treatment services across Australia to reduce the impact of substance misuse on individuals, families, carers and communities;

• Support prevention and early intervention activities and promote evidence-based information about drug and alcohol through education;

• Support the development of drug and alcohol data to support evidence-based treatment national policy and service delivery; and

• Support service linkages between drug and alcohol treatment services and mental health services, as well as with social, educational and vocational long-term support services.

The expected outcomes of the Program are [insert tangible outputs/results/ achievements of the program which link to the attainment of the objectives above.]

The Program will be undertaken in accordance with the Commonwealth Grants Rules and Guidelines (CGRGs) http://www.finance.gov.au/sites/default/files/commonwealth-grants-rules-and-guidelines-July2014.pdf.

About the [insert name of Grant Opportunity]

Template instructions: Provide information on how the grant opportunity relates to the grant program.

Tip: Ensure that this grant opportunity has a unique grant opportunity name, which is used consistently through GrantConnect, these grant guidelines, the entity’s website, media releases, grant agreements, and other documents. Performance indicators should be provided.

If there are multiple grant opportunities, include details of how this opportunity fits with other opportunities.

Tip: To include additional grant opportunities, copy and paste this section, renumbering for each related grant opportunity.

These guidelines contain information for the [insert grant opportunity name] grants. This document sets out the purpose of the grant opportunity, the eligibility and assessment criteria, how grant applications are evaluated and monitored, and responsibilities and expectations in relation to the opportunity. You must read this document before filling out an application.

[Insert information on the grant opportunity].

[insert name of Grant Opportunity] outcomes

Template instructions: This section is optional. It should clearly explain the purpose of the grant opportunity and the results that are required in order to achieve the grant opportunity’s intended objectives. Deliverables should be concise, unambiguous and measurable. The outcomes should clearly link to the grant program objectives and deliverables set by the Government and detailed in section 2 above. This section should contain relevant key performance indicators.

To add additional grant opportunities to this template, copy and paste sections 2.1 and 2.2 and renumber accordingly.

The [insert name of grant opportunity] is intended to [insert details of intended outcome].

The objectives of the [insert name of grant opportunity] are [insert details of objectives].

3. Grant amount Template instructions: Provide information on:

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• the value of the total grant program and the amount available for this grant opportunity

• the minimum or maximum amount per grant, or

• the pre-determined amount or applicable formula per grant that applies.

If necessary, provide a table with the separate available grant amounts available for grants in specific regions. I.e. $50,000 for South Australia; $75,000 for Victoria

Tip: provide sufficient information for applicants to understand what applications may or may not be considered in order to reduce the number of futile applications prepared and requiring assessment.

The Australian Government has announced a total of $XXX over X years for the [insert grant program name]. A total of $XXX over X years is available for this grant opportunity, commencing in [month and year]

[If applicable]$XXX per grant is available for this grant opportunity. [ OR ] Grant applications for a minimum of $XX or maximum of $XX [OR] $XX will be considered. [ OR ] There is no maximum amount that may be applied for however grants cannot exceed [$X]. It is anticipated that most grants will be between $XX-$XY, depending on scope and complexity of the grant activity.

[If applicable] The grant amount may be up to [ratio] % of the eligible project costs.

4. Grant eligibility criteria Template instructions: Include information on any eligibility criteria that must be met for a grant application to be considered.

Also include details about whether eligibility criteria can be waived, including the circumstances in which this could occur and who will decide.

Tip: Eligibility criteria may be in addition to assessment criteria. They should be drafted in plain language and be clear and easily understood by all applicants.

If your application does not satisfy [all] the eligibility criteria, it will not be considered.

Who is eligible to apply for a grant?

Template instructions: Include information on the types of organisations and/or individuals that are eligible to receive a grant.

See examples below and add to or delete as appropriate. If applicants are only eligible due to their physical location or the nature of the organisation (e.g. an accredited aged care home or university), or must meet any other conditions, this information should be included. If there is a defined list of eligible applicants, list these here and provide any background decision for the list.

Tip: Including a list of all legal entities that are eligible to apply may help potential applicants, and reduce the number of inquiries about eligibility.

[If applicable, include this section. Delete any irrelevant dot points.] To be eligible to receive a grant you must:

• be a legal entity, i.e. able to enter into a legally binding agreement. (i.e. the following are legal entities)

o a company incorporated in Australia

o an incorporated trustee on behalf of a trust

o an incorporated association

o a partnership

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o a consortium, with a lead organisation1

o a registered charity or not for profit organisation

o a publicly funded research organisation as defined in Appendix

o an individual

o an Australian local government body

o an Australian state/territory government body

o an Aboriginal and/or Torres Strait Islander Corporation registered under the corporations (Aboriginal and /or Torres Strait Islander) Act 2006; or

o [insert details].

• [OR If applicable, include only the relevant entity types that may apply as dot points and delete the dot point above] be a

• [insert details of the relevant entity types that may apply].

• have an Australian Business Number (ABN)

• be registered for the purposes of GST

• be a permanent resident of Australia

• have an Australian bank account • be located in [state/territory/region] • [insert details].

[If applicable] The above eligibility criteria may be waived or amended if [insert circumstances].

[OR]

[If applicable, include this section. Delete any irrelevant dot points] Applications will only be accepted from:

• [insert name of eligible applicant type (e.g. Primary Health Networks] • [insert name of eligible applicant type (e.g. a Aboriginal and Torres Strait Islander

corporation registered under the Corporations (Aboriginal and Torres Strait Islander) Act 2006 ]

• [insert name of eligible applicant type (e.g. a business employing less that 15 employees].

[If applicable] The list of eligible applicants was determined [insert the reasoning behind why there is a restricted list and how it was determined].

Who is not eligible?

Template instructions: This section is optional. Use this section if there are particular types of organisations and/or individuals who are ineligible to apply for a grant and section 4.1 is not enough.

[If applicable, include this section. Delete any irrelevant dot points] To be eligible to receive a grant, you must not be a:

1 The Australian Government recognises that some organisations may seek to form consortia in order to apply for a grant under the Program. Consortia are eligible to apply and the relevant conditions applicable to consortia are at 8.6 ‘Applications from Consortia’

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• State or Territory Government

• local government organisation

• an individual

• unincorporated association

• overseas resident

• [insert details].

What qualifications or skills are required?

Template instructions: This section is optional. Use this section if the organisation or persons involved in the grant activity are required to have specific qualifications, skills, accreditation, registration, or checks.

[If applicable, include this section] [All/Key] If you are successful, you will need to ensure that the staff working on the grant activity maintain the following [qualifications/ skills/ accreditation/ registration/ checks]:

• [insert details of all requirements for personnel performing the proposed grant activity] • Working with vulnerable people registration • Australian Skills Quality Authority accreditation

[If applicable, include this section]Your organisation must maintain the following accreditation/ registration:

• [insert details of all relevant requirements]

5. Eligible grant activities What can the grant money be used for?

Template instructions: List all eligible grant activities that the grant can be used for, as well as any costs arising from the grant activity that the grant can be used to pay. Wherever possible, include examples, particularly if there is any ambiguity regarding items on the list. [list or describe eligible grant activities (e.g. projects/tasks/services etc]

The grant must be used for the following activities:

• [list or describe eligible grant activities (e.g. projects/tasks/services etc].

Costs that the grant can be used for are:

• [list or describe eligible grant costs (e.g. project costs, capital costs, wages etc].

[If applicable] The proposed grant activities must include at least a [##] % [cash and/or in-kind contribution] from [you and/or a third party].

• [insert relevant details]

What the grant money cannot be used for?

Template instructions: List any ineligible activities, as well as any costs that the grant cannot be used to pay. Wherever possible, include examples. Ineligible activities may include: proposed granting activities outside of Australia; marketing campaigns by the applicant; activities that are already funded on an ongoing basis by other Australian, state or local government programs; or activities that commenced prior to the grant agreement being finalised, capital costs etc.

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Tip: At a minimum, consider the possibility of ‘double-dipping’ and ‘cost shifting’ by a grantee and whether these risks can be mitigated here.

The grant cannot be used for the following activities:

• [list or describe ineligible activities (e.g. projects/tasks/services etc]

[Or] Grants are not provided for:

• purchase of land

• wages

• major capital expenditure

• the covering of retrospective costs

• costs incurred in the preparation of a grant application or related documentation

• subsidy of general ongoing administration costs such as electricity, phone and rent of an organisation

• major construction/capital works

• overseas travel, and

• activities for which other Commonwealth, State, Territory or Local Government bodies have primary responsibility.

• [Alter list as appropriate ]

6. The grant selection process Template instructions: Provide information on how grant applications will be selected (e.g. if they will be shortlisted, benchmarked, or peer reviewed; if financial or compliance checks are undertaken, which assessment methodology will be used, etc). This may involve:

• eligibility checks of applications against the eligibility criteria

• assessment of applications against the assessment criteria OR

• assessment of applications against both the assessment criteria and comparative assessment and ranking against other applications.

For non-competitive opportunities, if applications are assessed and awarded in the order in which the applications are received, include information on this process.

If a staged selection process will be undertaken, this information should be included here.

If one guideline is to be used for multiple grant rounds, the same eligibility and assessment criteria should be used. This works well for opportunities that cover different regions. However, if the guideline is to cover concurrent rounds with different objectives, eligibility and assessment criteria, it is more straightforward to develop separate guidelines for each opportunity. Use section 2 to clarify the relationship between rounds in the grant program.

Tip: The PGPA Act and the CGRGs require all commitments of public resources to be efficient, effective, economical, and ethical. For a grant, this means assessing the merits of the application relative to the grant guidelines and the prime consideration of achieving value with relevant money.

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We will initially assess your application against the eligibility criteria. Only eligible applications will proceed to the next stage. Eligible applications will be considered through an [open [OR] restricted non [or] competitive grant process.

[Include details of the selection process]

[Competitive process] Your application will then be assessed against the criteria set out below and against other applications. Your application will be considered on its merits, based on how well it meets the criteria, how it compares to other applications and whether it provides value for money. [OR]

[Non-competitive process] Your application will then be assessed against the criteria set out below. Your application will be considered on its merits, based on how well it meets the criteria, and whether it provides value for money.

The assessment criteria

Template instructions: Include all the assessment criteria below. The assessment criteria and the grant program and grant opportunity objectives must be clearly linked. If some criteria are relevant to only some applications, include this information here. Similarly, word limits should be included if this is relevant, to guide applicants and improve efficiency for assessment.

The assessment criteria should:

• be unambiguous to enable applicants to understand on what basis their applications will be assessed and what they need to provide to verify their responses

• allow for consideration of value with relevant money in assessing the ability of the application to meet the policy objectives of the grant program or grant opportunity (a grant should add value by achieving something worthwhile that would not occur without the grant)

• be structured in a way to provide the assessors with objective guidance in how to assess each criteria

• in the event of oversubscription, provide information on whether further prioritisation criteria will apply, ie location, policy priority or target groups.

Tip : Assessment criteria are the specified principles or standards, against which applications are judged. These criteria are also used to assess the proposals and, in the case of a competitive granting activity, to determine the applicant rankings or comparative benefits.

Tip : Be specific about the required information sought for each criteria. This will help applicants to better target their applications and assist assessors.

You will need to address [all of] the following assessment criteria in your application. We will assess your application against each criterion using the weighting indicated [or] All assessment criteria are of equal weighting. The amount of detail and supporting evidence you provide in your application should be relative to the project size, complexity and grant amount requested. The application form displays indicated the word limits.

Criterion 1: [How will the grant activity contribute to the objectives of the grant program]

In providing a response to this criterion you [should/must] include, but are not limited to:

• describe the activity and provide information which demonstrates [insert relevant items]

Criterion 2: [What is the need for the particular grant activity in the particular location/demographic or how does the proposed grant activity address a specific need]?

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Criterion 3: [What is the capability and capacity of the applicant to undertake the grant activity]?

Criterion 4: [What are the priority areas, factors that will increase the value of this activity to the Commonwealth]?

All assessment criteria are given equal weighting. [OR] [State how the assessment criteria will be weighted].

Your responses to each assessment criteria should be limited to XX words per criteria. [ OR ] There is no word limit for your application. If your response is longer than XX only the first XX words will be considered.

7. Assessment of grant applications Who will assess applications?

Template instructions: Provide information on who will assess the grant applications and how that process will occur (e.g. where an assessment committee or an expert panel is to be used, indicate who will be on the committee and how they will be utilised, particularly if independent panels or State office assessments are used).

If the assessment of applications will involve a staged approach, outline who will be involved in each stage.

Provide details on the planned assessment methodology and include the rating scale.

An assessment committee [ OR ] an expert panel will assess each applications on its merit. The assessment committee will comprise of [insert details including the position of the Chairperson if known].

[If applicable][External advisors may also be asked to inform the assessment process. Any advisor who is not an Australian Public Servant will be treated as the Commonwealth entity’s staff in accordance with Part 1, section 2.8 of the CGRGs.]

The assessment committee may seek information about you or your application from any other source including from within the Commonwealth, even if the sources are not nominated by you as referees. The assessment committee may also consider information about you or your application that is available through the normal course of business.

If the selection process identifies unintentional errors in your application, you may be contacted to correct or clarify the information.

Who will approve grants? Following assessment, the assessment committee will make recommendations to the [insert details of who will be the decision maker]. The [insert details of who will be the decision maker such as the Minister or a specific delegate] will make the final decision to approve a grant.

The [decision maker]’s decision is final in all matters, including:

the approval of the grant

the grant funding amount to be awarded

[If applicable] the terms and conditions of the grant.

The [decision maker] must not approve funding if they reasonably consider the programme funding available across financial years will not accommodate the funding offer, and/or the application does not represent value for money.

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[If applicable][We cannot review decisions.

8. The grant application process Overview of application process

Template Instructions: Outline the application process. Include all the steps, links to important documentation, and the forms that must be completed and used by the applicant.

State how many applications an applicant may submit (e.g. ‘one application per applicant per region will be assessed. If more than one application for the same project is submitted, only the latest application will be considered’).

You must read these grant guidelines, the application form [if applicable], the [list other documents if applicable], and the draft grant agreement [if applicable] before you submit an application.

You are responsible for ensuring that your application is complete and accurate. Giving false or misleading information will/may exclude your application from further consideration.

You must address all of the eligibility criteria and all assessment criteria to be considered for a grant. Please complete each section of the application form and ensure you provide requested information.

Please keep a copy of your application and any supporting papers.

[If applicable] If successful, you must complete the grant activity by commencing in 20YY-20YY and ending in 20YY-20YY. [day/month/year].

Receipt of your grant applications will be acknowledged within three working days [insert applicable timeframe].

Application process timing

Template instructions: Include all relevant information about application timing, including:

• opening and closing dates for applications

• expected timing for application assessment

• expected timing for notification of application outcome

• an indicative date that the grant is expected to take effect.

Include detail if a condition is that a grant agreement must be executed by all parties prior to the payment of the grant.

Provide either textual or table information on expected timeframes.

Submit your application/s to [insert relevant Commonwealth entity’s name] by the closing date given below. Late applications will not be accepted. [OR] The Australian Government will only accept a late application where [give details and explain the circumstances under which a late application will be considered].

The expected granting activities start date is [day/month/year] and the expected end date is [day/month/year]. [If applicable] The grant must be spent by the end date.

Table 1: Expected timing.

Table 1: Expected timing for this grant opportunity

Activity Time

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Activity Time

Application period Open: time/DD/MM/Year Close: time/ DD/MM/Year

Assessment of applications 4 weeks [OR include specific dates]

Approval of outcomes of selection process 4 weeks [OR include specific dates]

Negotiations and Award of grant agreements 1-3 weeks [OR include specific dates]

Notification to unsuccessful applicants 2 weeks[OR include specific dates]

Activity commences MM/Year

End date DD/MM/Year

Completing the grant application Template instructions: Provide all information that a grant applicant requires in order to complete an application.

If an application form is provided, include the link to this and also state how this must be filled and lodged.

If an applicant requires registration, provide details and a link to further information through a URL.

You must submit your grant application on the application form, which can be downloaded at [hyperlink] [ OR ] [insert other details]. Help information is set out in the application form.

[If applicable] This application form is [insert relevant information i.e. an interactive and you can submit it electronically]. For assistance with any technical difficulties please contact [insert contact details].

[If applicable] If you do not wish to, or cannot apply on-line please contact the [insert details]. [OR] The [commonwealth entity] will not provide application forms or accept applications for this grant opportunity by fax or mail.

You must make sure that your application is complete and accurate and submitted in accordance with these Guidelines [and application form].

[If applicable]You cannot change your application after the closing date and time.

[If applicable] You should contact the [insert details of relevant contact officer] immediately if you find an error in an application after it has been submitted. The [insert relevant Commonwealth entity’s name] may then ask you for additional information, as long as it does not change the substance of your application. [If applicable] The [insert relevant Commonwealth entity’s name] does not have to accept any additional information, nor requests from applicants to change applications after the closing time.

Attachments to the application

Template instructions: Include information about allowable attachments.

Tip: Only request attachments that will be used as part of the selection process, such as those that will help to determine the eligibility of an applicant or assist in assessing the application. Consider whether the information can be accessed from another source.

[If applicable, include this section. Delete any irrelevant dot points] The following documents must be included with your application:

53

• a business case • an indicative budget • a project management plan • a risk management plan • [insert details and remove irrelevant items].

Your supporting documentation should be attached to the application form. There will be instructions provided in the application form to help you. Only attach the documents you have been asked to include.

Grant applications from consortia

Template instructions: Delete this section if not relevant. If consortia are eligible to apply please ensure this is consistently noted in both this section and the section on ‘eligibility’.

[If applicable] Some organisations may apply as a consortium to deliver grant activities. If you are submitting a joint grant application or submitting on behalf of a consortium, a member organisation or a newly created organisation, must be appointed as the ‘lead organisation’. Only the lead organisation will enter into a grant agreement with the Commonwealth, and will be responsible for the grant. The lead organisation must complete the application form and identify all other members of the proposed consortium in the application. The application must include a letter of support from each organisation involved in the grant. Each letter of support should include:

• an overview of how the consortia will work together to support the successful completion of the grant activity

• an outline of the relevant experience and/or expertise of the consortium members • the roles/responsibilities the consortium members, and the resources they will contribute (if any) • details of a nominated management level contact officer • details of the lead organisation.

Questions during the application process

Template instructions: Alter as required.

If you have any questions during the application period please contact [insert relevant contact details ]. The [insert relevant Commonwealth entity’s name] will respond to emailed questions within [three] working days.

Answers to questions may be posted on GrantConnect (include hyperlink).

Further grant opportunities

Template instructions: Delete this section if not relevant. Outline how the Commonwealth entity will seek to fill any gaps or meet policy objectives if this grant program or grant opportunity does not receive enough suitable applications. This might be addressed through delivering subsequent grant opportunities run as direct selection or restricted processes.

Delete this section if not applicable.

[If applicable] If there are not enough suitable applications to meet the program’s objectives, the [insert relevant Commonwealth entity’s name] will, [insert details].

9. Notification of application outcomes You will be advised of the outcomes of your application in writing, following a decision by the [insert details of who will be the decision maker]. Advice to successful applicants will contain details of any specific conditions attached to the grant.

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[if applicable]If you are unsuccessful, we will notify you in writing and give you an opportunity to discuss the outcome. You can submit a new application for the same project (or a similar project) in any future grant opportunitiess. You should include new or further information to address any weaknesses identified in your previous application [for programmes that allow new applications for the same project].

Feedback on your application If you are unsuccessful, you may ask for feedback from the [insert relevant Commonwealth entity’s name] within [include timeframe] of being advised of the outcome. The [insert relevant Commonwealth entity’s name] will provide written feedback within [one month] of being asked for feedback.

10. Successful grant applications The grant agreement

Template instructions: Alter as required to ensure that this section correctly refers to either a grant agreement or to a letter of agreement.

Include any further information on the requirements that a grantee will need to comply with that have not already been provided. This information might be in a summary form or detailed, depending on the particulars of the grant opportunity. Requirements might include:

• specific service standards

• meeting targets, milestones or timelines

• collecting and supplying data

• submitting reports and/or acquittals

• participating in an evaluation

• undertaking risk management

• facilitating site visits by the Commonwealth.

If you are successful, you must enter into a legally binding grant agreement with the Commonwealth represented by [insert relevant Commonwealth entity’s name]. [insert relevant Commonwealth entity name] will use the Commonwealth Grant Agreement. The standard terms and conditions for the grant agreement will apply and cannot be changed. A schedule may be used to outline the specific grant requirements. Any additional conditions attached to the grant will be identified in the grant offer or during the grant agreement negotiations.

You will be required to:

• [insert details of any likely reporting and acquittal requirements etc]

The [insert relevant Commonwealth entity’s name] will negotiate with successful applicants so that the grant agreements can be signed and returned to the [insert relevant Commonwealth entity’s name] by [insert date]. If there are unreasonable delays in negotiating a grant agreement, the grant offer may be withdrawn and the grant may be awarded to a different applicant.

Where a grantee fails to meet the obligations of the grant agreement, the [insert relevant Commonwealth entity’s name] may [insert details].

You should not make financial commitments in expectation of receiving the grant until a grant agreement has been signed by the Commonwealth.


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[ OR ]

If you are successful you will be sent a letter of agreement, which provides [insert details]. A signed copy of the letter of agreement will need to be returned by the date in the letter.

[You may start your project from the date that we notify you that your application is eligible and complete. If you choose to start your project before you enter into a grant agreement with the Commonwealth, you do so at your own risk.]

[or]

[You may start your project from the date of your letter of offer. If you choose to start your project before you enter into a grant agreement with the Commonwealth, you do so at your own risk.]

[or]

[You must not commence your project until your grant agreement is signed by the Commonwealth.]

11. Announcement of grants Template instructions: Alter as required. Document any circumstances where information on grants awarded may not be provided, consistent with the CGRGs and reference the decision maker. For example:

• decisions to report grants to individuals in an aggregated summary format to address privacy concerns.

If successful, your grant will be listed on the GrantConnect website 14 days after the date of effect2 as required by section 5.3 of the CGRGs.

[OR ] [insert details on what information will or will not be published and the reasons for this decision].

12. Delivery of grant activities Your responsibilities

Template Instructions: Clearly outline the responsibilities of the grantee, their entity and any other relevant parties. Insert a summary of any likely requirements that the grantee will need to comply with. The suggested dot points below are optional, please alter and delete as required.

Tip: Only request information or impose requirements that will be used to facilitate the administration of grant payments and maintain accountability, as well as monitor and evaluate the grant. Requesting gratuitous information creates red tape for grantees and may possibly expose the Commonwealth to additional risk if this information is not properly assessed and utilised.

You will be responsible for:

• [insert details] • meeting the terms and conditions of the grant agreement and managing the activity efficiently

and effectively • meeting milestones and other timeframes specified in the grant agreement • complying with record keeping, reporting and acquittal requirements as set out in the [letter of

agreement/grant agreement]

2 See glossary

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• participating in grant program evaluation as specified in the [letter of agreement/grant agreement]

[Insert name of relevant Commonwealth entity]’s responsibilities The [insert relevant Commonwealth entity’s name] will:

• meet the terms and conditions set out in the grant agreement; • provide timely administration of the grant; • evaluate the grantee’s performance.

Grant payments and GST Payments will be made as set out in the letter of agreement/grant agreement. [If applicable] ‘Payments will be GST Inclusive’.

[If applicable] Before any payments are made, you must provide:

• a tax invoice for the amount of the payment (the Australian Government’s default invoice process is Recipient Created Tax Invoices)

• evidence that you have achieved the associated milestone • any other conditions of payment (e.g. evidence of purchase of equipment, satisfactory

progress report, approvals, other documentation etc). [ OR ]

A single payment will be made [once the grant agreement/letter of agreement is signed by the Commonwealth or following completion of the projects/tasks/services and/or on receipt of an invoice].

If successful, you should consider seeking guidance from a tax advisor or the Australian Taxation Office (www.ato.gov.au) about the effect of receiving a grant before you enter into a grant agreement.

Evaluation

Template instructions: The PGPA Act and the CGRGs require appropriate performance and evaluation mechanisms be developed as part of any government financial activity. If successful applicants are required to provide information following acquittal to assist in the evaluation, the relevant details should be provided in this section.

[insert name of relevant Commonwealth entity ] will evaluate the [insert name of grant program name] to measure whether, and to what extent, the outcomes and objectives have been achieved. [Letter of agreement/grant agreement] requires you to provide information to help with this evaluation.

Acknowledgement

Template instructions: If applicable.

The Program logo is designed to be used on all materials related to grants under the Program. Whenever the logo is used the publication must also acknowledge the Commonwealth as follows:

’XXXX Program – an Australian Government initiative’.

[OR]

All publications related to grants under the Program must acknowledge the Commonwealth as follows:

‘This activity received grant funding from the Australian Government.’



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13. Probity The Australian Government will make sure that the Program process is fair, in accordance with the published guidelines, incorporates appropriate safeguards against fraud, unlawful activities and other inappropriate conduct, and is consistent with the CGRGs.

Note: These guidelines may be varied from time-to-time by [insert relevant Commonwealth entity’s name] as needed. Amended guidelines will be published on the GrantConnect at [website address].

Complaints process [insert relevant Commonwealth entity]’name [insert Complaints Procedures NAME and URL] apply to complaints about the Program. All complaints about a grant process must be lodged in writing.

Any questions you have about grant decisions for the Program should be sent to [insert relevant email address].

If you do not agree with the way in which the [insert relevant Commonwealth entity’s name] has handled your complaint, you may complain to the Commonwealth Ombudsman. The Ombudsman will usually decline to investigate a complaint unless the matter has first been raised directly with the [insert relevant Commonwealth entity’s name].

The Commonwealth Ombudsman can be contacted on: Phone (Toll free): 1300 362 072 Email: [email protected] Website: www.ombudsman.gov.au

Conflict of interest Any conflicts of interest could affect the performance of the grant. There may be a conflict of interest, or perceived conflict of interest, if the department’s staff, any member of a committee or advisor, and/or you or any of your personnel:

• has a relationship (whether professional, commercial or personal) with a party who is able to influence the application selection process, such as an Australian Government officer

• has a relationship with, or interest in, an organisation, which is likely to interfere with or restrict the applicants from carrying out the proposed activities fairly and independently or

• has a relationship with, or interest in, an organisation from which they will receive personal gain as because the organisation receives funding under the Program.

You will be asked to declare, as part of your application, any perceived or existing conflicts of interests or that, to the best of your knowledge, there is no conflict of interest.

Where you later identify that there is an actual, apparent, or potential conflict of interest or that one might arise in relation to a grant application, you must inform the department in writing immediately. Committee members and other officials including the decision maker must also declare any conflicts of interest.

The chair of the Assessment Committee will be made aware of any conflicts of interest and will handle them in compliance with Australian Government policies and procedures. Conflicts of interest for Australian Government staff will be handled as set out in the Australian Public Service Code of Conduct (section 13(7)) of the Public Service Act 1999. We publish our conflict of interest policy on the department’s website.

Privacy: confidentiality and protection of personal information We treat your personal information according to the 13 Australian Privacy Principles (APPs) and the Privacy Act 1988. This includes letting you know:


http://www.ombudsman.gov.au/



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• what personal information we collect • why we collect your personal information • who we give your personal information to.

You are required, as part of your application, to declare your ability to comply with the Privacy Act 1988, including the Australian Privacy Principles, and impose the same privacy obligations on any subcontractors you engage to assist with the activity. You must ask for the Australian Government’s consent in writing before disclosing confidential information.

Your personal information can only be disclosed to someone else if you are given reasonable notice of the disclosure; where disclosure is authorised or required by law or is reasonably necessary for the enforcement of the criminal law; if it will prevent or lessen a serious and imminent threat to a person’s life or health; or if you have consented to the disclosure.

The Australian Government may also use and disclose information relating to grant applicants and grant recipients under the Program in any other Australian Government business or function, including providing information to the Australian Taxation Office for compliance purposes.

We may reveal confidential information:

• to the committee and other Commonwealth employees and contractors, to help us manage the program effectively

• to employees and contractors of our department, so we can research, assess, monitor and analyse our programs and activities

• to employees and contractors of other Commonwealth agencies for any purposes, including government administration, research or service delivery

• to other Commonwealth, state, territory or local government agencies in program reports and consultations

• to the Auditor-General, Ombudsman or Privacy Commissioner • to the responsible Minister or Parliamentary Secretary • to a House or a Committee of the Australian Parliament.

We may share the information you give us with other Commonwealth agencies for any purposes including government administration, research or service delivery and according to Australian laws, including the:

• Public Service Act 1999 • Public Service Regulations 1999 • Public Governance, Performance and Accountability Act • Privacy Act 1988 • Crimes Act 1914 • Criminal Code Act 1995

[if applicable] We’ll treat the information you give us as sensitive and therefore confidential if it meets all of the four conditions below:

you clearly identify the information as confidential and explain why we should treat it as confidential

the information is commercially sensitive

revealing the information would cause unreasonable harm to you or someone else

you provide the information with an understanding that it will stay confidential.

The letter of agreement/grant agreement will include any specific requirements about special categories of information collected, created or held under the letter of agreement/grant agreement.



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Freedom of information All documents in the possession of the Australian Government, including those about the Program, are subject to the Freedom of Information Act 1982 (FOI Act).

The purpose of the FOI Act is to give members of the public rights of access to information held by the Australian Government and its entities. Under the FOI Act, members of the public can seek access to documents held by the Australian Government. This right of access is limited only by the exceptions and exemptions necessary to protect essential public interests and private and business affairs of persons in respect of whom the information relates.

All Freedom of Information requests must be referred to the Freedom of Information Coordinator in writing.

By mail: Freedom of Information Coordinator [Address details]

By email: [insert URL]

14. Consultation Template instructions: Provide any relevant information relating to stakeholder consultation here, such as consultation undertaken to develop and/or design the grant program or grant opportunity or applicant information sessions.

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15. Glossary

Term Definition

application period To be defined

assessment committee the panels of assessment staff formed to assess applications for funding. (Proposed definition in the grants taxonomy)

assessment criteria are the specified principles or standards, against which applications will be judged. These criteria are also used to assess the merits of the proposals and, in the case of a competitive granting activity, to determine applicant rankings (CGRGs).

consortium a consortium is two or more businesses who are working together to combine their capabilities when developing and delivering a grant activity. The consortia’s lead entity will complete the application form and enter into a grant agreement on behalf of all the consortia partners. (Proposed definition in the grants taxonomy)

Date of effect

decision maker Check PGPA Act

Double dipping Double dipping occurs where a grant recipient is able to obtain grant for the same project or activity from more than one source. See CGRGs

eligibility criteria the mandatory criteria which must be met for a grant application to qualify for a grant. Eligibility criteria may apply in addition to assessment criteria. (CGRGs)

Commonwealth entity Consistent with PGPA Act

cost shifting involves ‘substitution of effort’ by the Commonwealth for activities of another organisation or level of government. For example, cost shifting occurs where the Commonwealth provides a grant for an activity that would usually be paid for by a state, territory, or local government, such as municipal services. (CGRGs)

grant activity is the project /tasks /services that the Grantee is required to undertake with the grant money. It is described in the Grant Agreement. (Proposed definition in the grants taxonomy)

grant agreement sets out the relations between the parties to the agreement, and specifies the details of the grant. (CGRGs)

grant opportunity a notice published on GrantConnect advertising the availability of Commonwealth grants. (Proposed definition in the grants taxonomy)

grant program a program that relates to a grant. See definitions for grant and program. (Proposed definition in the grants taxonomy)

grantee an individual/organisation that has been awarded a grant. (Proposed definition in the grants taxonomy)

PBS Program

selection criteria comprise eligibility criteria and assessment criteria. (CGRGs)

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Term Definition

selection process the method used to select potential grantees. This process may involve comparative assessment of applications or the assessment of applications against the eligibility criteria and/or the assessment criteria. (CGRGs)

Documents

DRUG AND ALCOHOL PROGRAM - Department of Health · General assessment principles ... 5. Delivery of Grant Activities ... Annexure A1 – Drug and Alcohol Treatment Services