Drug-Free Communities Support Program: Stronger Internal Controls and Other Actions Needed to Better Manage the Grant-Making Process

The Office of National Drug Control Policy (ONDCP) is responsible for the administration of the Drug-Free Communities (DFC) Support Program. Fiscal year 2005 was the first year that the grant program was operated by ONDCP and the Substance Abuse and Mental Health Services Administration (SAMHSA) under an interagency agreement. In 2008, we found that ONDCP had not developed or documented its approach to monitoring SAMHSA's administration of the grant program and overseeing the grant program as a whole. For example, neither the fiscal year 2007 interagency agreement between ONDCP and SAMHSA nor other documentation associated with the grant-making process defined how ONDCP would oversee SAMHSA in conducting its monitoring responsibilities. Without defined oversight activities for ensuring successful completion of the work across all activities, ONDCP lacked reasonable assurance that required tasks were being performed in accordance with its directives. As a result, we recommended that the Director of ONDCP develop and document its approach to monitoring and overseeing SAMHSA and the program as a whole. ONDCP and SAMHSA jointly signed an interagency agreement for fiscal year 2009 that outlined new oversight responsibilities. The agreement contained sections for general and specific ONDCP and SAMHSA roles and responsibilities, including those related to program oversight and the grant awards process. A current fiscal year 2012 interagency agreement references, and continues, the oversight outlined in the 2009 agreement. Further, ONDCP and SAMHSA jointly developed Standard Operating Procedures as the process guide for routine operations of the DFC program. These procedures include, among other things, ONDCP oversight roles and responsibilities; SAMHSA oversight roles and responsibilities; SAMHSA DFC program administration, monitoring, and technical assistance; and the grant award process. These revised documents are consistent with our recommendation.

The Office of National Drug Control Policy (ONDCP) is responsible for the administration of the Drug-Free Communities (DFC) Support Program. Fiscal year 2005 was the first year that the grant program was operated by ONDCP and the Substance Abuse and Mental Health Services Administration (SAMHSA) under an interagency agreement. In 2008, we found that ONDCP did not screen renewal grant applicants for statutory eligibility in fiscal year 2007, nor did ONDCP require grantees to submit any supporting documentation to show that the statutory eligibility criteria had been met. Without screening for statutory eligibility, ONDCP increased its risk that the renewal grant applicants it awarded funding to in fiscal year 2007 were not statutorily eligible for such funding. As a result, we recommended that the Director of ONDCP ensure that the coalitions receiving an initial grant or a renewal grant satisfy all of the statutory eligibility criteria for each fiscal year and that this is fully documented. ONDCP and SAMHSA included in the fiscal year 2009 interagency agreement and the Standard Operating Procedures for the DFC program processes for verifying the statutory eligibility for initial and renewal grantees. Specifically, new applicants are to be jointly screened to determine that the grantee has met all of the statutory eligibility criteria, and screening sheets are to be included with the grantee's application file. As part of the annual grant renewal process, grantees are required to complete an eligibility certification checklist, which captures all of the statutory eligibility criteria. These processes are consistent with our recommendation.

The Office of National Drug Control Policy (ONDCP) is responsible for the administration of the Drug-Free Communities (DFC) Support Program. Fiscal year 2005 was the first year that the grant program was operated by ONDCP and the Substance Abuse and Mental Health Services Administration (SAMHSA) under an interagency agreement. In 2008, we found that the two agencies had not developed policies and procedures to clarify certain services SAMHSA would provide related to awarding grants. For example, the fiscal year 2007 interagency agreement did not specify what the programmatic and budget review processes were, when they should be completed, and by which agency. Additionally, the fiscal year 2007 agreement did not specifically define the role of the Administrator for the Drug-Free Communities Support Program. Without taking action to fully define these roles and responsibilities, confusion on the steps to follow in managing the program could occur. As a result, we recommended that the Director of ONDCP fully define the roles and responsibilities of SAMHSA and ONDCP, including those of the Drug-Free Communities Support Program Administrator, in the inter-agency agreement prepared for each fiscal year. ONDCP and SAMHSA jointly signed an interagency agreement for fiscal year 2009 that outlined roles and responsibilities for the two agencies. The agreement contained sections for general and specific ONDCP and SAMHSA roles and responsibilities, including those for the Administrator and those related to program oversight and the budget review process. A current fiscal year 2012 interagency agreement references, and continues, the oversight outlined in the 2009 agreement. Further, ONDCP and SAMHSA jointly developed Standard Operating Procedures as the process guide for routine operations of the DFC program. These procedures include, among other things, ONDCP oversight roles and responsibilities; SAMHSA oversight roles and responsibilities; SAMHSA DFC program administration, monitoring, and technical assistance; and the grant award process. These revised documents are consistent with our recommendation.