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Fiscal Year 2020 – Award Standard Terms

Name Language

1 Acceptance of

the Terms of

an Award

By drawing orotherwiseobtaining fundsfromtheHealth and Human Services(HHS) Payment

Management System,therecipient acknowledges acceptanceoftheterms and conditions oftheaward

and is obligated to performinaccordancewiththerequirements oftheaward. Iftherecipient cannot

accepttheterms,therecipientshould notifytheGrants ManagementOfficer (GMO) within thirty (30)

days ofreceiptofthis awardnotice. Oncean awardis accepted by a recipient,thecontents ofthe

Notice of Award (NoA) arebinding ontherecipientunless and untilmodified by a revised NoAsigned by

theGMO.

CertificationStatement: Bydrawing downfunds,therecipient certifiesthatproper financial

management controls andaccounting systems,to includepersonnel policies and procedures, havebeen

established to adequately administerFederal awards and funds drawndown. Recipients of Department

of Health and HumanServices’(DHHS) grants or cooperativeagreement awardsmust comply with all

terms and condition oftheir awards, including:(a)terms and conditionsincludedintheHHSGrants

Policy Statementin effect atthetimeof a new, non-competing continuation, or renewal award 

https://www.hhs.gov/sites/default/files/grants/grants/policies-regulations/hhsgps107.pdf, including the

requirements of HHS grants administration regulations;(b)requirements oftheauthorizing statutes and

implementing regulationsfortheprogramunderwhich theawardisfunded;(c) applicable

requirements or limitationsin appropriations acts;and (d) any requirementsspecific to the particular

award specified in programpolicyandguidance,theFunding Opportunity Announcement, or theNoA.

2 Uniform 

Administrative 

Requirements, 

Cost Principles, 

and Audit 

Requirements for 

HHS Awards

TheNoAissued issubjectto theadministrativerequirements, costprinciples, andaudit requirements

that govern Federalmonies associated with this award, as applicable, in theUniformGuidance2 Codeof

Federal Regulations(CFR) Part200 as codifiedby HHS at45 CFR Part75 (https://www.ecfr.gov/cgibin/retrieveECFR?gp=&SID=0ddb69baec587eeea4ab7e6a68c4acb0&mc=true&r=PART&n=pt45

.1.75.

3 Award 

Expectations

The eligibility and program requirements originally outlined in the Funding Opportunity Announcement 

(FOA)must continue to be adhered to as the funded project is implemented. Recipients must comply 

with the performance goals, milestones, outcomes, and performance data collection as reflected in the 

FOA and related policy and guidance. Additional terms and/or conditions may be applied to this award if 

outstanding financial or programmatic compliance issues are identified by Substance Abuse and Mental 

Health Services Administration (SAMHSA).

4 Flow down of 

requirements to 

sub-recipients 

The grantee, as the awardee organization, is legally and financially responsible for all aspects of this 

award including funds provided to sub-recipients, in accordance with 45 CFR §§ 75.351 –75.352, Subrecipient monitoring and management.

5 Future Funding As indicated in theNoA,recommendedfuturesupportreflectstotalcosts(directplus indirect). Funding

is subjectto theavailabilityof Federal funds and satisfactory progress of the project.

6 Non-Supplant Federal award funds must supplement, not replace (supplant) nonfederal funds. All recipients who 

receive awards under programs that prohibit supplanting by law must ensure that federal funds do not 

supplant funds that have been budgeted for the same purpose through non-federal sources. Applicants 

or award recipients may be required to demonstrate and document that a reduction in non-federal 

resources occurred for reasons other than the receipt of expected receipt of federal funds.

7 Unallowable 

Costs

All costs incurred prior to the award issue date and costs not consistent with the funding opportunity, 45 

CFR Part 75, and the HHS Grants Policy Statement, are not allowable under this award.
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8 Conflicts of

Interest Policy

Recipientsmust establish written policies and proceduresto prevent employees, consultants, and

others (including family, business, orother ties) involved in grant-supportedactivities,from

involvementinactualor perceived conflicts of interest. Thepolicies and proceduresmust:

• address conditions underwhich outsideactivities,relationships, or financial interest are

proper or improper;

• provideforadvancedisclosureof outsideactivities,relationships, or financial interestto a

responsibleorganizationalofficial;

• includea processfornotificationand reviewby theresponsibleofficial of potential or

actual violations ofthestandards;and

• specify thenatureof penaltiesthatmaybeimposedfor violations.

9 Administrative 

and National 

Policy 

Requirements

Public policy requirements are requirements with a broader national purpose than that of the Federal 

sponsoring program or award that an applicant/recipient must adhere to as a prerequisite to and/or 

condition of an award. Public policy requirements are established by statute, regulation, or Executive 

order. In some cases they relate to general activities, such as preservation of the environment, while, in 

other cases they are integral to the purposes of the award-supported activities. An application funded 

with the release of federal funds through a grant award does not constitute or imply compliance with 

federal statute and regulations. Funded organizations are responsible for ensuring that their activities 

comply with all applicable federal regulations.

10 Carryover -

Expanded

Authority for

Unobligated

Balances

from One

Budget

Period to Any

Subsequent

Budget

Period

Federal administrativerequirements allowagenciesto providerecipients with expandedauthorities,

which waivecertaincost-related andadministrativeprior approvals under certainconditions.

Per 45 CFR Part75.308(d)(3)SAMHSAhas extended expanded authority to recipientsrequesting

carryover of unobligated balances(UOB) up to 25% or less of the current budget period (year when the 

funds are needed) provided that recipients are not on drawdown restriction.

Recipients requesting a carryover greaterthan 25% ofthe currentbudget periodaward cannot exercise this 

expanded authority.

Recipients whoexerciseexpanded authority MUST include an Intent toCarryoverstatementinthe

Remarks section (box 12) oftheannual Federal Financial Report(FFR).

Expanded authority may beoverridden by otherspecialterms or conditions oftheaward. Recipients

must carefullyreviewtheNotice of Awardto determineif a particularauthority is withheld fora

specificaward.

Recipients must exercise proper stewardship over Federal funds and ensure that costs charged to 

awards are allowable, allocable, reasonable, necessary, and consistently applied regardless of the 

source of funds.

Additional Guidance:https://www.samhsa.gov/grants/grants-management/post-awardamendments#carryover
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11 Marijuana 

Restriction

Grant funds may not be used, directly or indirectly, to purchase, prescribe, or provide marijuana or 

treatment using marijuana. Treatment in this context includes the treatment of opioid use disorder. 

Grant funds also cannot be provided to any individual who or organization that provides or permits 

marijuana use for the purposes of treating substance use or mental disorders. See, e.g., 45 C.F.R. §

75.300(a) (requiring HHS to “ensure that Federal funding is expended in full accordance with U.S. 

statutory requirements.”); 21 U.S.C. §§812(c)(10) and 841 (prohibiting the possession, manufacture, 

sale, purchase or distribution of marijuana). This prohibition does not apply to those providing such 

treatment in the context of clinical research permitted by the DEA and under an FDA-approved 

investigational new drug application where the article being evaluated is marijuana or a constituent 

thereof that is otherwise a banned controlled substance under federal law. 

12 Prior Approval SAMHSA anticipates that the recipient may need to modify the recipient's award budget or other 

aspects of its approved application during performance to accomplish the award's programmatic 

objectives. In general, recipients are allowed a certain degree of latitude to re-budget within and 

between budget categories to meet unanticipated needs and to make other types of post-award 

changes, provided that the changes still meet the statutory program requirements and the regulatory 

requirements under 45 CFR, as applicable.

Items that require prior approval (i.e. formal written approval) from the GMO, as indicated in either 45 

CFR Part 75 or the HHS Grants Policy Statement, must be submitted in writing to the GMO. Based on 

the nature, extent, and timing of the request, the SAMHSA GMO may approve, deny, or request 

additional material to further document and evaluate your request.

Only an amended NoA signed by the GMO is considered valid. Verbal authorization is not approval and 

is not binding on SAMHSA. Recipients who proceed do so at their own risk.

Prior approval is required for but is not limited to: Changes in Key Personnel and Level of Effort, Budget 

Revisions, Changes in Scope, Carryover Requests (that fall outside the term for the Expanded Authority 

for Carryover), and No Cost Extensions. A summary of activities that require prior approval is listed in 

the HHS Grants Policy Statement under Exhibit 5, Page II-49 

See link: https://www.hhs.gov/sites/default/files/grants/grants/policies-regulations/hhsgps107.pdf.

SAMHSA instructions regarding requests for prior approval are available at: 

https://www.samhsa.gov/grants/grants-management/post-award-amendments

13 Executive Pay The Department of Defense and Labor, Health and Human Services, and Education Appropriations 

Act, 2019 (Public Law 115-245), signedinto lawon September 28, 2018restrictstheamountof

directsalary to ExecutiveLevel II ofthe Federal ExecutivePay scale. Effective January 6, 2019, the 

salary limitation for Executive Level II is $192,300.

For awardsissued prior to this change, ifadequatefunds areavailableinactive awards, andifthesalary

cap increaseis consistentwiththeinstitutional basesalary, recipientsmayre-budgetto accommodatethe

current ExecutiveLevel IIsalarylevel. However, no additional funds will beprovided to thesegrant

awards.

14 Promotional

Items

SAMHSA grant funds may not be used for Promotional Items. Promotional items include but are 

not limited to: clothing and commemorative items such as pens, mugs/cups, folders/folios, 

lanyards, and conference bags. 

HHS Policy on the Use of Appropriated Funds for Promotional Items:

https://www.hhs.gov/grants/contracts/contract-policies-regulations/spending-on-promotionalitems/index.html
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Name Language

15 SAM and DUNS 

Requirements

This award is subject to requirements as set forth in 2 CFR 25.310 Appendix A SAM and Data 

Universal Number System (DUNS) numbers. 2 CFR Part 25 - Appendix A4 System of Award 

Management (SAM) and Universal Identifier Requirements

A. Requirement for System of Award Management

Unless you are exempted from this requirement under 2 CFR 25.110, you, as the recipient, 

must maintain the currency of your information in the SAM, until you submit the final financial 

report required under this award or receive the final payment, whichever is later. This requires 

that you review and update the information at least annually after the initial registration, and 

more frequently if required by changes in your information or another award term.

B. Requirement for unique entity identifier if you are authorized (reference project description) 

to make subawards under this award, you:

1. Must notify potential subrecipients that no entity (see definition in paragraph C of this 

award term) may receive a subaward from you, unless the entity has provided its unique 

entity identifier to you; and

2. May not make a subaward to an entity, unless the entity has provided its unique entity 

identifier to you.

C. Definitions. For purposes of this awardterm:

1. System of Award Management (SAM) means the Federal repository into which an entity 

must provide information required for the conduct of business as a recipient. Additional 

information about registration procedures may be found at the SAM Internet site 

(currently at: http://www.sam.gov).

2. Unique entity identifier means the identifier required for SAM registration to uniquely 

identify business entities.

3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 

25, subpart C:

a. A governmental organization, which is a state, local government, or Indian Tribe; b. A 

foreign public entity; c. A domestic or foreign nonprofit organization; d. A domestic or 

foreign for-profit organization; and e. A Federal agency, but only as a subrecipient under 

an award or subaward to a non-Federal entity.

4. Subaward:

a. This term means a legal instrument to provide support for the performance of any 

portion of the substantive project or program for which you received this award and that 

you as the recipient award to an eligible subrecipient; b. The term does not include your 

procurement of property and services needed to carry out the project or program (for 

further explanation, see 2 CFR 200.330). c. A subaward may be provided through any legal 

agreement, including an agreement that you consider a contract. 

5. Subrecipient means an entity that: a. receives a subaward from you under this award; and 

b. is accountable to you for the use of the Federal funds provided by the subaward.
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Name Language

16 Federal

Financial 

Accountability 

and Transparency 

Act (FFATA)

Reporting Subawards and Executive Compensation, 2 CFR, Appendix A to Part 170

a. Reporting of first-tier subawards. 

1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you 

must report each action that obligates $25,000 or more in Federal funds that does not 

include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and 

Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in 

paragraph e. of this award term).

2. Where and when to report.

i. You must report each obligating action described in paragraph a. 1. of this award term 

to http://www.fsrs.gov.

ii. For subaward information, report no later than the end of the month following the 

month in which the obligation was made. (For example, if the obligation was made on 

November 7, 2010, the obligation must be reported by no later than December 31, 

2010.)

3. What to report. You must report the information about each obligating action that the 

submission instructions posted at http://www.fsrs.govspecify.

b. Reporting Total Compensation of Recipient Executives.

1. Applicability and what to report. You must report total compensation for each of your five 

most highly compensated executives for the preceding completed fiscal year, if—

i. the total Federal funding authorized to date under this award is $25,000 or more;

ii. in the preceding fiscal year, you received—

(A) 80 percent or more of your annual gross revenues from Federal procurement 

contracts (and subcontracts) and Federal financial assistance subject to the 

Transparency Act, as defined at 2 CFR 170. 320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from Federal procurement 

contracts (and subcontracts) and Federal financial assistance subject to the 

Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

iii. The public does not have access to information about the compensation of the 

executives through periodic reports filed under section 13(a) or 15(d) of the Securities 

Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal 

Revenue Code of 1986. (To determine if the public has access to the compensation 

information, see the U.S. Security and Exchange Commission total compensation filings 

at https://www.sec.gov/fast-answers/answers-execomphtm.html

2. Where and when to report. You must report executive total compensation described in 

paragraph b. 1. of this award term:

i. As part of your registration profile at https://www.sam.gov

ii. By the end of the month following the month in which this award is made, and 

annually thereafter.

c. Reporting of Total Compensation of Subrecipient Executives.

1. Applicability and what to report. Unless you are exempt as provided in paragraph c. of this 

award term, for each first-tier subrecipient under this award, you shall report the names 

and total compensation of each of the subrecipient's five most highly compensated 

executives for the subrecipient's preceding completed fiscal year, if—

i. in the subrecipient's preceding fiscal year, the subrecipient received—

 (A) 80 percent or more of its annual gross revenues from Federal procurement 

contracts (and subcontracts) and Federal financial assistance subject to the 
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Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

 (B) $25,000,000 or more in annual gross revenues from Federal procurement 

contracts (and subcontracts), and Federal financial assistance subject to the

Transparency Act (and subawards); and

ii. The public does not have access to information about the compensation of the 

executives through periodic reports filed under section 13(a) or 15(d) of the Securities 

Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal 

Revenue Code of 1986. (To determine if the public has access to the compensation 

information, see the U.S. Security and Exchange Commission total compensation 

filings at http://www.sec.gov/answers/execomp.htm.) 

2. Where and when to report. You must report subrecipient executive total compensation 

described in paragraph c. 1. of this award term: 

i. To the recipient.

ii. By the end of the month following the month during which you make the subaward. 

For example, if a subaward is obligated on any date during the month of October of a 

given year (i.e., between October 1 and 31), you must report any required 

compensation information of the subrecipient by November 30 of that year.

d. Exemptions if, in the previous tax year, you had gross income, from all sources, under 

$300,000, you are exempt from the requirements to report: 

i. Subawards, and

ii. The total compensation of the five most highly compensated executives of any 

subrecipient.

e. Definitions. For purposes of this award term: 

1. Entity means all of the following, as defined in 2 CFR Part 25: 

i. A Governmental organization, which is a State, local government, or Indian tribe;

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization; 

v. A Federal agency, but only as a subrecipient under an award or sub-award to a nonFederal entity.

2. Executive means officers, managing partners, or any other employees in management 

positions.

3. Subaward:

i. This term means a legal instrument to provide support for the performance of any 

portion of the substantive project or program for which you received this award and 

that you as the recipient award to an eligible subrecipient.

ii. The term does not include your procurement of property and services needed to carry 

out the project or program (for further explanation, see Sec. __. 210 of the 

attachment to OMB Circular A-133, “Audits of States, Local Governments, and NonProfit Organizations”).

iii. A subaward may be provided through any legal agreement, including an agreement 

that you or a subrecipient considers a contract. 

4. Subrecipient means an entity that: 

i. Receives a subaward from you (the recipient) under this award; and

ii. Is accountable to you for the use of the Federal funds provided by the subaward.

5. Total compensation means the cash and noncash dollar value earned by the executive 

during the recipient's or subrecipient's preceding fiscal year and includes the following 

(for more information see 17 CFR 229.402(c)(2)):
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i. Salary and bonus.

ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount 

recognized for financial statement reporting purposes with respect to the fiscal year in 

accordance with the Statement of Financial Accounting Standards No. 123 (Revised 

2004) (FAS 123R), Shared Based Payments.

iii. Earnings for services under non-equity incentive plans. This does not includegroup 

life, health, hospitalization or medical reimbursement plans that do not discriminate in 

favor of executives, and are available generally to all salaried employees.

iv. Change in pension value. This is the change in present value of defined benefit and 

actuarial pension plans.

v. Above-market earnings on deferred compensation which is not tax-qualified.

vi. Other compensation, if the aggregate value of all such other compensation (e.g. 

severance, termination payments, value of life insurance paid on behalf of the 

employee, perquisites or property) for the executive exceeds $10,000.

[75 FR 55669, Sept. 14, 2010, as amended at 79 FR 75879, Dec. 19, 2014]

17 FAPIIS -

Recipient 

Integrity and 

Performance

https://www.fapiis.gov/fapiis/index.action

A. Reporting of Matters Related to Recipient Integrity and Performance

1. General Reporting Requirement

If the total value of your currently active grants, cooperative agreements, and procurement 

contracts from all Federal awarding agencies exceeds $10,000,000 for any period of time during 

the period of performance of this Federal award, then you as the recipient during that period of 

time must maintain the currency of information reported to the System for Award Management 

(SAM) that is made available in the designated integrity and performance system (currently the 

Federal Awardee Performance and Integrity Information System (FAPIIS)) about civil, criminal, or 

administrative proceedings described in paragraph 2 of this award term and condition. This is a 

statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As 

required by section 3010 of Public Law 111-212, all information posted in the designated integrity 

and performance system on or after April 15, 2011, except past performance reviews required for 

Federal procurement contracts, will be publicly available.

2. Proceedings About Which You Must Report

Submit the information required about each proceeding that:

a. Is in connection with the award or performance of a grant, cooperative agreement, or 

procurement contract from the Federal Government;

b. Reached its final disposition during the most recent five-year period; and

c. If one of the following:

(1) A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of this 

award term and condition;

(2) A civil proceeding that resulted in a finding of fault and liability and payment of a 

monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more;

(3) An administrative proceeding, as defined in paragraph 5 of this award term and condition, 

that resulted in a finding of fault and liability and your payment of either a monetary fine or 

penalty of $5,000 or more or reimbursement, restitution, or damages in excess of $100,000; or

(4) Any other criminal, civil, or administrative proceeding if:

i. It could have led to an outcome described in paragraph 2.c.(1), (2), or (3) of this award 

term and condition; 

ii. It had a different disposition arrived at by consent or compromise with an 

acknowledgement of fault on your part; and 
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iii. The requirement in this award term and condition to discloseinformation about the 

proceeding does not conflict with applicable laws and regulations.

3. Reporting Procedures

Enter in the SAM Entity Management area the information that SAM requires about each 

proceeding described in paragraph 2 of this award term and condition. You do not need to submit 

the information a second time under assistance awards that you received if you already provided 

the information through SAM because you were required to do so under Federal procurement 

contracts that you were awarded.

4. Reporting Frequency

During any period of time when you are subject to this requirement in paragraph 1 of this award 

term and condition, you must report proceedings information through SAM for the most recent 

five-year period, either to report new information about any proceeding(s) that you have not 

reported previously or affirm that there is no new information to report. Recipients that have 

Federal contract, grant, and cooperative agreement awards with a cumulative total value greater 

than $10,000,000 must disclose semiannually any information about the criminal, civil, and 

administrative proceedings.

5. Definitions

For purposes of this award term and condition: 

a. Administrative proceeding means a non-judicial process that is adjudicatory in nature in order

to make a determination of fault or liability (e.g., Securities and Exchange Commission 

Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed 

Services Board of Contract Appeals proceedings). This includes proceedings at the Federal and 

State level but only in connection with performance of a Federal contract or grant. It does not 

include audits, site visits, corrective plans, or inspection of deliverables.

b. Conviction, for purposes of this award term and condition, means a judgment or conviction of 

a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a 

plea, and includes a conviction entered upon a plea of nolo contendere.

c. Total value of currently active grants, cooperative agreements, and procurement contracts 

includes—

(1)Only the Federal share of the funding under any Federal award with a recipient cost share 

or match; and 

(2) The value of all expected funding increments under a Federal award and options, even if 

not yet exercised

[81 FR 3019, Jan. 20, 2016]

18 Acknowledgement of Federal 

Funding in 

communications 

and contracting. 

As required by HHS appropriations acts, all HHS recipients must acknowledge Federal funding when 

issuing statements, press releases, requests for proposals, bid invitations, and other documents 

describing projects or programs funded in whole or in part with Federal funds. Recipients are required to 

state: (1) the percentage and dollar amounts of the total program or project costs financed with Federal 

funds; and (2) the percentage and dollar amount of the total costs financed by nongovernmental 

sources.

19 Acknowledgement of Federal 

Funding at 

Conferences and 

Meetings

A conference is defined as a meeting, retreat, seminar, symposium, workshop or event whose primary 

purpose is the dissemination of technical information beyond the non-Federal entity and is necessary 

and reasonable for successful performance under the Federal award. Allowable conference costs paid by 

the non-Federal entity as a sponsor or host of the conference may include rental of facilities, speakers' 

fees, costs of meals and refreshments, local transportation, and other items incidental to such 
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conferences unless further restricted by the terms and conditions of the Federal award. As needed, the 

costs of identifying, but not providing, locally available dependent-care resources are allowable. 

Conference hosts/sponsors must exercise discretion and judgment in ensuring that conference costs are 

appropriate, necessary and managed in a manner that minimizes costs to the Federal award. The HHS 

awarding agency may authorize exceptions where appropriate for programs including Indian tribes, 

children, and the elderly. See also §§75.438, 75.456, 75.474, and 75.475. 

When a conference is funded by a grant or cooperative agreement, the recipient must include the 

following statement on all conference materials (including promotional materials, agenda, and Internet 

sites):

Funding for this conference was made possible (in part) by (insert grant or cooperative agreement award 

number) from SAMHSA. The views expressed in written conference materials or publications and by 

speakers and moderators do not necessarily reflect the official policies of the Department of Health and 

Human Services; nor doesmention of trade names, commercial practices, or organizations imply 

endorsement by the U.S. Government.

20 Rights in Data 

and Publications

As applicable, recipients agree to the requirements for intellectual property, rights in data, access to 

research data, publications, and sharing research tools, and intangible property and copyrights as 

described in 45 CFR § 75.322 and the HHS Grants Policy Statement. 

Recipients may copyright any work that is subject to copyright and was developed, or for which 

ownership was acquired, under a Federal award. SAMHSA reserves a royalty-free, nonexclusive and 

irrevocable right to reproduce, publish, or otherwise use the work for Federal purposes, and to authorize 

others to do so.

21 Mandatory 

Disclosures

Consistent with 45 CFR 75.113, applicants and recipients must disclose in a timely manner, in writing to 

the HHS Office of Inspector General (OIG), all information related to violations, or suspected violations, 

of Federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the Federal 

award. Subrecipients must disclose, in a timely manner, in writing to the prime recipient(pass through 

entity) and the HHS OIG, all information related to violations, or suspected violations, of Federal criminal 

law involving fraud, bribery, or gratuity violations potentially affecting the Federal award. Disclosures 

must be sent in writing to the awarding agency and to the HHS OIG at the following addresses:

U.S. Department of Health and Human Services

Office of Inspector General ATTN: Mandatory Grant Disclosures, Intake Coordinator 330 Independence 

Avenue, SW, Cohen Building Room5527 Washington, DC 20201

Fax: (202) 205-0604 (Include “Mandatory Grant Disclosures” in subject line) or email: 

MandatoryGranteeDisclosures@oig.hhs.gov

Failure to make required disclosures can result in any of the remedies described in 45 CFR 75.371 

remedies for noncompliance, including suspension or debarment (see 2 CFR parts 180 & 376 and 31 

U.S.C. 3321).
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22 Lobbying 

Restrictions

Per 45 CFR §75.215, Recipients are subject to the restrictions on lobbying as set forth in 45 CFR part 93.

U.S.C. > Title 18 > Part I > Chapter 93 > Section 1913, No part of the money appropriated by any 

enactment of Congress shall, in the absence of express authorization by Congress, be used directly or 

indirectly to pay for any personal service, advertisement, telegram, telephone, letter, printed or written 

matter, or other device, intended or designed to influence in any manner a Member of Congress, a 

jurisdiction, or an official of any government, to favor, adopt, or oppose, by vote or otherwise, any 

legislation, law, ratification, policy, or appropriation, whether before or after the introduction of any bill, 

measure, or resolution proposing such legislation, law, ratification, policy, or appropriation;but this shall 

not prevent officers or employees of the United States or of its departments or agencies from 

communicating to any such Member or official, at his/her request, or to Congress or such official, 

through the proper official channels, requests for any legislation, law, ratification, policy, or 

appropriations which they deem necessary for the efficient conduct of the public business, or from 

making any communication whose prohibition by this section might, in the opinion of the Attorney 

General, violate the Constitution or interfere with the conduct of foreign policy, counter-intelligence, 

intelligence, or national security activities.

Violations of this section shall constitute as a violation of section 1352 (a) of Title 31.

23 Drug-Free 

Workplace

The Drug-Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.) requires that all organizations receiving 

grants from any Federal agency agree to maintain a drug-free workplace. By signing the application, the 

AOR agrees that the grantee will provide a drug-free workplace and will comply with the requirement to 

notify NIH if an employeeis convicted of violating a criminal drug statute. Failure to comply with these 

requirements may be cause for debarment. Government wide requirements for Drug-Free Workplace 

for Financial Assistance are found in 2 CFR part 182; HHS implementing regulations are set forth in 2 CFR 

part 382.400. All recipients of NIH grant funds must comply with the requirements in Subpart B (or 

Subpart C if the recipient is an individual) of part 382.

24 Trafficking 

Victims 

Protection Act of 

2000 (22 U.S.C. 

7104(G)), as 

amended, and 2 

C.F.R. PART 175

The Trafficking Victims Protection Act of 2000 authorizes termination of financial assistance provided to 

a private entity, without penalty to the Federal government, if the recipient or subrecipient engages in 

certain activities related to trafficking in persons. SAMHSA may unilaterally terminate this award, 

without penalty, if a private entity recipient, or a private entity subrecipient, or their employees:

a) Engage in severe forms of trafficking in persons during the period of time that the award is in effect;

b) Procure a commercial sex act during the period of time that the award is in effect; or,

c) Use forced labor in the performance of the award or subawards under the award.

The text of the full award term is available at 2 C.F.R. § 175.15(b). See 

http://www.gpo.gov/fdsys/pkg/CFR-2012-title2-vol1/pdf/CFR-2012-title2-vol1-sec175-15.pdf

25 Confidentiality of 

Alcohol and Drug 

Abuse Patient 

Records

The regulations (42 CFR 2) are applicable to any information about alcohol and other drug abuse 

patients obtained by a "program" (42 CFR 2.11), if the program is federally assisted in any manner (42 

CFR 2.12b). Accordingly, all project patient records are confidential and may be disclosed and used only 

in accordance with 42 CFR Part 2. The recipient is responsible for assuring compliance with these 

regulations and principles, including responsibility for assuring the security and confidentiality of all 

electronically transmitted patient material.
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26 Healthy People 

2020

Healthy People 2020 is a national initiative led by HHS that set priorities for all SAMHSA programs. The 

initiative has two major goals: (1) increase the quality and years of a healthy life; and (2) eliminate our 

country’s health disparities. The program consists of 28 focus areas and 467 objectives. SAMHSA has 

actively participated in the work groups of all the focus areas and is committed to the achievement of 

the Healthy People 2020 goals. Healthy People 2010 and the conceptual framework for the forthcoming 

Healthy People 2020 process can be found online at: http://www.healthypeople.gov/

27 Accessibility 

Provisions

Recipients of Federal financial assistance (FFA) from HHS must administer their programs in compliance 

with Federal civil rights law. This means that recipients of HHS funds must ensure equal access to their 

programs without regard to a person’s race, color, national origin, disability, age, and in some 

circumstances, sex and religion. This includes ensuring your programs are accessible to persons with 

limited English proficiency.

The HHS Office for Civil Rights also provides guidance on complying with civil rights laws enforced by 

HHS. Please see: http://www.hhs.gov/ocr/civilrights/understanding/section1557/index.html.

Recipients of FFA also have specific legal obligations for serving qualified individuals with disabilities. 

Please see- http://www.hhs.gov/ocr/civilrights/understanding/disability/index.html. Please contact 

the HHS Office for Civil Rights for more information about obligations and prohibitions under Federal 

civil rights laws at https://www.hhs.gov/civil- rights/index.html or call 1-800-368-1019 or TDD 1-800-

537-7697.

Also note that it is an HHS Departmental goal to ensure access to quality, culturally competent care, 

including long-term services and supports, for vulnerable populations. For further guidance on providing 

culturally and linguistically appropriate services, recipients should review the National Standards for 

Culturally and Linguistically Appropriate Services in Health and Health Care at 

https://minorityhealth.hhs.gov/omh/browse.aspx?lvl=1&lvlid=6.

28 Data Collection 

and Performance 

Measurement:

All SAMHSA recipients are required to collect and report evaluation data to ensure the effectiveness and 

efficiency of its programs under the Government Performance and Results (GPRA) Modernization Act of 

2010 (P.L. 102-62). Recipients must comply with the performance goals, milestones, and expected 

outcomes as reflected in the Funding Opportunity Announcement (FOA) and are required to submit data 

via SAMHSA’s data-entry and reporting system. 

Please contact your Government Program Official for additional submission information.

29 Legislative

Mandates

Certainstatutory provisions underP.L. 115-245,Departmentof Defenseand Labor, Health and Human

Services, and EducationAppropriations Act, 2019,DivisionB, Title V, TitleII,GeneralProvisionslimitthe

useof funds on SAMHSAgrants, cooperative agreements, and contract awards. Such provisions are

subjectto changeannually based on specificappropriation languagethatrestrictstheuseof grant

funds. Thefull textof P.L. 115-245is availableathttps://www.congress.gov/bill/115th-congress/housebill/6157/text? Format=txt.
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30 Executive Order 

13410: Promoting 

Quality and 

Efficient Health 

Care in Federal 

Government 

Administered or 

SponsoredHealth 

Care Programs

This EO promotes efficient delivery of quality health care through the use of health information 

technology, transparency regarding health care quality and price, and incentives to promote the 

widespread adoption of health information technology and quality of care. Accordingly, all recipients 

that electronically exchange patient level health information to external entities where national 

standards exist must:

a) Use recognized health information interoperability standards at the timeof any HIT system update, 

acquisition, or implementation, in all relevant information technology systems supported, in whole or in 

part, through this agreement/contract. Please consult www.healthit.gov for more information, and

b) Use Electronic Health Record systems (EHRs) that are certified by agencies authorized by the Office of 

the National Coordinator for Health Information Technology (ONC), or that will be certified during the 

life of the grant. For additional information contact: Jim Kretz, at 240-276-1755 or 

Jim.Kretz@samhsa.hhs.gov.

31 Audits Non-Federal recipients that expend $750,000 or more in federal awards during the recipient's fiscal year 

must have a single or program-specific audit conducted for that year in accordance with the provisions 

of 45 CFR §75.501(a). Guidance on determining Federal awards expended is provided in 45 CFR 

§75.502.

Recipients are responsible for submitting their Single Audit Reports and the Data Collections Forms (SFFAC) electronically to the to the Federal Audit Clearinghouse Visit disclaimer page (FAC) within the 

earlier of 30 days after receipt or nine months after the FY’s end of the audit period. The FAC operates 

on behalf of the OMB.

For specific questions and information concerning the submission process:

•Visit the Federal Audit Clearinghouse at https://harvester.census.gov/facweb 

•Call FAC at the toll-free number: (800) 253-0696

32 Ad Hoc 

Submissions

Throughout the project period, SAMHSA may determine that a grant requires submission of additional 

information beyond the standard deliverables. This information may include, but is not limited to, the 

following:

• Payroll

• Purchase orders

• Contract documentation

• Proof of project implementation

33 Submitting 

Responses to 

Conditions and 

Reporting 

Requirements

Unless otherwise identified in the special terms and conditions of award and post award 

requests, all responses to special terms and conditions of award and post award requests must 

be submitted through the eRA Commons system.

34 Risk Assessment SAMHSA’s Office of Financial Advisory Services (OFAS) may perform an administrative review 

of your organization’s financial management system. If the review discloses material 

weaknesses or other financial management concerns, grant funding may be restricted in 

accordance with 45 CFR 75/2 CFR 200, as applicable. The restriction will affect your 

organization’s ability to withdraw funds from the Payment Management Services account, until 

the concerns are addressed.
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35 90-day 

Reconciliation 

and Liquidation 

Period

In accordance with 45 CFR 75.309 and 75.381, recipients must liquidate all obligations incurred 

under an award not later than ninety (90) days after the end of award’s obligation and 

expenditure period (i.e., the project period) which also coincides with the due date for 

submission of the FINAL Federal Financial Report (SF-425). After ninety (90) days, letter of 

credit accounts are locked. SAMHSA does not approve extensions to the ninety (90) day postaward reconciliation/liquidation period. Therefore, recipients are expected to complete all 

work and reporting within the approved project period and the aforementioned 90-day postaward reconciliation/liquidation period. Recipients (late) withdrawal requests occurring after 

the aforementioned periods are denied.