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Flexible fund guidelines - Substance Misuse Service Delivery Grants Fund

Guidelines for the Substance Misuse Service Delivery Grants Fund.

Substance Misuse Service Delivery Grants Fund: flexible fund guidelines (PDF 149 KB)

1. Introduction
2. Eligibility
3. Probity
4. Fund application processes
5. Conditions of funding
6. Glossary of terms
Attachment A1: Fund priorities

1. Introduction

The Substance Misuse Service Delivery Grants Fund (the fund) is an Australian Government initiative administered by the Department of Health and Ageing (the department) designed to support activities that strengthen the capacity of drug and alcohol treatment services to deliver the fund's primary objectives.

The government committed to establish 18 flexible funds as part of the 2011-12 federal budget. The Substance Misuse Service Delivery Grants Fund is one of the 18 funds that came into operation from 1 July 2011. It is expected that the first grant funding round under the new arrangements will be conducted in November 2011.

Indicative timeframes for the 2011–12 funding round are outlined in the table below:

Milestone		Anticipated dates
Flexible funds announced in 2011-12 budget		10 May 2011
Fund guidelines published		14 November 2011
Applications open		14 November 2011
Applications close		23 December 2011
Assessment and decision		17 February 2012
Transition arrangements and negotiations		15 April 2012
Funding commences		01 July 2012

Future grant funding round timeframes will be advertised annually on the department's website at: www.health.gov.au

1.1 Fund purpose, scope, objectives and outcomes

The fund's primary objective is to better promote and support drug and alcohol treatment services across Australia to build capacity and to effectively identify and treat coinciding mental illness and substance misuse. The fund will aim to improve the health and social outcomes of those Australians with substance use issues including, aiding recovery and reducing homelessness or the risk of homelessness.

The fund will support those services targeting Aboriginal and Torres Strait Islander people and vulnerable groups including people from rural and remote locations and those experiencing homelessness.

The fund priority areas are:

• Supporting non-government drug and alcohol treatment services to deliver quality, evidence based services and build capacity to effectively identify and treat coinciding mental illness and substance misuse (comorbidity) through activities such as workforce training, front line service delivery, education, development of partnerships with the broader health sectors, and dissemination of best practice policies and procedures that support the identification and management of clients experiencing comorbidity
  
  
• Assisting Indigenous communities to provide service delivery in alcohol and other drug treatment through delivery of an Indigenous alcohol and other drug workforce; improving health outcomes through education programs; and developing quality evidence based and culturally secure resources around substance misuse for Indigenous communities
  
  
• Supporting those services targeting Aboriginal and Torres Strait Islander people to increase the effectiveness of, and access to, drug and alcohol treatment and rehabilitation services, including those in rural and remote areas
  
  
• Reducing the prevalence and impact of petrol sniffing by continuing to support the supply of low aromatic fuel to existing sites and expanding the roll out to sites in the Top End of the Northern Territory, East Kimberley in Western Australia and Gulf of Carpentaria and Cape York regions of Queensland
  
  
• Supporting people from culturally and linguistically diverse (CALD) backgrounds, including improving the capacity of treatment services to deliver culturally appropriate care, and providing people from CALD backgrounds with access to treatment services and
  
  
• Supporting the development and implementation of a range of social marketing campaigns.

These fund priorities, and the types of activities envisaged to be supported under them, are further described at attachment A1. Fund priorities may be adjusted from time to time to take into account evidence about the effectiveness, efficiency and appropriateness of fund activities. Top of page

1.2 Background

The fund was established as a result of a strategic review of the administrative arrangements in the health and ageing portfolio commissioned by the government in 2010. The review identified an opportunity to improve the management of existing programs by consolidating them into larger, flexible funds. It is envisaged these funds will cut red tape for grant holders, increase flexibility, and more efficiently provide evidence based funding for the delivery of health outcomes in the community. Further information about the strategic review and the establishment of the flexible funds is available on the department's website at: www.health.gov.au

In the 2011 budget, the Australian Government allocated $559.4 million of funding over the next four years to the Substance Misuse Service Delivery Grants Fund. The fund consolidates the activities of five existing programs, and will provide a larger, flexible funding pool for services that treat substance misuse through a variety of means that may include, annual grant funding rounds, unsolicited or one-off activity funding and procurement.

1.3 Fund scope and operating parameters

The fund is intended to be broad in scope, and flexible enough to support a wide range of activities for the purposes of strengthening the capacity of the alcohol and other drugs sector to deliver quality, evidence based services and to effectively identify and treat coinciding mental illness and substance misuse.

The funding committed to particular fund priorities and the activities supported via these funds vary over time, to take into account:

• Availability of funding
• Evidence of the effectiveness, efficiency and appropriateness of fund activities and
• Emerging challenges. Top of page

1.4 Roles and responsibilities

Minister

The Minister for Health and Ageing will have ultimate responsibility for setting and reviewing priorities for the fund and the allocation of funding against these priorities. Where appropriate, the Minister for Health and Ageing may consult with the Minister for Indigenous Health and the Minister for Mental Health and Ageing as required.

These priorities will at all times reflect the aims and objectives of the fund but may change over time to address emerging issues that will support more effectively the alcohol and other drugs treatment sector.

These fund priorities and activities include but are not limited to those listed at attachment A1.

Department of Health and Ageing

The department will be responsible for the development and dissemination of all application documentation under the fund and for ensuring that such documentation is in accordance with the fund's aims and objectives. The department will be responsible for notifying applicants of the outcomes of any funding arrangement process and will be responsible for responding to queries in relation to the application process, and for resolving any uncertainties that may arise in relation to application requirements.

The department will also manage the funding arrangements under the fund and undertake all assessment processes.

The department will also be responsible for all management and monitoring requirements of successful applicants in any process under the fund such as:

• Developing funding agreements or any alternative contractual arrangement
• Monitoring the performance of projects to ensure the conditions of the contractual arrangement are met
• Assessing performance and financial reports and undertaking follow up activity as necessary
• Making payments on acceptance of milestone reports as specified in the contractual arrangement and
• Providing feedback to funded organisations on the overall project following the conclusion of activities.

Any enquiries relating to the fund should be directed to the fund mailbox SMSDGF@health.gov.au Top of page

Applicants

Entities applying for grants under the fund are responsible for the development of their application. As part of any application process, entities submitting applications must ensure all information they provide is accurate.

The department will enter into contractual arrangements for funding under the fund with single entities only. Where two or more entities seek funding as a consortium, a member entity, or a newly created entity must be appointed as the lead that will enter into any subsequent contractual relationship with the department. The lead entity must be identified in any application for funding and that application should identify all members of the proposed consortium.

Entities applying must be prepared to meet the costs associated with the development and lodgement of their application.

Funded applicant

The successful applicant is responsible for the efficient and effective delivery of the service or project in accordance with the obligations contained in any funding agreement or contractual arrangement entered into under the fund. Successful applicants are also responsible for:

• Ensuring they meet the obligations of the funding agreement or other contractual arrangements
• Ensuring the project is managed in a cost effective and efficient manner
• Maintaining contact with the department and advising of any emerging issues that may impact on the success of the project
• Identifying and documenting risks and the appropriate control strategies
• Reporting on project performance and expenditure in accordance with the contractual obligations and
• Assisting with evaluation activities as necessary. Top of page

1.5 Fund timeframe

The fund is an ongoing initiative available from 1 July 2011.

The fund's application package will provide clear and specific information on funding processes and timeframes.

Fund value

The total value of funds available under the flexible fund is $559.4 million over four years. Existing activities already committed to under the fund account for approximately $392.4 million over the period 2011-12 to 2014-15.

On an annual basis, the minister will be provided with an opportunity to set the priority areas for funding through the fund. These priorities will be used as the basis for allocating uncommitted money each year, and will allow for the adjustment of the funding allocation against priorities and to ensure that emerging health and ageing challenges are being addressed. Top of page

2. Eligibility

2.1 Who can access the fund?

Applications are encouraged from a wide range of non government and government entities. Applicants are not required to have had a prior funding relationship established with the department, but must be a legal entity to be eligible for funding. For example, applicants must be:

1. Incorporated associations (incorporated under state/ territory legislation, commonly have 'Association' or 'Incorporated' or 'Inc' in their legal name)
2. Incorporated cooperatives (also incorporated under state/ territory legislation, commonly have 'Cooperative' in their legal name)
3. Companies (incorporated under the Corporations Act 2001 – may be not-for-profit or for-profit proprietary company (limited by shares or by guarantee) or public companies)
4. Aboriginal corporations (incorporated under the Aboriginal and Torres Strait Islander Act 2006 and administered by the Office of the Registrar of Aboriginal and Torres Strait Islander Corporations)
5. Organisations established through a specific piece of Commonwealth or state/ territory legislation (many public benevolent institutions, churches, universities, unions etc)
6. Partnerships
7. Trustees on behalf of a trust
8. State/ territory or local governments or
9. where there is no suitable alternative, an individual or individuals either jointly or separately.

Should a grant process have restricted eligibility requirements, this will clearly be specified in the application package for that process.

2.2 What activities are eligible for funding?

To be considered for funding, applicants must propose to undertake activities that meet the objectives and priorities for the fund, and comply with the terms of the application documentation. Matters such as:

• project activities/ items that will be considered eligible
• any funding caps (minimum and/or maximum limits)
• any restrictions on start/ end dates for activity. For example, all projects must be completed within the stated financial year/s
• any restrictions around whether funding will be provided only for new or additional work
• any restrictions on when funding must be expended by. For example, all funding will be available from [insert date] and must be expended by [insert date] will be included in any approach to market documentation, as required. Retrospective items/ activities will not normally be funded by the fund (NB: Unless allowed under the terms of the fund and agreed by the department). Top of page

3. Probity

The Australian Government is committed to ensuring that the process for providing funding under the Substance Misuse Service Delivery Grants Fund is transparent and in accordance with published fund guidelines. Individual grant processes will contain detailed guidance on the specific requirements for that process and these will not be inconsistent with the fund guidelines.

Note: Fund guidelines may be varied from time to time by the Australian Government as the needs of the fund require. Amended fund guidelines will be published on the department's website in advance of any grants process.

3.1 Conflict of interest

A conflict of interest may exist, for example, if 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 department staff member
• Has a relationship with, or interest in, an organisation, which is likely to interfere with or restrict the applicant in 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 granting of funding under the Substance Misuse Service Delivery Grants Fund.

Each applicant will be required to declare as part of the application process, 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 project or any contractual arrangements it may enter into with the Australian Government.

Where an applicant subsequently identifies that an actual, apparent, or potential conflict of interest exists or might arise in relation to an application for funding, the applicant must inform the department in writing immediately. Top of page

3.2 Confidentiality and protection of personal information

Each applicant will be required to declare as part of their application, their ability to comply with the proposed contractual arrangement to be entered into with the Australian Government.

The protection of personal information clause requires the funded organisation to:

• comply with the Privacy Act (1988) ('the Privacy Act'), including the 11 information privacy principles (IPPs), as if it were an agency under the Privacy Act, and the national privacy principles (NPPs)
• refrain from engaging in direct marketing (s 16F of the Privacy Act), to the extent that the NPP and/or s 16F apply to the funded organisation and
• impose the same privacy obligations on any subcontractors it engages to assist with the project.

The confidentiality clause in any subsequent contractual arrangement imposes obligations on the funded organisation with respect to special categories of information collected, created or held under the agreement. The funded organisation is required to seek the Commonwealth's consent in writing before disclosing confidential information.

The specific clauses governing the confidentiality provisions of any grant process under this fund will be contained in the contract that will form part of any grant application documentation available to potential applicants. Top of page

4. Fund application processes

Access to funding from the Substance Misuse Service Delivery Grants Fund will be available via a variety of means, throughout the life of the fund. The department proposes to undertake the following to achieve the aims, objectives and priorities for the fund.

4.1 Open competitive grant rounds

Open competitive funding rounds are expected to be the main funding avenue for new activities, which will open and close to applications on nominated dates, with eligible applications being assessed against the selection criteria set down for the initiative and then prioritised against competing, eligible applications for the available funding.

Entities wishing to apply for funding will need to demonstrate (but not limited to) the following:

• Identified need
• Relevance to current government policies and priorities
• Value for money
• Capacity to deliver quality outcomes

4.2 Targeted grant rounds

Funding will also be made available through targeted or restricted competitive funding rounds from time to time to meet the aims, objectives and priorities for the fund. These grant rounds will be open to a small number of potential funding recipients based on the specialised requirements of the initiative or project under consideration.

4.3 One-off/ unsolicited funding

Provision will be made under the fund for one-off, unsolicited proposals, and emergency payments, provided that they meet the aims, objectives and priorities of the fund. Top of page

4.4 Procurement

Funds appropriated for the purpose of the fund may also be used for the procurement of work directly related to the purpose of the fund e.g. program evaluation. Such procurements will be undertaken in accordance with the requirements of the Commonwealth Procurement Guidelines and will be for purposes that are consistent with the objectives and priorities of the fund.

Procurement processes will be conducted independently of any grant process.

4.5 Fund under-expenditure

Funding allocations will be monitored throughout the year with potential underspends identified and allocated to activities identified as being the most appropriate method of meeting the aims and objectives of the fund. Applications identified as being able to meet the fund aims and objectives, and not receiving funding through an open or targeted grants round may also be prioritised and shortlisted for consideration should such underspends be identified.

Under expenditure may also be used to fund unsolicited proposals or one-off grants where such proposals will meet the objectives and priorities of the fund.

From time to time, the Australian Government may direct additional or supplementary funding to services under the fund. For example providing targeted services to areas where evidence shows that there is a need.

These fund guidelines will form part of the approach to market documentation and must be met in all circumstances where grant or procurement arrangements are entered into under the fund.

In urgent or unforeseen circumstances the minister or departmental delegate has the right to waive eligibility criteria. Top of page

4.6 Application processes

A range of activities will be funded under the fund. Open competitive and targeted grant funding processes will have comprehensive approach to market documentation developed that will detail at a minimum the following:

• General information for applicants
• How the initiative meets the fund objectives and priorities as specified in section 1
• Eligibility criteria (e.g. who can access the fund, what activities are eligible for funding) – as specified in section 2, and any mandatory requirements
• Assessment of applications, including assessment criteria specifically relating to the activities being funded
• Funding available
• Timeline for funding
• Proposed contractual arrangements – as specified in section 5
• Procedures for submitting an application
• Contact officer for applicants
• Fund guidelines

A full suite of documentation will be provided with each funding process. Where possible a minimum of one month's notice will be given to potential applicants of any proposed funding process. Such notice including the broad objectives of the funding round, the level of funding available and the timeframe for funding will be published on the department's internet site at www.health.gov.au and on grants LINK grantslink.gov.au

Applicants who receive funding under this fund will not be precluded from accessing funding under other flexible funds or non-fund program arrangements. Top of page

4.7 Decisions

Approval of funding

An assessment panel/s will be established by the department to assess applications against the assessment criteria and select the successful applicants.

Following an assessment of the applications by the fund assessment panel for that process, advice will be provided to the funding approver (approver) on the merits of the applications including value for money. The final decision about the approval of a grant will be made by the relevant minister or departmental delegate.

The approver will consider whether the proposal will make an efficient, effective, ethical and economical use of Australian Government resources, as required by Australian Government (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.

Advice to applicants

Applicants will be advised by letter of the outcome of their application. Letters to successful applicants will contain details of any specific conditions attached to the funding. In accordance with the Commonwealth Grants Guidelines grant approvals will also be listed on the department's website. The department will notify all unsuccessful applicants.

Complaint handling

The department's Procurement and Funding Complaints Handling Policy applies to complaints that arise in relation to a procurement or funding process. It covers events that occur between the time the request documentation is released publicly 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. Further details of the policy are available on the 'About us' page on the department's internet site www.health.gov.au

Any enquiries relating to decisions on funding under this fund, should be directed to the fund mailbox SMSDGF@health.gov.au Top of page

5. Conditions of funding

5.1 Contracting arrangements

Successful applicants funded under the fund will be required to enter into a funding agreement or alternative contractual arrangement with the Commonwealth (represented by the department).

A copy of the proposed contractual arrangement will form part of any material that forms the basis of a grant process under this fund.

5.2 Specific conditions

There may be specific conditions attached to the funding approval required as a result of the appraisal process or imposed by the approver. These will be identified in the offer of funding or during contract negotiations.

5.3 Payment arrangements

Payments will usually be made on achievement of agreed milestones.

Before any payment can be made, funding recipients will be required to provide:

• evidence of meeting the obligations of the funding agreement and
• a tax invoice for the amount of the payment.

Where payments are linked to the achievement of specific milestones, payments will only be made after the department is satisfied that those milestones and associated obligations of the contractual arrangement have been met. Top of page

5.4 Reporting requirements

Funding recipients will be required to provide progress reports on the agreed milestones. These progress reports may include funding acquittal requirements. The timing of progress reports will be negotiated and form part of the final contractual arrangement. The format and framework for providing progress reports will take into account the size, cost and relative risks of the initiative/ project being undertaken by the funding recipient.

5.5 Monitoring

The funded entity will be required to actively manage the delivery of the project. The department will monitor progress against the funding agreement or contract through assessment of progress reports and by conducting site visits as necessary.

5.6 Evaluation

An evaluation by the department will determine how the funding provided has contributed to the objectives of the fund. Funding recipients may be required to provide information to assist in this evaluation for a period of time, as stipulated in the funding agreement or contract, after funding has been provided. Top of page

6. Glossary of terms

Applicant – means any entity that applies for funding under the flexible fund.

Flexible fund – means the "The Substance Misuse Service Delivery Grants Fund" as described in section 1 of these guidelines.

Funded entity – means any entity that has been successful in a grant process under the flexible fund.

Funding approver (approver) – means the officer or individual identified in any grant documentation as the decision maker in any process under the fund.

Program – means a pre existing grants program that has been subject to consolidation into the fund.

Approach to market – means any invitation by the department to an organisation/s to apply for funding under the fund, this can refer to a grant or procurement process. Top of page

Attachment A1: Fund priorities

Priority

Supporting non-government drug and alcohol treatment services to deliver quality, evidence based treatment services and to effectively identify and treat coinciding mental illness and substance misuse (comorbidity) through activities such as workforce training, front line service delivery, and development of partnerships with the broader health sectors.

Supporting people from culturally and linguistically diverse (CALD) backgrounds, including improving the capacity of treatment services to deliver culturally appropriate care, and providing people from CALD backgrounds with access to treatment services.

Potential activities

1. A range of capacity building, service and/or quality improvement activities (to effectively identify and treat coinciding mental illness and substance misuse) for implementation within non-government drug and alcohol treatment services such as:
   
   
   • workforce training and development (for both clinical and non-clinical staff)
   • accessing professional support (e.g. clinical review, case conferencing, secondary consultation, access to clinical psychological services)
   • revising and implementing relevant policies and procedures including screening and assessment, intake and referral, and occupational health and safety and
   • involving consumers in treatment planning.
     
     
2. A range of activities to develop sustainable partnerships with the broader health network such as:
   
   
   • developing and/or strengthening linkages/ partnerships with the wider health, social and community service network, such as GPs, mental health, and supported accommodation organisations and
   • dissemination of best practice polices and procedures (through drug and alcohol non-government peak bodies). Top of page

Broad assessment requirement

The first level of assessment for any grant arrangement will be to determine the capacity of the applicant and the proposed project to meet the purpose, scope, objectives and outcomes of the fund.

Applications will be initially assessed to ensure that proposed activities meet the aims, objectives and priorities of the fund.

In addition, applications will be further assessed against:

• specified selection criteria
• the organisation's financial viability and supporting infrastructure and
• the appropriateness of the proposed budget and value for money.

Specified selection criteria for non-government drug and alcohol treatment services

1. Proven performance in providing evidence-based treatment to people with alcohol or other drug problems, or able to demonstrate capacity to deliver such services.
2. Ability to undertake capacity building, service and/or quality improvement activities, in particular to better assist services to effectively identify and treat comorbidity. Top of page

Priority

Supporting those services targeting Aboriginal and Torres Strait Islander people to increase the effectiveness of, and access to, drug and alcohol treatment and rehabilitation services, including those in rural and remote areas; and

Assisting Indigenous communities to provide service delivery in alcohol and other drug treatment through delivery of an Indigenous alcohol and other drug workforce; improving health outcomes through education programs; and developing quality evidence-based and culturally secure resources around substance misuse for Indigenous communities.

Potential activities

1. Aboriginal and Torres Strait Islander drug and alcohol treatment service delivery, including:
   
   
   • Substance use services
   • Detoxification or withdrawal programs (residential and non-residential)
   • Substance use treatment and rehabilitation programs (residential and non-residential)
   • Substance use transitional aftercare and outreach programs (residential and non-residential)
   • Residential respite
   • Community-based education and prevention activities
   • Family-based therapy, support and education
   • Sobering-up services and
   • Community education.
     
     
2. Capacity building, service and/or quality improvement activities to assist in identifying and treating substance misuse for implementation within Aboriginal and Torres Strait Islander drug and alcohol treatment services, including:
   
   
   • Workforce development (for both clinical and non-clinical staff)
   • Accessing professional support (e.g. clinical review, case conferencing, secondary consultation, access to clinical psychological services) and
   • Revising and implementing relevant policies and procedures including screening and assessment, intake and referral, and occupational health and safety. Top of page

Broad assessment requirement

The first level of assessment for any grant arrangement will be to determine the capacity of the applicant and the proposed project to meet the purpose, scope, objectives and outcomes of the fund.

In addition, applications will be further assessed against:

• Specified selection criteria
• Organisation's financial viability and supporting infrastructure and
• Appropriateness of the proposed budget and value for money.

Specified selection criteria for non-government drug and alcohol treatment services

• Proven performance in providing evidence based treatment to Aboriginal and Torres Strait Islander people with alcohol or other drug problems, or able to demonstrate capacity to deliver such services and
• Able to competently implement and manage the funded activities. Top of page

Priority

Reducing the prevalence and impact of petrol sniffing by continuing to support the supply of low aromatic fuel to existing sites and expanding the roll out to sites in the Top End of the Northern Territory, East Kimberley in Western Australia and Gulf of Carpentaria and Cape York regions of Queensland.

Potential activities

The procurement of production, transport, storage and quality assurance of low aromatic fuel for specified areas in regional and remote Australia.

Broad assessment requirement

Procurement will be undertaken in strict accordance with the Commonwealth Procurement Guidelines.

Priority

Supporting the development and implementation of a range of social marketing campaigns to address illicit drug use.

Potential activities

• Raising awareness of the harms associated with illicit drug use among young Australians and encouraging and supporting decisions not to use through the development and implementation of a targeted social marketing campaigns and
• Building on previous campaigns, new creative materials based on research will be developed to communicate key illicit drug prevention messages to the target audience through advertising, youth marketing, public relations and promotions, campaign resources and online communication activities.

Broad assessment requirement

Campaign development including procurement will comply with the Guidelines on Information and Advertising Campaigns by Australian Government Departments and Agencies (March 2010). Consultants for campaigns with expenditure over $250,000 will be selected to tender from the Communications Multi-Use List administered by the Department of Finance and Deregulation. Campaign advertising is placed through the Central Advertising System administered by the Department of Finance and Deregulation.

Page last reviewed: 22 March 2012