Drug Free Communities (DFC) Support Program

Contents

DFC FY 2017 Award Terms and Conditions............................................................................................................................. 2

DFC FY 2017 Reporting Requirements..................................................................................................................................19

DFC FY 2017 Closeout Requirements (applicable to the final year of the DFC grant)..........................................................21

DFC 2017 Standard Terms and Reporting Requirements Page 1
DFC Fiscal Year (FY) 2017 Award Terms 

Terms/ 

Reports

Name Language

1 Acceptance of the 

Terms of an Award

By drawing down or otherwise obtaining funds from the HHS Payment 

Management System, the recipient acknowledges acceptance of the terms and 

conditions of the award and is obligated to perform in accordance with the 

requirements of the award. If the recipient cannot accept the terms, the recipient 

should notify the Grants Management Officer (GMO) within thirty (30) days of 

receipt of this award notice. Once an award is accepted by a recipient, the 

contents of the Notice of Award (NoA) are binding on the recipient unless and

until modified by a revised NoA signed by the GMO. 

Certification Statement: By drawing down funds, the recipient certifies that 

proper financial management controls and accounting systems, to include 

personnel policies and procedures, have been established to adequately 

administer federal awards and funds drawn down. Recipients of Department of 

Health and Human Services’ (DHHS) grants or cooperative agreement awards 

must also comply with all terms and conditions of their awards, including: (a) 

terms and conditions included in the HHS Grants Policy Statement in effect at the 

time of a new, non-competing continuation, or renewal award 

(http://www.hhs.gov/sites/default/files/grants/grants/policiesregulations/hhsgps107.pdf), including the requirements of HHS grants 

administration regulations; (b) requirements of the authorizing statutes and 

implementing regulations for the program under which the award is funded; (c) 

applicable requirements or limitations in appropriations acts; and (d) any 

requirements specific to the particular award specified in program policy and 

guidance, the Funding Opportunity Announcement, or the NoA. 

2 Special Term Drug-Free 

Communities (DFC) 

Program 

The Drug-Free Communities (DFC) Support Program was established under the 

Drug-Free Communities Act of 1997, P.L. 105-20. The purpose of DFC funding is to 

address two major goals: 1) establish and strengthen collaboration among 

communities, public and private non-profit agencies, and Federal, state, local and 

tribal governments to support the efforts of community coalitions, and 2) reduce 

substance use among youth and, over time, among adults.

The DFC Program is a collaborative effort between the Office of National Drug 

Control Policy (ONDCP) and the Substance Abuse and Mental Health Services 

Administration (SAMHSA). While responsibility rests with the recipient for 

achieving the primary goals of the program, SAMHSA shall monitor and provide 

continuing technical assistance, consultation, and coordination in the execution of 

the project during the funding period. You can find additional details about the 

support available to you as a recipient on the program's website at 

https://www.whitehouse.gov/ondcp.

In addition to these Terms and Conditions and the applicable statutes and 

regulations, recipients are bound by all requirements in the Funding Opportunity 

Announcement (FOA) for the FY 2017 DFC Program available at 

https://www.samhsa.gov/grants/grant-announcements/sp-17-001 and 

https://www.samhsa.gov/grants/grant-announcements/sp-17-002

DFC 2017 Standard Terms and Reporting Requirements Page 2
3 Special Term Recipient Roles 

and 

Responsibilities

For the purposes of the DFC Program, a recipient is either a coalition that has 

received a grant or is an outside agent that is serving as the grant award recipient 

on behalf of a community coalition. The following Statutory Eligibility 

Requirements must be met each year while the coalition is funded by the DFC 

Program.

The Statutory Eligibility Requirements pertain to all DFC-funded coalitions. If you 

are the recipient for a coalition, you are still responsible for ensuring all 

eligibility criteria are met by the coalition.

The recipient must continue to meet the Statutory Eligibility Requirements, as 

required by the original Funding Opportunity Announcement and the Drug-Free 

Communities Act during each year of funding. 

• The coalition must have at least one representative from the required 12 

sectors, as outlined in the FOA and the Drug-Free Communities Act of 1997;

• The coalition must maintain meeting minutes that demonstrates it is a unique 

entity that has substantial involvement from its members and is working 

toward to the two goals of the DFC Program;

• The coalition must address multiple (more than one) drugs in its annual 12-

Month Action Plan for each year of funding;

• The coalition must have as its principal mission the reduction of youth 

substance use;

• The coalition has not received 10 years of DFC funding;

• The coalition must collect and provide data as required by the DFC National 

Evaluation;

• The recipient must be an entity eligible to receive Federal funds;

• The recipient must not request more than $125,000 per year;

• The recipient must document non-Federal match as defined in the DFC Act; 

and

• The recipient can only be awarded one DFC grant at a time.

Other Requirements for all DFC Recipients (coalitions or outside agents)

• The recipient must continue implementing the specific goals and objectives 

outlined in their approved application for DFC funding;

• The recipient must develop a funding plan that ensures (1) the required 

match of requested Federal funds and (2) to solicit substantial financial 

support from non-Federal sources for sustainability purposes;

• The recipient’s key personnel, Program Director and Project Coordinator, of 

the DFC-funded coalition must participate in DFC Me

(https://dfcme.ondcp.eop.gov/);

• The recipient is expected to use the Strategic Prevention Framework (SPF), a 

five step evidence based process for community planning and decision 

making; and, 

• The recipient must plan and implement a comprehensive 12-Month Action 

Plan inclusive of the Seven Strategies for Community Change.

Requirements for Recipients in Year 3 and 7

• The coalition must submit via DFC Me a Strategic Plan for Sustainability with 

the February Progress Report in Years 3 and 7 of DFC funding.

DFC 2017 Standard Terms and Reporting Requirements Page 3
4 Special Term DFC New Recipient 

Webinar Series

For FY 2017 DFC grant award recipients will not be required to attend a New 

Recipient Training in DC. Instead, Key Personnel will be required to participate in a 

series of training webinars to ensure understanding of the DFC Program and key 

requirements. Additional information regarding the DFC New Recipient Webinar 

Series will be provided via the DFC Me System and the assigned DFC Government 

Project Officer (GPO).

5 Special Term DFC Me DFC Management and Evaluation (DFC Me) System

DFC Me is the Drug-Free Communities (DFC) Support Program's new interactive 

system designed to improve communication and help your coalition better 

manage its DFC grant. DFC Me is also your one-stop shop for submitting SemiAnnual Progress Reports, sharing best practices, receiving the latest program and 

training updates, and also provides you with the ability to request technical 

assistance. 

The Program Director and Project Coordinator of the DFC-funded coalition must 

participate in the DFC Me system (https://dfcme.ondcp.eop.gov/), so that they 

receive information from ONDCP DFC Staff on a regular basis. This includes 

submitting contact information for each of the required 12 sectors. Key personnel 

should discuss the use of the DFC Me system with sector members chosen to 

represent each sector, so that they understand their role in distribution of 

information sent to them. Information sent to specific sectors will always be sent 

to the key personnel.

DFC-funded coalitions will receive additional information on the DFC Me system 

via email from their assigned DFC GPO. For more information on the DFC Me

system, please contact your DFC GPO and the DFC National Evaluation Team 

(dfc_evaluators@icf.com). 

6 Special Term Matching The recipient must receive and expend non-Federal matching funds as required in 

the FOA) and the Drug-Free Communities Act. In-kind support (i.e., donations, 

volunteer time, etc.) may also be used to satisfy the match requirement.

7 Special Term Award 

Expectations and 

Noncompliance

The eligibility and program requirements originally outlined in funding 

opportunity 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, as well as the certifications and assurances submitted with 

the award application. 

Failure to meet any one of these requirements is considered non-compliance with 

program and grant regulations. If for any reason you do not comply with the 

applicable terms, conditions, rules and regulations, or deadlines for the DFC 

Program, your grant will be subject to the Progressive Discipline and Appeals 

Process. There are three progressive discipline actions that can be taken: 1) 

Addition of special terms or conditions, 2) Suspension, and 3) Termination. 

Failure to comply with Special Terms and Conditions may also result in a financial 

drawdown restriction on your Payment Management System account or denial of 

funding in the future.

An overview of the DFC Program’s Progressive Discipline and Appeals Process will 

DFC 2017 Standard Terms and Reporting Requirements Page 4
be discussed in the DFC New Recipient Training webinar series required of all DFC 

grant recipients. 

8 Special Term Corrective Action 

Plan (CAP)

When requested by the DFC GPO, the recipient must develop a Corrective Action 

Plan (CAP) and complete the approved plan within the designated timeframe 

designated by the DFC GPO. The Corrective Action Plan must be designed to 

address potential or identified deficiencies in performance and/or in the 

conditions contributing or causing the identified unsatisfactory performance. 

Failure to submit a responsive CAP may result in a determination of noncompliance with program and grant regulations and the addition of special terms 

or conditions to the award.

1 Standard Term Uniform 

Administrative 

Requirements, 

Cost Principles, 

and Audit 

Requirements for 

HHS Awards

The NoA issued is subject to the administrative requirements, cost principles, and 

audit requirements that govern federal monies associated with this award, as 

applicable, in the Uniform Administrative Requirements, Cost Principles, and 

Audit Requirements in 2 CFR Part 200 as codified by the 45 CFR Part 75, 

https://www.ecfr.gov/cgi-bin/text-idx?node=pt45.1.75. 

2 Standard Term Future Funding If indicated in the NoA, recommended future support reflects TOTAL costs (direct 

plus indirect). Funding is subject to the availability of federal

funds, and that matching funds, are verifiable, and progress of the award is 

documented and acceptable.

3 Standard Term 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 nonfederal resources occurred for reasons other than the receipt of expected receipt 

of federal funds.

4 Standard Term Unallowable Costs All costs incurred prior to the award issue date and costs not consistent with the 

funding opportunity, CFR 2, or 45 CFR Part 75, are not allowable under this award.

DFC 2017 Standard Terms and Reporting Requirements Page 5
5 Standard Term Carryover -

Expanded 

Authority for 

Unobligated 

Balances from One 

Budget Period to 

Any Subsequent 

Budget Period

Federal administrative requirements allow agencies to waive certain cost-related 

and administrative prior approvals; these are known as expanded authorities. Per 

45 CFR Part 75.308 (d)(3) SAMHSA has extended expanded authorities to allow 

recipients that have not been designated Restricted Status and placed on 

drawdown restriction, to carry over unobligated balances (UOB) of 10 percent or 

less from one budget period to any subsequent period within the project period 

without prior approval. Recipients MUST report an Intent to Carry Over an UOB in 

the remarks section of the annual FFR. Recipients who are on Restricted Status or 

requested amount for carryover fall outside of the criteria described above must 

submit a Prior Approval and receive formal written approval from the Grants 

Management Officer (GMO). 

Instructions on reporting Intent to Carry Over on the FFR, and for submitting a 

Prior Approval for Carry Over, are available at 

http://www.samhsa.gov/grants/grants-management/post-awardchanges/carryover-requests. Only responses to prior approval requests signed by 

the GMO in an amended NoA are considered valid. 

Although prior approval is not required under the Expanded Authority, DFC 

recipients are strongly encouraged to discuss all program and/or budgetary 

changes with their assigned DFC GPO and notify them via email of all changes. In 

addition, DFC recipients must include a copy of the coalition meeting minutes 

showing coalition approval of the request.

This authority may also be overridden by other special terms or conditions of the 

award. Recipients must carefully review the NoA to determine if a particular 

authority is withheld for a specific award.

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. SAMHSA may disallow the 

costs if it is determined, through audit or otherwise, that the costs do not meet 

the tests of allowability, allocability, reasonableness, necessity, and consistency.

DFC 2017 Standard Terms and Reporting Requirements Page 6
6 Standard Term 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 rebudget 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 responses provided by the 

GMO are considered valid. If SAMHSA approves the request, an amended Notice 

of Award (NoA) will be issued. Verbal authorization is not approval and is not 

binding on SAMHSA. Recipients that proceed on the basis of actions by 

unauthorized officials do so at their own risk, and SAMHSA is not bound by such 

responses.

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

Level of Effort (an absence of 3 months or more, or a change in effort of 25 

percent or more), 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 are listed in the 

HHS Grants Policy Statement under Exhibit 5, Page II-49 Activities, is available at 

http://www.hhs.gov/sites/default/files/grants/grants/policiesregulations/hhsgps107.pdf. SAMHSA Instructions post-award changes that 

require prior approval is available at http://www.samhsa.gov/grants/grantsmanagement/post-award-changes.

For all items requiring prior approval, DFC grant recipients must notify their 

assigned DFC GPO and Grants Management Specialist (GMS) via email.

7 Standard Term Accounting 

Records and 

Disclosure

Recipients and subrecipients must maintain records which adequately identify the 

source and application of funds provided for financially assisted activities. These 

records must contain information pertaining to grant or sub-grant awards 

matching funds and in-kind support, and authorizations, obligations, unobligated 

balances, assets, liabilities, outlays or expenditures, and income. Reference 45 CFR 

Part 75, Performance and Financial Monitoring, and Subrecipient Monitoring and 

Management §§75.341 – 75.360. 

SAMHSA, or its designee, reserves the right to conduct a financial compliance 

audit and on-site program review of grants with significant amounts of Federal 

funding. Please reference Audits. 

DFC 2017 Standard Terms and Reporting Requirements Page 7
8 Standard Term 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.

9 Standard Term Executive Pay The Consolidated Appropriations Act, 2016 (Pub. L.113-76) signed into law on 

January 10, 2016, restricts the amount of direct salary to Executive Level II of the 

Federal Executive Pay scale. The Executive Level II salary per E.O. 13756, was 

increased to $187,000 effective January 8, 2017. 

For awards issued in those years that were restricted to the Executive Level II 

amount of $185,100, including competing awards already issued in FY2017, if 

adequate funds are available in active awards, and if the salary cap increase is 

consistent with the institutional base salary, recipients may rebudget to 

accommodate the current Executive Level II salary level. However, no additional 

funds will be provided to these grant awards.

10 Standard Term SAM and DUNS 

Requirements

THIS AWARD IS SUBJECT TO REQUIREMENTS AS SET FORTH IN 2 CFR 25.110 

CENTRAL CONTRACTOR REGISTRATION (CCR) (NOW 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. 

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 award term:

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 

DFC 2017 Standard Terms and Reporting Requirements Page 8
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 nonfederal 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.

11 Standard Term 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.gov specify.

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

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

DFC 2017 Standard Terms and Reporting Requirements Page 9
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 d. 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 

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 subaward to a 

non-Federal 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 

DFC 2017 Standard Terms and Reporting Requirements Page 10
Non-Profit 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)):

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 include 

group 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]

12 Standard Term FAPIIS - Recipient 

Integrity and 

Performance 

Appendix XII to 45 CFR Part 75

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 

DFC 2017 Standard Terms and Reporting Requirements Page 11
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

(iii) The requirement in this award term and condition to disclose information 

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]

DFC 2017 Standard Terms and Reporting Requirements Page 12
13 Standard 

Term

Acknowledgement 

of Federal Funding in 

communications and 

contracting. 

DFC grant recipient may not issue any press materials such as media advisories, 

press releases, or statements that mention the Office of National Drug Control 

Policy (ONDCP) or use the Presidential seal in any manner without explicit written 

permission from ONDCP. A draft of any proposed materials should be provided to 

ONDCP for permission prior to release. 

14 Standard Term 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 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 ONDCP and SAMHSA. The views 

expressed in written conference materials or publications and by speakers and 

moderators do not necessarily reflect the official policies of the Executive Office of 

the President, the Office of National Drug Control Policy, or the Department of 

Health and Human Services; nor does mention of trade names, commercial 

practices, or organizations imply endorsement by the U.S. Government.

15 Standard Term 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. ONDCP 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.

Income earned during the project period of the award from any copyrightable 

work developed under this grant must be used as program income.

 

16 Lobbying 

Restrictions

Per 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; 

DFC 2017 Standard Terms and Reporting Requirements Page 13
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.

17 Standard Term Mandatory 

Disclosures

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

manner, in writing to the HHS awarding agency with a copy to the HHS Office of 

Inspector General (OIG), all information related to 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 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:

 

SAMHSA

 Attention: Office of Financial Advisory Services

 5600 Fishers Lane

 Rockville, MD 20857

 AND

 U.S. Department of Health and Human Services Office of Inspector General

 ATTN: Mandatory Grant Disclosures, Intake Coordinator 330 Independence 

Avenue, SW, Cohen Building

 Room 5527

 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).

18 Standard Term The 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. CPSC hereby incorporates the following award term 

required by 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.

Award Term from 2 C.F.R. § 175.15(b): Trafficking in persons.

a. Provisions applicable to a recipient that is a private entity.

1) You, as the recipient, your employees, subrecipients under this award, and 

subrecipients’ employees may not:

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.

DFC 2017 Standard Terms and Reporting Requirements Page 14
2) We as the federal awarding agency may unilaterally terminate this award, 

without penalty, if you or a subrecipient that is a private entity:

a) Is determined to have violated a prohibition in paragraph a.1 of this award 

term; or

b) Has an employee who is determined by the agency official authorized to 

terminate the award to have violated a prohibition in paragraph a.1 of this award 

term through conduct that is either:

i. Associated with performance under this award; or

ii. Imputed to you or the subrecipient using the standards and due process for 

imputing the conduct of an individual to an organization that are provided in 2 

C.F.R. Part 180, “OMB Guidelines to Agencies on and Suspension 

(Nonprocurement).”

b. Provision applicable to a recipient other than a private entity. We as the federal 

awarding agency may unilaterally terminate this award, without penalty, if a 

subrecipient that is a private entity:

1) Is determined to have violated an applicable prohibition in paragraph a.1 of this 

award term; or

2) Has an employee who is determined by the agency official authorized to 

terminate the award to have violated an applicable prohibition in paragraph a.1 of 

this award term through conduct that is either:

a) Associated with performance under this award; or

b) Imputed to the subrecipient using the standards and due process for imputing 

the conduct of an individual to an organization that are provided in 2 CFR part 

180, “OMB Guidelines to Agencies on Governmentwide Debarment and 

Suspension (Nonprocurement),” as implemented by our agency at 2 CFR Part 

1125.

c. Provisions applicable to any recipient.

1) You must inform us immediately of any information you receive from any 

source alleging a violation of a prohibition in paragraph a.1 of this award term.

2) Our right to terminate unilaterally that is described in paragraph a.2 or b of this 

section:

a) Implements section 106(g) of the Trafficking Victims Protection Act of 2000 

(TVPA), as amended (22 U.S.C. 7104(g)); and

b) Is in addition to all other remedies for noncompliance that are available to us 

under this award.

3) You must include the requirements of paragraph a.1 of this award term in any 

subaward you make to a private entity.

d. Definitions. For purposes of this award term:

1) d. Definitions. For purposes of this award term:

1) “Employee” means either:

• An individual employed by you or a subrecipient who is engaged in the 

performance of the project or program under this award; or

• Another person engaged in the performance of the project or program under 

this award and not compensated by you including, but not limited to, a volunteer 

or individual whose services are contributed by a third party as an in-kind 

contribution toward cost sharing or matching requirements.

2) “Forced labor” means labor obtained by any of the following methods: the 

recruitment, harboring, transportation, provision, or obtaining of a person for 

labor or services, through the use of force, fraud, or coercion for the purpose of 

subjection to involuntary servitude, peonage, debt bondage, or slavery.

3) “Private entity”:

• Means any entity other than a state, local government, Indian tribe, or foreign 

public entity, as those terms are defined in 2 CFR 175.25.

• Includes:

o A nonprofit organization, including any nonprofit institution of higher education, 

DFC 2017 Standard Terms and Reporting Requirements Page 15
hospital, or tribal organization other than one included in the definition of Indian 

tribe at 2 CFR 175.25(b).

o A for-profit organization.

4) “Severe forms of trafficking in persons,” “commercial sex act,” and “coercion” 

have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).

19 Standard Term 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. HHS provides guidance to recipients of FFA on 

meeting their legal obligation to take reasonable steps to provide meaningful 

access to their programs by persons with limited English proficiency. Please see 

http://www.hhs.gov/ocr/civilrights/resources/laws/revisedlep.html.

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; and 

http://www.hhs.gov/ocr/civilrights/understanding/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 

http://www.hhs.gov/ocr/office/about/rgn-hqaddresses.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 

http://minorityhealth.hhs.gov/omh/browse.aspx?lvl=2&lvlid=53.

20 Standard Term 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.

21 Standard Term Federal 

Recognition of 

Same-Sex 

Spouses/Marriage

s

On June 26, 2013, in United States v. Windsor, the Supreme Court held that 

section 3 of the Defense of Marriage Act (DOMA) (P.L. 104-199), which prohibited 

federal recognition of same-sex marriages, was unconstitutional. As a result of 

that decision and consistent with HHS policy, SAMHSA recognizes same-sex 

marriages and same-sex spouses on equal terms with opposite sex-marriages and 

opposite-sex spouses, regardless of where the couple resides. 

On June 26, 2015, in Obergefell v. Hodges, the Court held that the Fourteenth 

Amendment requires a State to license a marriage between two people of the 

same sex and to recognize a marriage between two people of the same sex when 

their marriage was lawfully licensed and performed out-of-state. Consistent with 

DFC 2017 Standard Terms and Reporting Requirements Page 16
both of these decisions, you must treat as valid the marriages of same- sex 

couples. This policy does not apply to registered domestic partnerships, civil 

unions or similar formal relationships recognized under state law as something 

other than a marriage.

22 Standard Term Executive Order 

13410: Promoting 

Quality and 

Efficient Health 

Care in Federal 

Government 

Administered or 

Sponsored Health 

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 time of 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. 

23 Standard Term Drug-Free 

Workplace 

Requirements

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 drugfree workplace. When the AR signed the application, the AR agreed that the 

recipient will provide a drug-free workplace and will comply with the requirement 

to notify ONDCP and SAMHSA if an employee is 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 ONDCP grant funds must comply with the 

requirements in Subpart B (or Subpart C if the recipient is an individual) of part 

382.

24 Standard Term 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 (SF-FAC) 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

DFC 2017 Standard Terms and Reporting Requirements Page 17
25 Standard Term Ad Hoc 

Submissions

Throughout the project period, ONDCP and/or 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

26 Standard Term Submitting 

Responses to 

Conditions and 

Reporting 

Requirements

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

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

award requests must be sent to the GMS and to the DFC GPO as identified in the 

Notice of Award. 

The grant or cooperative agreement award number MUST be included in the 

SUBJECT line of all emails.

DFC 2017 Standard Terms and Reporting Requirements Page 18
DFC FY 2017 Reporting Requirements

Terms/ 

Reports

Name Language

1 Standard 

Reporting 

Requirement 

Annual 

Federal 

Financial 

Report (FFR)

Due Date: 

The Federal Financial Report (FFR) (SF-425) is required on an annual basis and must be 

submitted no later than 90 days after the end of the budget period. The annual FFR 

should reflect only cumulative actual federal funds authorized and disbursed, any nonfederal matching funds (if identified in the FOA), unliquidated obligations incurred, the 

unobligated balance of the federal funds for the award, as well as program income 

generated during the timeframe covered by the report. The SF-425 is available at 

(http://apply07.grants.gov/apply/forms/sample/SF425-V1.0.pdf). Additional guidance 

to complete the FFR can be found: http://www.samhsa.gov/grants/grantsmanagement/reporting-requirements.

Annual FFRs must be submitted to DFCFFR@samhsa.hhs.gov. 

2 Program 

Specific

Reporting 

Requirement

Semi-Annual 

Progress 

Reports

DFC recipients are required to provide data every two years, via the DFC Me system, 

on the following core measures for alcohol, tobacco, marijuana, and (illicit use of

prescription drugs for three grades (6th-12th) with a recommended combination of at 

least one middle school grade and at least one high school grade:

1. Past 30-day use

2. Perception of risk or harm

3. Perception of parental disapproval of use

4. Perception of peer disapproval of use

All DFC Recipients

Semi-Annual Progress Reports for all FY 2017 DFC Grant recipients are due on the 

following dates:

• Friday, February 16, 2018

• Friday, August 17, 2018

Year I DFC Recipients

All Year 1 recipients will report baseline core measure data by: 

• Friday, February 16, 2018

This is the data provided in your initial application to the DFC Program or the most 

recent core measure data available to you. 

Year 6 Recipients

Year 6 recipients who received continuous funding between Years 5 and 6 will remain 

on the core measure reporting schedule established in the first five years of DFC 

funding. 

Year 6 recipients who have not had sequential years of DFC funding will need to speak 

with the DFC National Evaluation Team to determine when to report core measures. 

Please contact the DFC National Evaluation Team (dfc_evaluators@icf.com) for more 

information.

DFC grant recipients must submit their Final programmatic report to DFC Me. For more 

information on the DFC Me system, please contact your DFC GPO and the DFC National 

Evaluation Team (dfc_evaluators@icf.com).

DFC 2017 Standard Terms and Reporting Requirements Page 19
3 Program 

Specific

Reporting 

Requirement

Annual 

Coalition 

Classification 

Tool

All DFC recipients must complete the Coalition Classification Tool (CCT) by:

• Friday, August 17, 2018 

DFC grant recipients must submit their CCT report to DFC Me. For more information on 

the DFC Me system, please contact your DFC GPO and the DFC National Evaluation 

Team (dfc_evaluators@icf.com).

DFC 2017 Standard Terms and Reporting Requirements Page 20
DFC FY 2017 Closeout Requirements (applicable to the final year of the DFC grant)

Terms/ 

Reports

Name Language

1 Closeout 

Reporting 

Requirement

Final 

Programmatic 

Report

Due Date: 

A Final Programmatic Report (FPR) as stated in your grant application.

The FPR should be prepared in accordance with the terms and conditions of the NoA 

and/or directions provided by the DFC GPO listed at the bottom of your latest NoA 

under Contacts. It should cover the entire grant period and include, at a minimum, an 

overview of the goals and objectives accomplished during the grant period identified 

in your grant application. 

DFC recipients must submit their Final programmatic report to DFC Me. The final 

progress report will serve as your final programmatic report. For more information on 

the DFC Me system, please contact your DFC GPO and the DFC National Evaluation 

Team (dfc_evaluators@icf.com).

2 Closeout

Reporting 

Requirement

Final Coalition 

Classification 

Tool

All DFC recipients must complete the Coalition Classification Tool (CCT) by the annual 

deadline.

DFC grant recipients must submit their CCT report to DFC Me. For more information on 

the DFC Me system, please contact your GPO and the DFC National Evaluation Team 

(dfc_evaluators@icf.com).

3 Closeout 

Reporting 

Requirement

Final Federal 

Financial 

Report (FFR) 

The recipient is required to submit a final Federal Financial Report (FFR), which must 

be submitted no later than 90 days after the end of the budget period. The final FFR 

should only include cumulative actual federal funds authorized and disbursed, any 

non-federal matching funds (if identified in the FOA), the unobligated balance of the 

federal funds for the award, as well as program income generated during the 

timeframe covered by the report.

Expenditures reported on line 10, e. should be based on the total actual grant 

expenditures reported in the accounting system. The total expenditures reported 

should reconcile to the total quarterly cash-basis expenditures reported to the 

Payment Management Service (PMS) and on line 10.b. If non-federal expenditures 

(matching) was required under the grant, lines 10.i. and 10.j. must be completed. 

Drawdowns made from PMS under the grant in excess of the total grant expenditures 

must be returned to SAMHSA along with any funds received as a result of refunds, 

corrections, overspending and audits. All program income earned as a result of the 

grant and expended must be reported on lines 10.l., 10.m, and 10.n as well. No 

unliquidated obligations may be reported on line 10.f in the final FFR.

The SF-425 is available at (http://apply07.grants.gov/apply/forms/sample/SF425-

V1.0.pdf). Additional guidance to complete the FFR can be found:

http://www.samhsa.gov/grants/grants-management/reporting-requirements.

The final FFR must be submitted by email to dfcgrantclose@samhsa.hhs.gov.

DFC 2017 Standard Terms and Reporting Requirements Page 21
4 Closeout 

Reporting 

Requirement

Tangible 

Personal

Property 

Report

The recipient is required to submit a Tangible Personal Property Report (SF-428) within 

90 days of the end of the award project period. Tangible personal property means 

property of any kind, except real property, that has physical existence. It includes 

equipment and supplies. It does not include copyrights, patents or securities. 

Recipients must disclose any acquired equipment with acquisition cost of

$5,000 or more and residual unused supplies with total aggregate fair market value 

exceeding $5,000.

The report must contain the SF-428 cover sheet and the SF-428-B Final Report. As

applicable, the SF-428-C Disposition Request/Report and the SF-428-S Supplemental

Sheet may be included.

If your organization has not purchased individual items of equipment or cumulative 

supplies with a fair market value of $5,000 or more under the award, please report 

this in the comments section on the SF-428-B Final Report.

The Tangible Personal Property Report must be submitted by email to 

dfcgrantclose@samhsa.hhs.gov.

1 Closeout 

Standard Term

Record 

Retention

Recipients must retain financial and programmatic records, supporting documents, 

and all other records that are required by the terms of a grant, or may reasonably be 

considered pertinent to a grant, for a period of three years from the date the final FFR 

is submitted in accordance with 45 CFR 75.361. 

In addition, the closeout of the referenced grant does not affect SAMHSA's right to 

disallow and recover funds on the basis of subsequent audits and reviews. Records 

related to audits, appeals, litigation or the settlement of claims arising out of the 

performance of the project will be retained until such audits, appeals, litigation or 

claims have been disposed of. 

2 Closeout 

Standard Term

Closeout 

Resources

Additional guidance and resources for closeout are available at: 

https://www.samhsa.gov/grants/grants-management/grant-closeout. 

DFC 2017 Standard Terms and Reporting Requirements Page 22