1

Department of Health and Human Services

Substance Abuse and Mental Health Services 

Administration

FY 2023 Transforming Lives Through Supported 

Employment Program

(Short Title: Supported Employment Program)

(Initial Announcement)

Notice of Funding Opportunity (NOFO) No. SM-23-008

Assistance Listing Number: 93.243

Key Dates:

Application Deadline Applications are due by May 1, 2023.

Intergovernmental Review

(E.O. 12372)

Applicants must comply with E.O. 12372 if their state(s) 

participate(s). Review process recommendations from 

the State Single Point of Contact (SPOC) are due no later 

than 60 days after application deadline.

Public Health System 

Impact Statement 

(PHSIS)/Single State 

Agency Coordination

Applicants must send the PHSIS to appropriate state and 

local health agencies by the administrative deadline. 

Comments from the Single State Agency are due no later 

than 60 days of the application deadline.
2

Table of Contents

EXECUTIVE SUMMARY.................................................................................................. 4

I. PROGRAM DESCRIPTION .................................................................................... 6

1. PURPOSE....................................................................................................... 6

2. KEY PERSONNEL.......................................................................................... 7

3. REQUIRED ACTIVITIES................................................................................. 7

4. ALLOWABLE ACTIVITIES.............................................................................. 9

5. USING EVIDENCE-BASED PRACTICES..................................................... 10

6. DATA COLLECTION/PERFORMANCE MEASUREMENT AND PROJECT 

PERFORMANCE ASSESSMENT................................................................. 10

7. OTHER EXPECTATIONS............................................................................. 12

8. RECIPIENT MEETINGS ............................................................................... 16

II. FEDERAL AWARD INFORMATION ..................................................................... 16

1. GENERAL INFORMATION........................................................................... 16

III. ELIGIBILITY INFORMATION................................................................................ 17

1. ELIGIBLE APPLICANTS............................................................................... 17

2. COST SHARING AND MATCHING REQUIREMENTS ................................ 17

3. OTHER REQUIREMENTS............................................................................ 17

IV. APPLICATION AND SUBMISSION INFORMATION ............................................ 18

1. ADDRESS TO REQUEST APPLICATION PACKAGE.................................. 18

2. CONTENT AND FORM OF APPLICATION SUBMISSION........................... 19

3. UNIQUE ENTITY IDENTIFIER AND SYSTEM FOR AWARD MANAGEMENT

...................................................................................................................... 22

4. APPLICATION SUBMISSION REQUIREMENTS ......................................... 22

5. FUNDING LIMITATIONS/RESTRICTIONS................................................... 23

6. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS........... 23

7. OTHER SUBMISSION REQUIREMENTS .................................................... 24

V. APPLICATION REVIEW INFORMATION ............................................................. 24

1. EVALUATION CRITERIA.............................................................................. 24

2. BUDGET JUSTIFICATION, EXISTING RESOURCES, OTHER SUPPORT. 26
3

3. REVIEW AND SELECTION PROCESS....................................................... 27

VI. FEDERAL AWARD ADMINISTRATION INFORMATION...................................... 28

1. FEDERAL AWARD NOTICES ...................................................................... 28

2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS................. 28

3. REPORTING REQUIREMENTS................................................................... 29

VII. AGENCY CONTACTS .......................................................................................... 29

Appendix A – Application and Submission Requirements .............................................. 31

1. GET REGISTERED ...................................................................................... 31

2. WRITE AND COMPLETE APPLICATION..................................................... 33

3. SUBMIT APPLICATION................................................................................ 37

4. AFTER SUBMISSION................................................................................... 39

Appendix B - Formatting Requirements and System Validation ..................................... 42

1. SAMHSA FORMATTING REQUIREMENTS................................................. 42

2. GRANTS.GOV FORMATTING AND VALIDATION REQUIREMENTS ......... 42

3. eRA COMMONS FORMATTING AND VALIDATION REQUIREMENTS...... 43

Appendix C – General Eligibility Information .................................................................. 48

Appendix D – Confidentiality and SAMHSA Participant Protection/Human Subjects 

Guidelines .......................................................................................................... 49

Appendix E – Developing Goals and Measurable Objectives......................................... 54

Appendix F – Developing the Plan for Data Collection and Performance Measurement 57

Appendix G – Biographical Sketches and Position Descriptions .................................... 59

Appendix H – Addressing Behavioral Health Disparities ................................................ 60

Appendix I – Standard Funding Restrictions .................................................................. 65

Appendix J – Intergovernmental Review (E.O. 12372) Requirements............................ 67

Appendix K – Administrative and National Policy ........................................................... 69

Appendix L – Sample Budget and Justification............................................................... 76
4

EXECUTIVE SUMMARY

The Substance Abuse and Mental Health Services Administration (SAMHSA), Center 

for Mental Health Services (CMHS), is accepting applications for the fiscal year (FY) 

2023 Transforming Lives Through Supported Employment program. The purpose of 

this program is to support state and community efforts to refine, implement, and sustain 

evidence-based supported employment programs and mutually compatible and 

supportive evidence-based practices (e.g., supported education) for adults with serious 

mental illness (SMI) or co-occurring mental and substance use disorders (COD). The 

awards provide resources to help individuals with SMI or COD achieve competitive 

employment and build paths to self-sufficiency and recovery. With this program, 

SAMHSA aims to increase state and community capacity to implement and sustain 

Supported Employment Program (SEP) models and integrated supports to improve 

competitive employment outcomes. 

Funding Opportunity Title: Transforming Lives through Supported Employment 

(Short Title: Supported Employment Program)

Funding Opportunity Number: SM-23-008

Due Date for Applications: May 1, 2023

Estimated Total Available 

Funding

$4,870,995

Estimated Number of Awards: 6 (At least one award will be made to a tribe or tribal 

organization pending sufficient volume of 

applications.)

Estimated Award Amount: Up to $800,000 per year per award

Cost Sharing/Match Required: No

Anticipated Project Start Date: September 30, 2023

Anticipated Award Date: August 31, 2023

Length of Project Period: Up to five years.
5

Eligible Applicants: Eligible applicants are States and Territories, including 

the District of Columbia, political subdivisions of 

States, Indian tribes, or tribal organizations (as such 

terms are defined in section 5304 of title 25), health 

facilities, or programs operated by or in accordance 

with a contract or award with the Indian Health 

Service, or other public or private non-profit entities.

Authorizing Statute: The Supported Employment Program is authorized 

under Section 520A of the Public Health Service Act 

(42 USC 290bb-32), as amended.
6

Be sure to check the SAMHSA website periodically for any updates on this 

program.

I. PROGRAM DESCRIPTION

1. PURPOSE

The purpose is to support state and community efforts to refine, implement, and sustain 

evidence-based supported employment programs and mutually compatible and 

supportive evidence-based practices (e.g., supported education) for adults with serious 

mental illness (SMI) or co-occurring mental and substance use disorders (COD). The 

awards provide resources to help individuals with SMI or COD achieve competitive 

employment and build paths to self-sufficiency and recovery. SAMHSA expects that 

this program will increase state and community capacity to implement and sustain 

Supported Employment Program (SEP) models and integrated supports to improve 

competitive employment outcomes. 

All applicants MUST be registered with NIH’s eRA Commons, Grants.gov, and

the System for Award Management (SAM.gov) in order to submit this application. 

The process could take up to six weeks. (See Appendix A of this NOFO for all 

registration requirements). 

If you are not currently registered with the eRA Commons, Grants.gov, and/or 

SAM.gov, you MUST begin the registration process immediately. If you are 

already registered in these systems, please confirm your SAM registration is still 

active and you are able to access your Grants.gov and eRA Commons 

accounts.

WARNING: BY THE DEADLINE FOR THIS NOFO YOU MUST HAVE 

SUCCESSFULLY COMPLETED THE FOLLOWING TO SUBMIT AN APPLICATION:

• The applicant organization MUST be registered in NIH’s eRA Commons; 

AND

• The Project Director MUST have an active eRA Commons account (with 

the PI role) affiliated with the organization in eRA Commons.

No exceptions will be made.

DO NOT WAIT UNTIL THE LAST MINUTE TO SUBMIT THE APPLICATION. If you 

wait until the last minute, there is a strong possibility that the application will not 

be received without errors by the deadline. 
7

Supported employment is a direct service with multiple components that provide a 

person with SMI or COD specialized assistance in choosing, acquiring, and maintaining 

competitive employment. In several systematic reviews participants receiving 

supported employment services had significantly better competitive employment than 

participants in control conditions12. In a review of 11 randomized controlled trials, the 

competitive employment rates in Supported Employment and control conditions were 

61% and 23%, respectively3.

The Supported Employment Program is authorized under Section 520A of the Public 

Health Service Act (42 USC 290bb-32), as amended. 

2. KEY PERSONNEL

Key personnel are staff members who must be part of the project, regardless if they do 

or do not receive a salary or compensation from the project. Key personnel must make 

a substantial contribution to the execution of the project and should reflect SAMHSA’s 

expectation of diversity, equity, and inclusion in the selection of staff.

The Key Personnel for this program will be the Project Director with a minimum 

0.5 FTE level of effort. The Project Director is responsible for oversight and 

management of the entire project.

If awarded, recipients will be notified by SAMHSA about whether the individual 

designated for this position has been approved. If recipients need to replace a Key 

Personnel during the project period, the individual proposed for the vacant position

requires prior approval by SAMHSA after a review of the credentials of the staff member 

and the job description.

3. REQUIRED ACTIVITIES

Required activities are the activities that every award recipient must implement. 

They must be reflected in the Project Narrative of your application. This is in 

response to Section V of this NOFO.

1 Honyashiki, M., Omori, I. M., Marshall, M., Bond, G. R., Huxley, P., Amano, N., & Kingdon, D. (2013).

Supported employment for adults with severe mental illness. The Cochrane database of systematic 

reviews, 2013(9), CD008297. https://doi.org/10.1002/14651858.CD008297.pub2

2 Bond, G. R., Drake, R. E., & Becker, D. R. (2008). An update on randomized controlled trials of 

evidence-based supported employment. Psychiatric rehabilitation journal, 31(4), 280–290. grant

https://doi.org/10.2975/31.4.2008.280.290

3

Ibid.
8

In the Project Narrative (B.1), applicants must indicate the total number of 

unduplicated individuals that will be served each year of the award and over the 

total project period. Recipients are expected to achieve the numbers that are 

proposed.

Project implementation is expected to begin by the fourth month of the award.

Recipients must use SAMHSA’s funds to support direct services, including the following 

activities:

• Identify and implement an evidence-based Supported Employment model (e.g., 

Individual Placement and Support) that is responsive to the selected 

population(s) of focus and adheres to practice fidelity or standards. 

• Conduct supported employment fidelity assessments no later than 90 days after 

service delivery begins and annually thereafter. Every fidelity assessment must 

include a plan to increase/improve adherence to the selected supported 

employment model.  

• Provide specialized and individualized support to individuals with SMI and COD 

to choose, acquire, and maintain competitive employment.

• Provide comprehensive treatment and recovery support services (e.g., 

psychiatric services including psychotropic medication, psychotherapeutic 

interventions, as indicated, inclusive of individual, group, family therapy(ies), 

case management, physical healthcare, social services supports (including 

housing, and assistance accessing state/federal benefits) for SMI and/or COD in 

conjunction with vocational services.

• Develop and implement an employer engagement strategy (i.e., job development 

strategy) that increases the program’s capacity to: (1) respond to the unique 

vocational interests of each person served; (2) develop and nurture relationships 

with appropriate employers in the community; (3) respond to changes in the local 

labor market; and (4) work with employers to develop tenure and long-term 

opportunities for persons hired.  This strategy must be completed within 6 months 

of the project period and be updated as needed.

• Provide program outreach and accessibility to services for under resourced 

populations to ensure that individuals and families can access supported 

employment services when and where they need them, and in a way that is 

responsive to their needs and preferences. 

• Provide training on behavioral health implementation for the national Culturally 

and Linguistically Appropriate Services (CLAS) standards to all program staff. 
9

• Develop and implement a strategy to respond to the unique needs of individuals 

who are unsuccessful in finding employment (i.e., reassess, reengage, and 

adjust services to all individuals who do not find employment after 120 

days). This strategy must be completed within 6 months of the project period and 

be updated as needed.

• Develop and implement a strategy for long-term employment stability (e.g., 

strengthening natural supports for individuals who have worked for more than 90 

days). This strategy must be completed within 6 months of the project period 

and be updated as needed. 

• Develop a sustainability plan that identifies mechanisms for sustaining activities 

funded by this grant and delineates steps necessary for exercising those 

mechanisms. This can be done in partnership with entities including the state 

Medicaid Authority, Department of Disability Services, etc.

• Assess for housing status and collaborate with homeless and housing service 

providers to link to the local HUD Coordinated Entry housing system. This is to 

assure that persons who are homeless and of risk of homelessness receive 

optimal SE services and housing supports. 

• Translate tools and resources available to recipients of services (see CLAS 

Standards 5-8).

• Provide, increase, or enhance access to services for people of all 

racial/ethnic/marginalized groups in the community.

• Create conflict and grievance resolutions processes that are culturally and 

linguistically appropriate (CLAS standard 14).

4. ALLOWABLE ACTIVITIES

Allowable activities are an allowable use of funds but are not required. Allowable 

activities may include:

• Implement supported education services for individuals who are enrolled in an 

educational/academic program at admission to the SEP program and/or who has 

an educational goal. This service must adhere to a supported education 

evidence-based model or practice. 

• Employ a certified Peer Support Specialist (or comparable state-certified 

professional) to assist individuals who struggle in transition to work or may have 

interpersonal concerns in a new job.
10

• Provide supported employment services within the structure of another program 

(e.g., a Certified Community Behavioral Health Clinic, Supportive Housing 

program). 

• Participate with supported employment organizations to obtain technical 

assistance to implement and sustain evidence-based supported employment and 

adhere to fidelity.

5. USING EVIDENCE-BASED PRACTICES

SAMHSA’s awards for the provision of services are intended to fund services or 

practices that have a demonstrated evidence base and that are appropriate for the 

population(s) of focus. An evidence-based practice (EBP) refers to approaches to 

prevention, treatment, or recovery that are validated by documented research evidence. 

Applicants are encouraged to visit the SAMHSA Evidence-Based Practice Resource 

Center (www.samhsa.gov/ebp-resource-center) and SAMHSA’s National Network to 

Eliminate Disparities in behavioral health (NNED) (https://nned.net/) to identify 

evidence-informed and culturally appropriate mental illness and substance use 

prevention and treatment practices that can be implemented in your project.

Both researchers and practitioners recognize that EBPs are essential to improving the 

effectiveness of treatment and prevention services. While SAMHSA realizes that EBPs 

have not been developed for all populations and/or service settings, application 

reviewers will closely examine proposed interventions for evidence base and 

appropriateness for the population of focus. If an EBP(s) exists for the population(s) of 

focus and types of problems or disorders being addressed, the expectation is that 

EBP(s) will be utilized. If one does not exist but there are evidence-informed and/or 

culturally promising practices that are appropriate or can be adapted, these 

interventions may be implemented in the delivery of services.

In your Project Narrative, in response to Section C of Section V of this NOFO, you will 

need to identify the evidence-based practice(s) and/or interventions that are evidenceinformed and/or culturally promising that are appropriate or can be adapted to meet the 

needs of your specific population(s) of focus. You must discuss the population(s) for 

which the practice(s) has (have) been shown to be effective and document that it is 

(they are) appropriate for your population(s) of focus. You must also address how these 

interventions will improve outcomes and address how you will monitor and ensure the 

fidelity of EBPs and other appropriate interventions. In situations where an EBP is 

appropriate but requires additional culturally-informed engagement practices, this 

should be discussed in the application.

6. DATA COLLECTION/PERFORMANCE MEASUREMENT AND PROJECT 

PERFORMANCE ASSESSMENT

Data Collection/Performance Measurement
11

All SAMHSA recipients are required to collect and report certain data so that SAMHSA 

can meet its obligations under the Government Performance and Results (GPRA) 

Modernization Act of 2010. You must document your plan for data collection and 

reporting in your Project Narrative in response to Section E: Data Collection and 

Performance Measurement in Section V of this NOFO. 

Award recipients are required to submit data into SAMHSA’s Performance 

Accountability and Reporting System (SPARS). SPARS access and training and 

technical assistance will be provided upon award. 

Supported Employment recipients are required to report performance on National 

Outcomes Measures (NOMS) and Infrastructure Development, Prevention, and Mental 

Health Promotion (IPP) Indicators.

Recipients will collect data utilizing the NOMs Client-Level Measures Outcomes data

collection tool. These data must be collected at baseline (i.e., the client’s entry into the 

project), six months post baseline, and discharge on the following: 

• Behavioral Health Diagnosis(es)

• Demographic data 

• Functioning in everyday life

• Stability in Housing

• Education and Employment

• Criminal and Criminal Justice Status

• Perception of Care

• Social Connectedness

In addition, recipients are required to collect and report data quarterly in SPARS on the 

following IPP indicators:

• The number of individuals trained in diversity, equity, and inclusion as a result of 

the award.

• Number of individuals referred to mental health or related services.

• Number and percentage of individuals receiving mental health or related services 

after referral.

• Number of individuals contacted through program outreach efforts.
12

The collection of these data enables SAMHSA to report on key outcome measures 

relating to the program. In addition to these outcomes, performance measures 

collected by recipients will be used to demonstrate how SAMHSA’s programs are 

reducing disparities in behavioral health access, retention, service use, and outcomes 

nationwide. 

Performance data will be reported to the public as part of SAMHSA’s Congressional 

Budget Justification. 

Project Performance Assessment

In addition, recipients are required to report on their progress addressing the goals and 

objectives identified in your Project Narrative. Recipients must periodically review the 

performance data they report to SAMHSA (as required above), assess their progress,

and use this information to improve the management of their project. The project 

performance assessment should be designed to help you determine whether you are 

achieving the goals, objectives, and outcomes you intend to achieve and whether 

adjustments need to be made to your project. 

Award recipients may be required to collect and report additional employment and 

employment retention data on individuals served by this award and include aggregated 

data in the annual project performance assessment. Your assigned Government 

Project Officer (GPO) will inform you of this requirement if applicable. Budget revisions 

may be permitted.

Performance assessments should be used to determine whether your project is 

having/will have the intended impact on behavioral health disparities. Recipients should 

also review the behavioral health Disparities Impact Statement (DIS) submitted within 

the first two months of the award. See Section VI.3 for information on required progress 

reports. 

Note: See Appendix E and Appendix F of this NOFO for more information on 

responding to this section.

7. OTHER EXPECTATIONS

SAMHSA Values That Promote Positive Behavioral Health 
13

SAMHSA expects recipients to use funds to implement high quality programs, practices,

and policies that are recovery-oriented, trauma-informed, and equity-based as a means 

of improving behavioral health.4 

Recovery is a process of change through which individuals improve their health and 

wellness, live a self-directed life, and strive to reach their full potential. Recoveryoriented recipients promote partnerships with people in recovery from mental and 

substance use disorders and their family members to guide the behavioral health 

system and promote individual, program, and system-level approaches that foster: 

Health—managing one’s illnesses or symptoms and making informed healthy choices 

that support physical and emotional wellbeing; Home—a stable and safe place to live; 

Purpose—meaningful daily activities such as a job or school; and Community—

supportive relationships with families, friends and peers. Recovery-oriented systems of 

care embrace recovery as: emerging from hope; person-driven; occurring via many 

pathways; holistic; supported by peers and allies; culturally-based and informed; 

supported through relationship and social networks; involving individual, family, and 

community strengths and responsibility; supported by addressing trauma; and based on 

respect. 

Trauma-informed Approaches recognize and intentionally respond to the lasting 

adverse effects of experiencing traumatic events. SAMHSA defines a trauma-informed 

approach through six key principles: 

• Safety: participants and staff feel physically and psychologically safe; 

• Peer support: peer support and mutual self-help are key as vehicles for 

establishing safety and hope, building trust, enhancing collaboration, and utilizing 

their lived experience to promote recovery and healing; 

• Trustworthiness and Transparency: Organizational decisions are conducted to

build and maintain trust with participants and staff; 

• Collaboration and Mutuality: importance is placed on partnering and leveling 

power differences between staff and service participants; 

• Cultural, Historical, & Gender Issues: culture and gender-responsive services are 

offered while moving beyond stereotypes/biases;

• Empowerment, Voice, and Choice: organizations foster a belief in the primacy of 

the people who are served to heal and promote recovery from trauma.5 

4

“Behavioral health” means the promotion of mental health, resilience and wellbeing; the treatment of 

mental and substance use disorders; and the support of those who experience and/or are in recovery 

from these conditions, along with their families and communities.

5 https://ncsacw.samhsa.gov/userfiles/files/SAMHSA_Trauma.pdf
14

It is critical recipients promote the linkage to recovery and resilience for those 

individuals and families impacted by trauma.

Behavioral health equity is the right to access high-quality and affordable health care 

services and supports for all populations regardless of the individual’s race, age, 

ethnicity, gender (including gender identity), disability, socioeconomic status, sexual 

orientation, or geographical location. By improving access to behavioral health care, 

promoting quality behavioral health programs and practice, and reducing persistent 

disparities in mental health and substance use services for underserved populations 

and communities, recipients can ensure that everyone has a fair and just opportunity to

be as healthy as possible. In conjunction with promoting access to high quality 

services, behavioral health disparities can be further reduced by addressing social 

determinants of health, such as social exclusion, unemployment, adverse childhood 

experiences, and food and housing insecurity.

Language Access Provision. Per Title VI of the Civil Rights Act of 1964, recipients of 

Federal financial assistance must take reasonable steps to make their programs,

services, and activities accessible to eligible persons with limited English Proficiency.

Recipients must administer their programs in compliance with federal civil rights laws 

that prohibit discrimination based on race, color, national origin, disability, age and, in 

some circumstances, religion, conscience, and sex (including gender identity, sexual 

orientation, and pregnancy). (See Appendix K)

Behavioral Health Disparities

If your application is funded, you will be expected to develop a behavioral health 

Disparity Impact Statement (DIS) no later than 60 days after your award. (See 

Appendix H –Addressing Behavioral Health Disparities). Progress and evaluation of 

DIS activities will be reported in annual progress reports (see Section VI.3 Reporting 

Requirements).

The DIS is a data-driven, quality improvement approach to advance equity for all, and to 

identify racial, ethnic, sexual and gender minority, and rural populations at the highest 

risk for experiencing behavioral health disparities as part of their projects. The purpose 

of the DIS is for recipients to identify and address health disparities6 and to develop and 

implement an action plan with a disparity reduction and quality improvement process to 

6 Healthy People 2030 defines a health disparity as a “particular type of health difference that is closely linked with 

social, economic, and/or environmental disadvantage. Health disparities adversely affect groups of people who have 

systematically experienced greater obstacles to health based on their racial or ethnic group; religion; socioeconomic 

status; gender; age; disability; mental health; cognitive, sensory, or physical disability; sexual orientation or gender 

identity; geographic location; or other characteristics historically linked to discrimination or exclusion.”
15

close the identified gap(s). The aim is to achieve targeted behavioral health equity7for 

disparate populations and improve systems. 

The behavioral health disparity impact statement is in alignment with the expectations 

related to Executive Order 13985 “Advancing Racial Equity and Support for 

Underserved Communities Through the Federal Government.” 

Tribal Behavioral Health Agenda 

SAMHSA, working with tribes, the Indian Health Service, and National Indian Health 

Board developed the first collaborative National Tribal Behavioral Health Agenda 

(TBHA). Tribal applicants are encouraged to briefly cite the applicable TBHA 

foundational element(s), priority(ies), and strategies that are addressed by their 

application. The TBHA can be accessed at 

http://nihb.org/docs/12052016/FINAL%20TBHA%2012-4-16.pdf.

Tobacco and Nicotine-Free Policy

SAMHSA strongly encourages all recipients to adopt a tobacco/nicotine inhalation 

(vaping) product-free facility/grounds policy and to promote abstinence from all tobacco 

products (except in regard to accepted tribal traditions and practices). 

Reimbursements for the Provision of Services

Recipients must utilize third-party reimbursements and other revenue realized from the 

provision of services to the extent possible and use SAMHSA funds only for services to 

individuals who are not covered by public or commercial health insurance programs, 

individuals for whom coverage has been formally determined to be unaffordable, or for 

services that are not sufficiently covered by an individual’s health insurance plan. 

Recipients are responsible for determining of affordability and insurance coverage and 

must have policies and procedures in place to address these areas. Recipients are also 

expected to facilitate the health insurance application and enrollment process for eligible 

uninsured clients. Recipients should also consider other systems from which a potential 

service recipient may be eligible for services (for example, the Veterans Health 

Administration or senior services), if appropriate for and desired by that individual to 

7 Behavioral health equity the right to access high quality and affordable health care services and supports for all 

populations regardless of the individual’s race, age, ethnicity, gender (including gender identity), disability, 

socioeconomic status, sexual orientation, or geographical location. Advancing behavioral health equity involves 

ensuring that everyone has a fair and just opportunity to be as healthy as possible. In conjunction with quality 

services, this involves addressing social determinants of health, such as employment and housing stability, insurance 

status, proximity to services, and culturally responsive care – all of which have an impact on behavioral health 

outcomes.
16

meet his/her needs. In addition, recipients are required to implement policies and 

procedures that ensure other sources of funding are utilized first when available for that 

individual.

Behavioral Health for Military Service Members and Veterans

SAMHSA encourages all recipients to address the behavioral health needs of activeduty military service members, returning veterans, and military families in designing and 

developing their programs and to consider prioritizing this population for services, where 

appropriate.

Behavioral Health for Lesbian, Gay, Bisexual, Transgender, Queer/Questioning, and 

Intersex (LGBTQI+) Individuals

In line with the Executive Order on Advancing Equality for Lesbian, Gay, Bisexual, 

Transgender, Queer, and Intersex Individuals (E.O. 14075) and the behavioral health 

disparities that the LGBTQI+ population face, SAMHSA encourages all recipients to 

address the behavioral health needs of the LGBTQI+ population in designing and 

developing their programs and to consider prioritizing this population for services, where 

appropriate.

8. RECIPIENT MEETINGS

Recipients must participate in at least four joint virtual meetings every year of the award 

and a maximum of four individuals (including the Project Director) can attend. 

Recipients are expected to fully participate in these meetings. If SAMHSA elects to hold 

an in-person meeting, budget revisions will be permitted.

II. FEDERAL AWARD INFORMATION

1. GENERAL INFORMATION

Funding Mechanism: Grant Award

Estimated Total Available Funding: $4,870,995

Estimated Number of Awards: 6

Estimated Award Amount: Up to $800,000.00 per year per award

Length of Project Period: Up to 5 years 

Anticipated Start Date 9/30/2023
17

Proposed budgets cannot exceed $800,000.00 in total costs (direct and indirect) 

in any year of the proposed project. Annual continuation awards will depend on the 

availability of funds, recipient progress in meeting project goals and objectives, timely 

submission of required data and reports, and compliance with all terms and conditions 

of award.

III. ELIGIBILITY INFORMATION

1. ELIGIBLE APPLICANTS

Eligible applicants are States and Territories, including the District of Columbia, political 

subdivisions of States, Indian tribes, or tribal organizations (as such terms are defined in 

section 5304 of title 25), health facilities, or programs operated by or in accordance with 

a contract or award with the Indian Health Service, or other public or private non-profit

entities.

Recipients who received funding under the FY 2019 Transforming Lives Through 

Supported Employment NOFO (SM-19-011) are not eligible to apply for this funding 

announcement.

All non-profit entities must submit documentation of their non-profit status in 

Attachment 8 of your application.

It is recommended that you review information on eligibility in Appendix C of this NOFO.

2. COST SHARING AND MATCHING REQUIREMENTS

Cost sharing/match is not required in this program.

3. OTHER REQUIREMENT

• The Project Narrative must not exceed 10 pages. If the Project Narrative is over 

10 pages, the application will not be considered for review.

• Evidence of Experience and Credentials

SAMHSA believes that only existing, experienced, and appropriately credentialed 

organizations with demonstrated infrastructure and expertise will be able to 

provide the required services quickly and effectively. Applicants are encouraged 

to include appropriately credentialed organizations that provide services to

underserved, diverse populations. All Required Activities must be provided by 

applicants directly, by subrecipients, or through referrals to applicant partner 

agencies. Applicants must submit evidence under Attachment 1 of their 

application meeting three additional requirements related to the provision of 

services.
18

 The three requirements are:

• A provider organization for direct client behavioral health (which includes 

both mental health and substance use) services appropriate to the award

must be involved in the proposed project. The provider may be the 

applicant or another organization committed to the project. More than one 

provider organization may be involved.

• Each mental health provider organization must have at least two years of

experience (as of the due date of the application) providing relevant 

services (official documents must establish that the organization has 

provided relevant services for the last two years).

• Each mental health provider organization must comply with all applicable 

local (city, county) and state licensing, accreditation, and certification 

requirements, as of the due date of the application.

The above requirements apply to all service provider organizations. A 

license from an individual clinician will not be accepted instead of a 

provider organization’s license. Eligible tribes and tribal organization 

mental health/substance use disorder treatment providers must comply 

with all applicable tribal licensing, accreditation, and certification 

requirements, as of the due date of the application. In Attachment 1, you 

must include a statement certifying that the service provider organizations 

meet these requirements.

Following application review, if your application’s score is within the fundable

range, the Government Project Officer (GPO) may contact you to request that 

additional documentation be sent by email or uploaded through eRA Commons, 

or to verify that the documentation you submitted is complete. If the GPO does 

not receive this documentation within the time specified, your application 

will not be considered for an award.

IV. APPLICATION AND SUBMISSION INFORMATION

1. ADDRESS TO REQUEST APPLICATION PACKAGE

The application forms package specific to this funding opportunity can be accessed 

through Grants.gov Workspace or eRA ASSIST. Due to difficulties with internet access, 

SAMHSA understands that applicants may need to request paper copies of materials, 

including forms and required documents. See Appendix A for more information on

obtaining an application package.
19

2. CONTENT AND FORM OF APPLICATION SUBMISSION

REQUIRED APPLICATION COMPONENTS: 

The standard and supporting documents that must be submitted with the application are 

outlined below and in Appendix A - 2.2 Required Application Components of this NOFO.

All files uploaded as part of the application must be in Adobe PDF file format. See 

Appendix B of this NOFO for formatting and validation requirements.

SAMHSA will not accept paper applications except under very special circumstances. If 

you need special consideration, SAMHSA must approve the waiver of this requirement 

in advance. See Appendix A - 3.2 Waiver of Electronic Submission of this NOFO.

• SF-424 – Fill out all Sections of the SF-424. 

o In Line #4 (i.e., Applicant Identifier), input the Commons Username of the 

PD/PI.

o In Line #17 input the following information: (Proposed Project Date: a. Start 

Date: 9/30/2023; b. End Date: 9/29/2028).

New applicants should review the sample of a completed SF-424.

• SF-424A BUDGET INFORMATION FORM – Fill out all Sections of the SF-424A

using the instructions below. The totals in Sections A, B, and D must match.

o Section A – Budget Summary: If cost sharing/match is not required, use the 

first row only (Line 1) to report the total federal funds (e) and non-federal 

funds (f) requested for the first year of your project only. If cost 

sharing/match is required, use the second row (Line 2) to report the total 

non-federal funds (f) for the first year of your project only.

o Section B – Budget Categories: If cost sharing/match is not required, use 

the first column only (Column 1) to report the budget category breakouts 

(Lines 6a through 6h) and indirect charges (Line 6j) for the total funding 

requested for the first year of your project only. If cost sharing/match is 

required, you must use the second column (Column 2) to report the budget 

category breakouts for the first year of your project only.

o Section C –If cost sharing/match is not required leave this section blank. If 

cost sharing/match is required use the second row (line 9) to report nonfederal match for the first year only. 

o Section D – Forecasted Cash Needs: Input the total funds requested, broken 

down by quarter, only for Year 1 of the project period. Use the first row for 

federal funds and the second row (Line 14) for non-federal funds.
20

o Section E – Budget Estimates of Federal Funds Needed for the Balance of 

the Project: Enter the total funds requested for the out years (e.g., Year 2,

Year 3, Year 4, and Year 5). For example, if you are requesting funds for five

years in total, enter the requested budget amount for each budget period in 

columns b, c, d, and e (i.e., 4 out years). - (b) First column is the budget for 

the second budget period; (c) Second column is the budget for the third 

budget period; (d) Third column is the budget for the fourth budget period. (e) 

Fourth column is the budget for the fifth budget period. Use Line 16 for 

federal funds and Line 17 for non-federal funds.

See Appendix B of this NOFO to review common errors in completing the SF-424 and 

the SF-424A. These errors will prevent your application from being successfully 

submitted.

The following pdf is a sample of a completed SF-424A form:

• Sample SF-424A (No Match Required)

A link to a sample budget form and justification is provided in Appendix L of this NOFO.

It is highly recommended that you use this sample budget format. This will 

expedite the review of your application.

• PROJECT NARRATIVE – (Maximum 10 pages total) 

The Project Narrative describes your project. It consists of Sections A through E. 

(Remember that if your Project Narrative starts on page 5 and ends on page 15, 

it is 11 pages long, not 15 pages.). More detailed instructions for completing 

each section of the Project Narrative are provided in Section V.1 – Application 

Review Information.

• BUDGET JUSTIFICATION AND NARRATIVE

The budget justification and narrative must be submitted as a file entitled “BNF”

(Budget Narrative Form) when you submit your application into Grants.gov. (See 

Appendix A – 2.2 Required Application Components.) 

• ATTACHMENTS 1 THROUGH 8

Use only the attachments listed below. If your application includes any 

attachments not required in this document, they will be disregarded. 

Do not use attachments to extend or replace any of the sections of the Project 

Narrative. Reviewers will not consider them if you do. 

Label the attachments as: Attachment 1, Attachment 2, etc. (Use the Other 

Attachments Form if applying with Grants.gov Workspace or Other Narrative 

Attachments if applying with eRA ASSIST.)
21

o Attachment 1: Evidence of Experience and Credentials

1. Identification of at least one experienced, licensed mental health

provider organization.

2. A list of all direct service provider organizations that have agreed to 

partner in the proposed project, including the applicant agency, if it is a 

service provider organization.

3. Letters of Commitment from these direct service provider 

organizations; (Do not include any letters of support. Reviewers 

will not consider them if you do.)

4. Statement of Certification - You must provide a written statement 

certifying that all participating service provider organizations listed in 

this application meet the two-year experience requirement and 

applicable licensing, accreditation, and certification requirements.

o Attachment 2: Data Collection Instruments/Interview Protocols

If you are using standardized data collection instruments/interview protocols, 

you do not need to include these in your application. Instead, provide a web 

link to the appropriate instrument/protocol. If the data collection instrument(s) 

or interview protocol(s) is/are not standardized, you must include a copy in 

Attachment 2.

o Attachment 3: Sample Consent Forms

Forms to be submitted include, as appropriate, sample consent forms that 

provide for: (1) informed consent for participation in service intervention; (2) 

informed consent for participation in the data collection component of the 

project; and (3) informed consent for the exchange (releasing or requesting) 

of confidential information.

o Attachment 4: Project Timeline

This attachment is scored by reviewers. Maximum of 2 pages. See 

instructions in Section V, B.3 of this NOFO.

o Attachment 5: Biographical Sketches and Position Descriptions 

See Appendix G of this NOFO for information on completing biographical 

sketches and job descriptions. Position descriptions should be no longer than 

one page each and biographical sketches should be two pages or less.

o Attachment 6: Letter to the Single State Agency (SSA)
22

See Appendix J of this NOFO for Intergovernmental Review (E.O. 12372) 

Requirements, if applicable. 

o Attachment 7: Confidentiality and SAMHSA Participant Protection/

Human Subjects Guidelines

This attachment is in response to Appendix D of this NOFO and is a required 

attachment.

o Attachment 8: Documentation of Non-profit Status 

All non-profit entities must submit documentation of their non-profit 

status. Any of the following is acceptable documentation: 

▪ A reference to the applicant organization’s listing in the Internal 

Revenue Service’s (IRS) most recent list of tax-exempt organizations 

described in section 501(c)(3) of the IRS Code; 

▪ A copy of a currently valid Internal Revenue Service tax exemption 

certificate;

▪ A statement from a State taxing body, State Attorney General, or other 

appropriate state official certifying the applicant organization has a 

non-profit status;

▪ A certified copy of the organization’s certificate of incorporation or 

similar document that establishes non-profit status; or

▪ Any of the above proof for a state or national parent organization and a 

statement signed by the parent organization that the applicant 

organization is a local non-profit affiliate. 

3. UNIQUE ENTITY IDENTIFIER AND SYSTEM FOR AWARD MANAGEMENT 

See Appendix A for information about the three registration processes that must be 

completed including obtaining a Unique Entity Identifier and registering with the System 

for Award Management (SAM). You must continue to maintain an active SAM 

registration with current information during the time your organization has an active 

federal award or an application under consideration by an agency (unless you are an 

individual or federal agency that is exempted from those requirements under 2 CFR §

25.110(b) or (c), has an exception approved by the agency under 2 CFR § 25.110(d)). 

4. APPLICATION SUBMISSION REQUIREMENTS 

Applications are due by 11:59 PM (Eastern Time) on May 1, 2023. If an 

organization is submitting more than one application, the project title should be 

different for each application.

If you have been granted permission to submit a paper copy, the application must 
23

be received by the above date and time. See Appendix A of this NOFO for information 

on how to apply.

All applicants MUST be registered with NIH’s eRA Commons, Grants.gov, and

the System for Award Management (SAM.gov) in order to submit this application. 

The process could take up to six weeks. (See Appendix A of this NOFO for all 

registration requirements). 

If you are not currently registered with the eRA Commons, Grants.gov, and/or 

SAM.gov, you MUST begin the registration process immediately. If you are 

already registered in these systems, please confirm your SAM registration is 

still active and you are able to access your Grants.gov and eRA Commons 

accounts.

WARNING: BY THE DEADLINE FOR THIS NOFO YOU MUST HAVE 

SUCCESSFULLY COMPLETED THE FOLLOWING TO SUBMIT AN APPLICATION:

• The applicant organization MUST be registered in NIH’s eRA Commons; 

AND

• The Project Director MUST have an active eRA Commons account (with 

the PI role) affiliated with the organization in eRA Commons.

No exceptions will be made.

DO NOT WAIT UNTIL THE LAST MINUTE TO SUBMIT THE APPLICATION. If you 

wait until the last minute, there is a strong possibility that the application will 

not be received without errors by the deadline.

5. FUNDING LIMITATIONS/RESTRICTIONS

The funding restrictions for this project are below. Be sure to identify these expenses in 

your proposed budget.

• No more than 20 percent of the total award for the budget period may be used for 

data collection, performance measurement, and performance assessment, 

including incentives for participating in the required data collection follow-up.

SAMHSA recipients must also comply with SAMHSA’s standard funding 

restrictions, which are included in Appendix I – Standard Funding Restrictions. 

6. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS

All SAMHSA programs are covered under Executive Order (EO) 12372, as 

implemented through Department of Health and Human Services (HHS) regulation at 45 
24

CFR Part 100. Under this Order, states may design their own processes for reviewing 

and commenting on proposed federal assistance under covered programs. See

Appendix J for additional information on these requirements as well as requirements for 

the Public Health System Impact Statement (PHSIS).

7. OTHER SUBMISSION REQUIREMENTS

See Appendix A for specific information about submitting your application.

V. APPLICATION REVIEW INFORMATION

1. EVALUATION CRITERIA

The Project Narrative describes what you intend to do with your project and includes the 

Evaluation Criteria in Sections A-E below. Your application will be reviewed and scored 

according to your response to the requirements in Sections A-E. 

In developing the Project Narrative section of your application, use these instructions, 

which have been tailored to this program. 

• The Project Narrative (Sections A-E) together may be no longer than 10 pages.

• You must use the five sections/headings listed below in developing your Project 

Narrative. You must indicate the Section letter and number in your 

response, i.e., type “A-1”, “A-2”, etc., before your response to each 

question. You do not need to type the full criterion in each section. You only 

need to include the letter and number of the criterion. You may not combine two 

or more questions or refer to another section of the Project Narrative in your 

response, such as indicating that the response for B.2 is in C.1. Only 

information included in the appropriate numbered question will be 

considered by reviewers. Your application will be scored according to how well 

you address the requirements for each section of the Project Narrative. 

• The number of points after each heading is the maximum number of points a 

review committee may assign to that section of your Project Narrative. Although 

scoring weights are not assigned to individual questions, each question is 

assessed in deriving the overall Section score.

• Any cost-sharing proposed in your application will not be a factor in the 

evaluation of your response to the Evaluation Criteria.

SECTION A: Population of Focus and Statement of Need (15 points –

approximately 1 page)
25

1. Identify and describe the individuals aged 18 years and older with serious mental 

illness (SMI) or co-occurring disorders (COD) and the geographic catchment 

area where high quality, evidence-based supported employment programs and 

mutually compatible and supportive evidence-based practices will be delivered. 

Provide a demographic profile of your population of focus in terms of race, 

ethnicity, federally recognized tribe (if applicable), language, sex, gender identity, 

sexual orientation, age, and socioeconomic status.

2. Describe the extent of the need to provide high quality, evidence-based 

supported employment programs and mutually compatible and supportive 

evidence-based practices in the catchment area. Include service gaps, 

disparities, and document the extent of the need (i.e., current prevalence rates or 

incidence data) for the individuals aged 18 years and older with SMI or COD as it 

relates to the program. Identify the data source. 

SECTION B: Proposed Implementation Approach (30 points – approximately 5

pages not including Attachment 4 – Project Timeline) 

1. Describe the goals and measurable objectives (see Appendix E of the proposed 

project and align them with the Statement of Need described in A.2. Provide the 

following table:

Number of Unduplicated Individuals to be Served with Award Funds

Year 1 Year 2 Year 3 Year 4 Year 5 Total

2. Describe how you will implement all of the Required Activities in Section I.

3. In Attachment 4, provide a chart or graph depicting a realistic timeline for the 

entire 5 years of the project period showing dates, key activities, and responsible 

staff. These key activities must include the requirements outlined in Section I 

[NOTE: Be sure to show that the project can be implemented, and service delivery 

can begin as soon as possible and no later than four months after the award.

The timeline cannot be more than two pages and should be submitted in 

Attachment 4.] The recommendation of pages for this section does not include 

the timeline.

SECTION C: Proposed Evidence-Based Service/Practice (25 points approximately 

2 pages)

1. Identify the Evidence-Based Practice(s) (EBPs), evidence-informed, and/or

culturally promising practices that will be used. Discuss how each intervention

chosen is appropriate for individuals aged 18 years and older with SMI or COD
26

and the outcomes you want to achieve. Describe any modifications (e.g.,

cultural) that will be made to the EBP(s) and the reason the modifications are 

necessary. If you are not proposing any modifications, indicate so in your 

response.

2. Describe how you will monitor and ensure fidelity of Evidence-Based Supported 

Employment and, if applicable, other EBPs, evidence-informed and/or promising 

practices that will be implemented. 

SECTION D: Staff and Organizational Experience (20 points – approximately 1

page)

1. Describe the experience of your organization with similar projects and/or 

providing services to individuals aged 18 years and older with SMI or COD. 

Identify other organization(s) that you will partner with in the proposed project.

Describe their experience providing services to the individuals aged 18 years and 

older with SMI or COD, and their specific roles and responsibilities for this 

project. If applicable, Letters of Commitment from each partner must be included

in Attachment 1 of your application. If you are not partnering with any other 

organization(s), indicate so in your response.

2. Provide a complete list of staff positions for the project, including the Key 

Personnel (Project Director) and other significant personnel. For each staff 

member describe their:

• Role, 

• Level of Effort, and 

• Qualifications, including their experience providing services to the 

individuals aged 18 years and older with SMI or COD, familiarity with their 

culture(s) and language(s), and experience with and/or knowledge about 

evidence-based Supported Employment and vocational rehabilitation.

SECTION E: Data Collection and Performance Measurement (10 points –

approximately 1 page)

1. Provide specific information about how you will collect the required data for this 

program and how such data will be utilized to manage, monitor, and enhance the 

program (See Appendix F). Describe your quality improvement efforts and 

explain how you will use the data to address your identified behavioral health 

disparity(ies) and close the gap(s).

2. BUDGET JUSTIFICATION, EXISTING RESOURCES, OTHER SUPPORT

 (Other federal and non-federal sources)
27

You must provide a narrative justification of the items included in your proposed budget. 

You must also provide a narrative description of existing resources and other support 

you expect to receive for the proposed project as a result of cost matching. Other 

support is defined as funds or resources, non-federal, or institutional, in direct support of 

activities through fellowships, gifts, prizes, in-kind contributions, or non-federal means.

(This should correspond to Item #18 on your SF-424, Estimated Funding.) Other 

sources of funds may be used for unallowable costs, e.g., meals, sporting events, 

entertainment. 

Although a non-federal share may not be required, if an applicant proposes non-federal 

resources in their budget, they will be held to submission of the non-federal resources. 

These must be reported on the financial reports. If recipients fail to meet their proposed 

amount or percentage, that could be grounds for a cost disallowance.

An illustration of a budget and narrative justification is included in Appendix L – Sample 

Budget and Justification. It is highly recommended that you use this sample 

budget format. Your proposed budget must reflect the funding limitations/restrictions 

specified in Section IV-5. Specifically identify the items associated with these 

costs in your budget.

3. REVIEW AND SELECTION PROCESS

The Project Narratives of SAMHSA applications are peer-reviewed according to the 

evaluation criteria listed above. 

Decisions to fund an award are based on the strengths and weaknesses of the 

application as identified by peer reviewers. The results of the peer review are advisory 

in nature. 

The program office and approving official make the final determination for funding 

based on the following:

• When the individual award is over $250,000, approval by the Center for Mental 

Health Services National Advisory Council.

• Availability of funds.

• Recipients who received funding under the Transforming Lives Through 

Supported Employment NOFO (SM-19-011) are not eligible to apply.

• At least one award will be made to tribes/tribal organizations pending adequate 

application volume.

• Submission of any required documentation that must be submitted prior to 

making an award.
28

• SAMHSA is required to review and consider any Responsibility/Qualification 

(R/Q) information about your organization located in SAM.gov In accordance 

with 45 CFR 75.212, SAMHSA reserves the right not to make an award to an 

entity if that entity does not meet the minimum qualification standards as 

described in section 75.205(a)(2). If SAMHSA chooses not to award a fundable 

application in accordance with 45 CFR 75.205(a)(2), SAMHSA must report that 

determination to the designated integrity and performance system accessible 

through the System for Award Management (SAM) [currently, the Contractor 

Performance Assessment Reporting System (CPARS) ]. You may review and 

comment on any information about your organization that a federal awarding 

agency previously entered. SAMHSA will consider your comments, in addition to 

other information in R/Q in making a judgment about your organization’s 

integrity, business ethics, and record of performance under federal awards when 

completing the review of risk posed as described in 45 CFR 75.205 HHS 

Awarding Agency Review of Risk Posed by Applicants.

VI. FEDERAL AWARD ADMINISTRATION INFORMATION

1. FEDERAL AWARD NOTICES 

You will receive an email from SAMHSA, via NIH’s eRA Commons, that will describe 

the process for how you can view the general results of the review of your application, 

including the score that your application received.

If your application is approved for funding, a Notice of Award (NoA) will be emailed to

the following: 1) the BO’s email address identified in the Authorized Representative 

section email field on page 3 of the SF-424; and 2) the email associated with the 

Commons account for the Project Director (section 8 Item f on page 1 of the SF-424).

Hard copies of the NoA will no longer be mailed via postal service. The NoA is the sole 

obligating document that allows you to receive federal funding for work on the 

project. Information about what is included in the NoA can be found 

at: https://www.samhsa.gov/grants/grants-management/notice-award-noa.

If your application is not funded, you will receive a notification from SAMHSA, via NIH’s 

eRA Commons. 

2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

If your application is funded, you must comply with all terms and conditions of the NoA. 

SAMHSA’s standard terms and conditions are available on the SAMHSA website -

https://www.samhsa.gov/grants/grants-management/notice-award-noa/standard-termsconditions. See Appendix K for specific information about administrative and national 

policy requirements.
29

3. REPORTING REQUIREMENTS

You will be required to submit an annual progress report on project performance within 

90 days of the end of each budget period. The report must discuss: 

• Programmatic progress to include updates on goals, objectives, required 

activities, successes, challenges, and changes or adjustments that have been 

made to their project since submission of the project proposal;

• National Client Level Outcomes, Infrastructure Development, Prevention, and 

Mental Health Promotion (IPP) indicators data;

• Progress in addressing quality care of under-resourced populations related to the 

Disparity Impact Statement (DIS);

• Barriers encountered, including barriers serving sub-populations;

• Efforts to overcome these barriers; 

• Evaluation activities for tracking DIS efforts; and

• A revised quality improvement plan if the DIS does not meet quality-of-care 

requirements as stated in the DIS. 

A final performance report must be submitted within 120 days after the end of the 

project period. The final performance report must be cumulative and report on all 

activities during the entire project period. 

Management of Award: 

Successful applicants must also comply with the following standard award management 

reporting requirements at https://www.samhsa.gov/grants/grantsmanagement/reporting-requirements, unless otherwise noted in the NOFO or NoA.

VII. AGENCY CONTACTS

For program and eligibility questions contact: 

Mogens “Bill” Baerentzen, PhD, CRC, LMHP

Center for Mental Health Services

Substance Abuse and Mental Health Services Administration 

(240) 276-1037

mogens.baerentzen@samhsa.hhs.gov 

For fiscal/budget questions contact: 
30

Office of Financial Resources, Division of Grants Management

Substance Abuse and Mental Health Services Administration 

(240) 276-1400

FOACMHS@samhsa.hhs.gov 

For review process and application status questions contact: 

Gabriela Porter

Office of Financial Resources, Division of Grant Review

Substance Abuse and Mental Health Services Administration 

(240) 276-1675

Gabriela.Porter@samhsa.hhs.gov
31

Appendix A – Application and Submission Requirements

1. GET REGISTERED

You are required to complete three (3) registration processes:

f

1.1) System for Award Management (SAM);

1.2) Grants.gov; and 

1.3) eRA Commons.

If you have already completed registrations for SAM and Grants.gov, you need to 

ensure that your accounts are still active, and then register in eRA Commons (see 1.3). 

You must register in eRA Commons and receive a Commons Username in order to 

have access to electronic submission, receive notifications on the status of your 

application, and retrieve award information.

WARNING: If your organization is not registered and does not have an active eRA 

Commons PI/PD account by the deadline, the application will not be accepted. 

No exceptions will be made.

1.1 System for Award Management Registration

You must register your organization with the System for Award Management (SAM). A

Unique Entity Identifier (UEI) will be assigned as part of the registration process. (The 

UEI replaced the Dun and Bradstreet Number (DUNS Number). If your organization is 

currently registered in SAM.gov, the UEI has already been assigned and is viewable in 

SAM.gov. This includes inactive registrations. The Unique Entity Identifier is currently 

located below the DUNS Number on your entity registration record. You must be 

signed in to your SAM.gov account to view entity records.

You must continue to maintain active SAM registration with current information during 

the period your organization has an active federal award or an application under 

consideration by an agency (unless you are an individual or federal agency that is 

exempted from those requirements under 2 CFR § 25.110(b) or (c), has an exception 

approved by the agency under 2 CFR § 25.110(d)). To create a SAM user account, 

Register/Update your account, and/or Search Records, go to https://www.sam.gov. It 

takes 7-10 business days for a new SAM entity registration to become active.

It is important to initiate this process well before the application deadline. You will 

receive an email alerting you when your registration is active.
32

It is also highly recommended that you renew your account before the expiration date. 

SAM information must be active and up-to-date and should be updated at least 

every 12 months to remain active (for both recipients and sub-recipients). Once 

you update your record in SAM, it will take 48 to 72 hours to complete the validation

processes. Grants.gov rejects electronic submissions from applicants with 

expired registrations. 

If your SAM account expires, the renewal process requires the same validation with IRS 

and DoD (Cage Code) as required for a new account.

1.2 Grants.gov Registration

Grants.gov is an online portal for submitting federal award applications. It requires a 

one-time registration to submit applications. eRA Commons registration is separate but 

can be done concurrently. You can register to obtain a Grants.gov username and 

password at http://www.grants.gov/web/grants/register.html. 

If you have already completed Grants.gov registration and ensured your Grants.gov 

and SAM accounts are up-to-date and/or renewed, go to the eRA Commons

registration steps noted below. If this is your first time submitting an application through 

Grants.gov, registration information can be found at the Grants.gov “Applicants” tab. 

The person submitting your application must be properly registered with Grants.gov as 

the Authorized Organization Representative (AOR) for the specific UEI number cited on 

the SF-424 (first page). See the Organization Registration User Guide for details at the 

following Grants.gov link: http://www.grants.gov/web/grants/applicants/organizationregistration.html.

1.3 eRA Commons Registration

eRA Commons is an online data platform managed by NIH that allows applicants, 

award recipients, and federal staff to securely share, manage, and process awardrelated information. It is strongly recommended that you start the eRA Commons 

registration process at least six (6) weeks before the application due date. 

Organizations applying for SAMHSA funding must register in eRA Commons. This is a 

one-time registration separate from Grants.gov registration. Note: Grants.gov and eRA 

Commons Registration may occur concurrently. In addition to the organization 

registration, the Business Official (BO) named in the Authorized Representative section 

field on page 3 of the SF-424 and the Project Director details entered in the Applicant 

Information item f on page 1 of the SF-424 (Name and contact information of the person 

to be contacted on matters involving this application) must have accounts in eRA 

Commons and receive a Commons ID to have access to electronic submission and 

retrieval of application/award information. If your organization is not registered and 

does not have an active eRA Commons PI account by the deadline, the 

application will not be accepted. 
33

For organizations registering with eRA Commons for the first time, the BO named in the 

Authorized Representative section of the SF-424 must complete the Register Institution

online process. Instructions on how to complete the online Institution Registration Form 

are provided on the Register in eRA Commons page.

[Note: You must have a valid and verifiable UEI number to complete the eRA Commons 

registration.]

After the BO named as the Authorized Representative completes the online Institution 

Registration Form and clicks Submit, the eRA Commons will send an e-mail notification 

from era-notify@mail.nih.gov with the link to confirm the email address. Once the email address is verified, the registration request will be reviewed and confirmed via 

email. If your request is denied, the representative will receive an email detailing the 

reason for the denial. If the request is approved, the BO will receive an email with an 

eRA Commons User ID for the Signing Official account (SO) role. The representative 

will receive a separate email about this SO account containing a temporary password to 

be used for the first-time log-in. The representative will need to log into eRA Commons 

with the temporary password, at which time the system will provide prompts to change 

the temporary password to one of their choosing. Once the BO/SO signs the 

registration request, the organization will be active in eRA Commons. The BO/SO can 

then create additional accounts for the organization as needed. Organizations can have 

multiple user accounts with the SO role, and any user with the SO role will be able to 

create and maintain additional accounts for the organization’s staff, including accounts 

for those designated as Project Director/Principal Investigator (PD/PI) and other Signing 

Officials. 

Important: The eRA Commons requires organizations to identify at least one BO/SO, 

who is the BO entered in the Authorized Representative section on the SF-424, and a 

PD/PI to submit an application. The primary BO/SO must create the account for the 

PD/PI listed as the person to contact regarding the application on page 1 of the SF-424

assigning that person the ‘PI’ role in eRA Commons. Note that you must also enter the

PD/PI’s Commons Username into the ‘Applicant Identifier’ field of the SF-424 document

(Line 4). The individual designated as the BO cannot also be a PD.

2. WRITE AND COMPLETE APPLICATION

SAMHSA strongly encourages you to sign up for Grants.gov email notifications 

regarding this NOFO. If the NOFO is cancelled or modified, individuals who sign 

up with Grants.gov for updates will be automatically notified.

2.1 Obtaining Paper Copies of Application Materials

If your organization has difficulty accessing high-speed internet and cannot download 

the required documents, you may request a paper copy of the application materials. 
34

Contact the Division of Grant Review at dgr.applications@samhsa.hhs.gov for 

additional information on obtaining paper copies.

2.2 Required Application Components

After downloading and retrieving the required application components and completing 

the registration processes, it is time to write and complete your application. All files 

uploaded with the Grants.gov application MUST be in Adobe PDF file format. 

Directions for creating PDF files can be found on the Grants.gov website. See

Appendix B for all application formatting and validation requirements. 

Standard Application Components

Applications must include the following required application components listed in the 

table below. This table consists of a full list of standard application components, a 

description of each required component, and where you can find each document. 

#

Standard Application 

Components Description Where to Find Document

1 SF-424 (Application for 

Federal Assistance) 

Form

This form must be completed by applicants for all 

SAMHSA awards. 

The names and contact information for Project 

Director (PD) and Business Official (BO) are required 

for SAMHSA applications and are to be entered on 

the SF-424 form.

• The PD must have an eRA Commons 

account: the PD’s Commons Username

must be entered in field 4. Applicant 

Identifier; and the PD’s name, phone 

number and email address must be entered 

in Section 8. APPLICANT INFORMATION: 

item f. Name and contact information of 

person to be contacted on matters 

involving this application. The PD listed in 

the SF-424 must match the PD in the 

Personnel Costs section in the budget.

• The BO name, title, email address and 

phone number must be entered in the 

Authorized Representative section fields 

on page three of the SF 424. The 

organization mailing address is required in 

section 8. APPLICANT INFORMATION

item d. Address.

All SAMHSA Notices of Award (NoAs) will be 

emailed by SAMHSA via NIH’s eRA Commons to the 

Project Director/Principal Investigator (PD/PI), and 

the Signing Official/Business Official (SO/BO).

Grants.gov/forms
35

#

Standard Application 

Components Description Where to Find Document

2 SF-424 A (Budget 

Information – NonConstruction Programs) 

Form

Use SF-424A. Fill out Sections A, B, D and E of the 

SF-424A. Section C should only be completed if 

applicable. It is highly recommended that you 

use the budget template. (See Section IV.2)

Grants.gov/forms

3 Project/Performance 

Site Location(s) Form

The purpose of this form is to collect physical 

location information on the site(s) where work funded 

under this announcement will be performed. The 

address cannot be a P.O. Box.

Grants.gov/forms

4 Project Abstract 

Summary 

It is recommended the abstract is no more than one 

page. It should include the project name, 

population(s) to be served (demographics and 

clinical characteristics), strategies/interventions, 

project goals and measurable objectives, including 

the number of people to be served annually and 

throughout the lifetime of the project, etc. In the first 

five lines or less of your abstract, write a summary of 

your project that can be used, if your project is 

funded, in publications, reports to Congress, or press 

releases.

5 Project Narrative 

Attachment 

The Project Narrative is your response to the 

Evaluation Criteria found at Section V.1 of this 

NOFO. It cannot be longer than 10 pages. You 

must attach the Project Narrative file (Adobe PDF 

format only) inside the Project Narrative Attachment

Form.

6 Budget Justification and 

Narrative Attachment 

You must include a detailed Budget Narrative in 

addition to Budget Form SF-424A. In preparing the 

budget, adhere to any existing federal award or 

agency guidelines which prescribe how and whether 

budgeted amounts should be separately shown for 

different functions or activities within the program. 

The budget justification and narrative must be 

submitted as file name “BNF” when you submit your 

application into Grants.gov. 

SAMHSA 

Website

7 SF-424 B (Assurances 

for Non-Construction) 

Form

You must read the list of assurances provided on the 

SAMHSA website and check the box marked ‘I 

Agree’ before signing the first page (SF-424) of the 

application. 

SAMHSA 

Website

8 Disclosure of Lobbying 

Activities (SF-LLL) Form

Federal law prohibits the use of appropriated funds 

for publicity or propaganda purposes or for the 

preparation, distribution, or use of the information 

designed to support or defeat legislation pending 

before Congress or state legislatures. For SAMHSA 

to determine whether or not your organization 

participates in lobbying activities, a signed copy 

of the SF-LLL form must be submitted." If your 

Grants.gov/forms
36

#

Standard Application 

Components Description Where to Find Document

organization does not participate in lobbying 

activities, indicate “Not Applicable” on the form.

9 Other Attachments Form Refer to the Supporting Documents below. Use the 

Other Attachments Form to attach all required 

additional/supporting documents listed in the table 

below. 

Supporting Documents

In addition to the Standard Application Components listed above, the following 

supporting documents are necessary for the review of your application. Supporting 

documents must be attached to your application. For each of the following 

application components, attach each document (Adobe PDF format only) using 

the Other Attachments Form in ASSIST, Workspace, or other S2S provider. 

#

Supporting 

Documents Description

Where to 

Find 

Document

1 HHS 690 Form Every applicant must have a completed HHS 690 form 

(PDF | 291 KB) on file with the Department of Health 

and Human Services. 

SAMHSA 

Website

2 Biographical Sketches 

and Job Descriptions

(Attachment 5)

See Appendix G of this document for additional 

instructions for completing these sections. Formatting 

requirements outlined in Appendix B are not applicable 

for these documents.

Appendix G of 

this document.

3 Confidentiality and 

SAMHSA Participant 

Protection/Human 

Subjects (Attachment 

7)

See the NOFO for requirements related to 

confidentiality, participant protection, and the protection 

of human subject’s regulations. 

Appendix D of 

this document.

4 Additional Documents 

in the NOFO

The NOFO will indicate the attachments you need to 

include in your application.

NOFO: 

Section IV.

2.3 Additional Documents for Submission (SAMHSA Website)

You will find additional materials you will need to complete your application on the 

SAMHSA website at http://www.samhsa.gov/grants/applying/forms-resources.
37

3. SUBMIT APPLICATION 

3.1 Electronic Submission (eRA ASSIST, Grants.gov Workspace, or other S2S 

provider)

After completing all required registration and application requirements, SAMHSA 

requires applicants to electronically submit using eRA ASSIST, Grants.gov 

Workspace, or another system to system (S2S) provider. Information on each of these 

options is below:

1) ASSIST – The Application Submission System and Interface for Submission 

Tracking (ASSIST) is an NIH sponsored online interface used to prepare 

applications using the SF-424 form set, submit electronically through Grants.gov 

to SAMHSA and other participating agencies, and track applications. [Note: 

ASSIST requires an eRA Commons ID to access the system]

2) Grants.gov Workspace – You can use the shared, online environment of the 

Grants.gov Workspace to collaboratively work on different forms within the 

application.

The specific actions you need to take to submit your application will vary by submission 

method as listed above. The steps to submit your application are as follows: 

To submit to Grants.gov using ASSIST: eRA Modules, User Guides, and 

Documentation | Electronic Research Administration (eRA)

To submit to Grants.gov using the Grants.gov Workspace:

http://www.grants.gov/web/grants/applicants/workspace-overview.html

Regardless of the option you use, your application will be subject to the same 

registration requirements, completed with the same data items, routed through 

Grants.gov, validated against the same agency business rules, assembled in a 

consistent format for review consideration, and tracked in eRA Commons. All 

applications that are successfully submitted must be validated by Grants.gov before 

proceeding to the NIH eRA Commons system and validations. 

3.2 Waiver from Electronic Submission

SAMHSA will not accept paper applications except under very special circumstances. If 

you need special consideration, SAMHSA must approve the waiver of this requirement 

in advance.

If you do not have the technology to apply online, or your physical location has no 

Internet connection, you may request a waiver of electronic submission. You must 
38

send a written request to the Division of Grant Review at least 15 calendar days 

before the application due date.

Direct any questions regarding the submission waiver process to the Division of Grant 

Review at dgr.applications@samhsa.hhs.gov.

3.3 Deadline

On-time submission requires that electronic applications be error-free and made

available to SAMHSA for processing from the NIH eRA system on or before the 

application due date and time. Applications must be submitted to and validated 

successfully by Grants.gov and eRA Commons no later than 11:59 PM Eastern Time on 

the application due date. Applications submitted in Grants.gov after the application due 

date will not be considered for review.

You are strongly encouraged to allocate additional time prior to the submission deadline 

to submit your application and to correct errors identified in the validation process. You

are also encouraged to check the status of your application submission to determine if 

the application is complete and error-free. 

3.4 Resources for Assistance

If you encounter problems when submitting your application in Grants.gov, you must 

attempt to resolve them by contacting the Grants.gov Service Desk at the following:

• By e-mail: support@grants.gov

• By phone: (toll-free) 1-800-518-4726 (1-800-518-GRANTS). The Grants.gov 

Contact Center is available 24 hours a day, 7 days a week, excluding federal 

holidays.

Make sure you receive a case/ticket/reference number that documents the 

issues/problems with Grants.gov. 

Additional support is also available from the NIH eRA Service desk at:

• To submit a service request ticket: http://grants.nih.gov/support/index.html

• By phone: 301-402-7469 or (toll-free) 1-866-504-9552. (Press menu option 6 for 

SAMHSA). The NIH eRA Service desk is available Monday – Friday, 7 a.m. to 8 

p.m. Eastern Time, excluding federal holidays.

If you experience problems accessing or using ASSIST (see below), you can:

• Access the ASSIST Online Help Site at: https://era.nih.gov/erahelp/assist/

• Or contact the NIH eRA Service Desk
39

SAMHSA highly recommends that you submit your application 24-72 hours before the 

submission deadline. Many submission issues can be fixed within that time and you 

can attempt to re-submit. 

4. AFTER SUBMISSION

4.1 System Validations and Tracking

After you complete and comply with all registration and application requirements and 

submit your application, the application will be validated by Grants.gov. You will receive 

a notification that your application is being processed. You will receive two additional emails from Grants.gov within the next 24-48 hours (one notification email will confirm 

receipt of the application in Grants.gov, and the other notification email will indicate that 

the application was either successfully validated by the Grants.gov system or rejected 

due to errors). It is important that you retain this Grants.gov tracking number. Receipt 

of the Grants.gov tracking number is the only indication that Grants.gov has 

successfully received and validated your application. If you do not receive a 

Grants.gov tracking number, you may want to contact the Grants.gov help desk for 

assistance (see Resources for Assistance in Section 3.4). 

If Grants.gov identifies any errors and rejects your application with a “Rejected with 

Errors” status, you must address all errors and resubmit. If no problem is found, 

Grants.gov will allow the eRA system to retrieve the application and check it against its 

own agency business rules (eRA Commons validations). If you use ASSIST to 

complete your application, you can validate your application and fix errors before 

submission.

After you successfully submit your application through Grants.gov, your application will 

go through eRA Commons validations. If no errors are found, the application will be 

assembled in eRA Commons. At this point, you can view your application in eRA 

Commons. It will then be forwarded to SAMHSA as the receiving institution for further 

review. 

If errors are found during eRA Commons validation, you will receive a System Error 

and/or Warning notification regarding the problems found in the application (see 4.2 

below). You must take action to make the required corrections and resubmit the 

application through Grants.gov before the application due date and time (See 4.4 

below). Do not assume that if your application passes the Grants.gov validations that it 

will successfully pass eRA validations and will be received by SAMHSA. You must 

check your application status in eRA Commons to ensure that no errors were identified.

It is critical that you allow for sufficient time to resubmit the application if errors are 

detected.

You are responsible for viewing and tracking your applications in the eRA 

Commons after submission through Grants.gov to ensure accurate and 
40

successful submission. Once you can access your application in the eRA Commons, 

be sure to review it carefully as this is what reviewers will see. 

4.2 eRA Commons: Warning vs. Error Notifications

You may receive a System Warning and/or Error notification after submitting an 

application. Take note that there is a distinction between System Errors and System 

Warnings. 

Warnings – If you receive a Warning notification after the application is submitted, you 

are not required to resubmit the application. The reason for the Warning will be 

identified in the notification. It is at your discretion to choose to resubmit, but if the 

application was successfully received, it does not require any additional action. 

Errors – If you receive an Error notification after the applications is submitted, you must 

correct and resubmit the application. The word Error is used to characterize any 

condition which causes the application to be deemed unacceptable for further 

consideration.

4.3 System or Technical Issues

If you encounter a system error that prevents you from completing the application 

submission process on time, the BO from your organization will receive an email 

notification from eRA Commons. SAMHSA highly recommends contacting the eRA 

Service Desk and submitting a web ticket to document your good faith attempt to submit 

your application and determining next steps. See Section 3.4 for more information on 

contacting the eRA Service Desk.

4.4 Resubmitting a Changed/Corrected Application

If SAMHSA does not receive your application by the application due date as a result of 

a failure in the SAM, Grants.gov, or NIH’s eRA Commons systems, you must contact 

the Division of Grant Review within one business day after the official due date at: 

dgr.applications@samhsa.hhs.gov and provide the following:

• A case number or email from SAM, Grants.gov, and/or NIH’s eRA system that 

allows SAMHSA to obtain documentation from the respective entity for the cause 

of the error.

SAMHSA will consider the documentation to determine if you followed Grants.gov and 

NIH’s eRA requirements and instructions, met the deadlines for processing paperwork 

within the recommended time limits, met NOFO requirements for submission of 

electronic applications, and made no errors that caused submission through Grants.gov 

or NIH’s eRA to fail. No exceptions for submission are allowed when user error is 

involved. Note that system errors are extremely rare.
41

[Note: When resubmitting an application after revisions have been made, ensure that 

the Project Title is identical to the Project Title in the originally submitted 

application (i.e., no extra spacing) as the Project Title is a free-text form field.] In 

addition, check the Changed/Corrected Application box in #1.
42

Appendix B - Formatting Requirements and System

Validation

1. SAMHSA FORMATTING REQUIREMENTS

SAMHSA’s goal is to review all applications submitted for funding. However, this 

goal must be balanced against SAMHSA’s obligation to ensure equitable 

treatment of applications. For this reason, SAMHSA has established certain 

formatting requirements for its applications. See below for a list of formatting 

requirements required by SAMHSA:

• Text must be legible. Pages must be typed in black, single-spaced, using a 

font of Times New Roman 12, with all margins (left, right, top, bottom) at least 

one inch each. You may use Times New Roman 10 only for charts or tables. 

• You must submit your application and all attached documents in Adobe PDF 

format, or your application will not be forwarded to eRA Commons and will not 

be reviewed. See Section 3 below for more details on PDF requirements.

• To ensure equity among applications, the 10-page limit for the Project 

Narrative cannot be exceeded. If an application exceeds the 10-page limit,

the application will not be reviewed. 

• Citations can be put in an Attachment. They do not have to be placed in the 

Project Narrative.

• Black print should be used throughout your application, including charts and 

graphs (no color).

• If you are submitting more than one application under the same 

announcement number, you must ensure that the Project Title in Field 15 of 

the SF-424 is unique for each submission.

2. GRANTS.GOV FORMATTING AND VALIDATION REQUIREMENTS

• Grants.gov allows the following list of UTF-8 characters when naming your 

attachments: A-Z, a-z, 0-9, underscore, hyphen, space, and period. Other 

UTF-8 characters should not be used as they will not be accepted by NIH’s 

eRA Commons, as indicated in item #9 in the table below.

• Scanned images must be scanned at 150-200 dpi/ppi resolution and saved as 

a PDF file. Using a higher resolution setting or different file type will result in 

a larger file size, which could result in rejection of your application. 
43

• Any files uploaded or attached to the Grants.gov application must be PDF file 

format and must contain a valid file format extension in the filename. In 

addition, the use of compressed file formats such as ZIP, RAR or Adobe 

Portfolio will not be accepted.

3. eRA COMMONS FORMATTING AND VALIDATION REQUIREMENTS

The following are formatting requirements and system validations required by eRA 

Commons and will result in errors if not met. The application must be ‘error free’ to be 

processed through the eRA Commons. There may be additional validations which will 

result in Warnings but these will not prevent the application from processing through the 

submission process. (See Appendix A, Section 4.2)

ASSIST File Formatting Requirements

The eRA system contains file formatting requirements for uploading documents in 

ASSIST. The only accepted file type for submission is PDF and each file may be no 

larger than 6 MB. Fillable forms must be ‘flattened’ and saved as a PDF prior to upload. 

Adobe Portfolio file types will not be accepted.

Files for Upload to ASSIST must be:

 PDF Format

 Under 6MB in File Size

 8.5 x 11 Page Size

 Flat (No Fillable/Editable Fields)

Files must NOT contain:

 Password-Protection

 Live hyperlinks (only plain text URLs)

 Bookmarks or Signature Boxes

 A filename exceeding 50 Characters (including spaces)

Flatten Fillable Forms Prior to Upload in ASSIST

A completed fillable form (an electronic document that can be filled out and edited 

digitally—also called fillable, dynamic, or interactive forms) should not only be saved as 

a PDF; it must also be flattened to remove the interactive fields so that the final answers 
44

are saved. Flattening a form is not the same as “locking” it; locking a form restricts 

access to editing, printing, and copying the document. 

Flattening a PDF document:

• Keeps form values permanent. When an interactive PDF is uploaded or 

emailed, every field remains open to accidental or deliberate revision. Flattening 

the form ensures that only the completed version of the form is visible.

• Removes values on drop down lists. A flattened document will show only the 

selected text or value, no other values and options are shown and there is no 

indication that options were present.

• Simplifies the PDF. Interactive forms are larger than normal files, which may 

prevent upload for submission. Flattening reduces the file size which makes it 

easier to render and view. 

To flatten a file, follow the steps below.

1. Ensure that the form is completed and the information is correct. Go to the print 

settings by selecting File > Print.

2. On the pull-down menu of printer options, choose Adobe PDF or Microsoft Print 

to PDF, then click OK.

3. After clicking OK, a pop-up will open with options to save the PDF. Be sure to 

select a specific location to save the document where it can easily be found and 

give it a unique file name. Use a file name that clearly differentiates the 

completed form from the original fillable form. File names cannot exceed 50 

characters.

4. The flattened form should appear in the new location with the new file name. 

Open it to check once more for any changes and to confirm that the conversion 

worked.

If you do not adhere to these requirements, you will receive an email notification from 

era-notify@mail.nih.gov to take action and adhere to the requirements so that your 

application can be processed successfully. It is highly recommended that you submit 

your application 24-72 hours before the submission deadline to allow for sufficient time 

to correct errors and resubmit the application. If you experience any system validation 

or technical issues after hours on the application due date, contact the eRA Service

Desk and submit a Web ticket to document your good faith attempt to submit your 

application. 

eRA Commons Validation Table
45

The following table shows formatting requirements and system validations required by 

eRA Commons and will result in errors if not met.

eRA Validations eRA Error Messages

#1: Applicant Identifier (Item 4 on the SF-424): 

The PD/PI Credentials must be provided The Commons Username must be provided in the

Applicant Identifier field for the PD/PI.

Username provided must be a valid Commons 

account

The Commons Username provided in the Applicant 

Identifier is not a recognized Commons account.

Username must be affiliated with the 

organization submitting the application and/or 

have the PI role

The Commons account provided in the Applicant 

Identifier field for the PD/PI is either not affiliated 

with the applicant organization or does not hold the 

PI role. Check with your Commons Account 

Administrator to make sure your account affiliation 

and roles are set-up correctly.

#2. The UEI number provided must include 

valid characters (12 numbers)

The UEI number provided has invalid characters 

(other than 12 numbers) 

#3. The documentation (forms) required for the 

NOFO must be submitted

The format of the application does not match the 

format of the NOFO. Contact the eRA Service

Desk for assistance.

(#4 If a change or correction is made to 

address an error, “Changed/Corrected” must be 

selected. Item #1 on the SF-424). Refer to 

Appendix A II-4.4 for more information on 

resubmission criteria.

This application has been identified as a duplicate 

of a previous submission. The ‘Type of 

Submission’ should be set to Changed/Corrected if 

you are addressing errors/warnings.

#5. The application cannot exceed 1.2GB. The application did not follow the agency-specific 

size limit of 1.2 GB. Resize the application to be 

no larger than 1.2 GB before submitting.

#6. The correct Notice of Funding Opportunity 

(NOFO) number must be provided

The Funding Opportunity Announcement number 

does not exist.

#7 All documents and attachments must be

submitted in PDF format.

“The <attachment> attachment is not in PDF 

format. All attachments must be provided to the 

agency in PDF format with a .pdf extension. Help 

with PDF attachments can be found at 

http://grants.nih.gov/grants/ElectronicReceipt/pdf_g

uidelines.htm.”

#8. All attachments must comply with the 

following formatting requirements:
46

eRA Validations eRA Error Messages

PDF attachments cannot be empty (0 bytes). The {attachment} attachment was empty. PDF 

attachments cannot be empty, password protected 

or encrypted.

All PDF attachments cannot have Meta data 

missing, cannot be encrypted, password 

protected or secured documents.

The <attachment> attachment contained formatting 

or features not currently supported by NIH: 

<condition returned>. 

The size of PDF attachments cannot be larger 

than 8.5 x 11 inches (horizontally or vertically).

[Note: It is recommended that you limit the size 

of attachments to 35 MB.]

Filename <file> cannot be larger than U.S. 

standard letter paper size of 8.5 x 11 inches. See 

the PDF guidelines at 

http://grants.nih.gov/grants/ElectronicReceipt/pdf_

guidelines.htm

PDF attachments must have a valid file name. 

Valid file names must include the following 

UTF-8 characters: A-Z, a-z, 0-9, underscore (_), 

hyphen (-), space, period.

The <attachment> attachment filename is invalid. 

Valid filenames may only include the following 

characters: A-Z, a-z, 0-9, underscore ( _ ), hyphen 

(-), space, or period. No special characters 

(including brackets) can be part of the filename.

#9. The email addresses for the Contact 

Person (SF-424 Section F) and the Authorized 

Representative (SF-424 below Section 21) must 

contain a ‘@’, with at least 1 and at most 64 

chars preceding and following the ‘@’. Control 

characters (ASCII 0 through 31 and 127), 

spaces and special chars < > ( ) [ ] \ , ; : are not 

valid.

The submitted e-mail address for the person to be 

contacted {email address}, is invalid. Must contain 

a ‘@’, with at least 1 and at most 64 chars 

preceding and following the ‘@’. Control 

characters (ASCII 0 through 31 and 127), spaces 

and special chars < > ( ) [ ] \ , ; : are not valid.

#10. Congressional district code of applicant 

(after truncating) must be valid. (SF-424, item 

16 a and b)

Congressional district <Congressional District> is 

invalid. To locate your district, visit 

http://www.house.gov/
47

Budget Errors

eRA Validations eRA Error Messages

SF424-A: Section A – Budget Summary

The total fields at the end of rows or at the 

bottom of columns must equal the sum of the 

elements for that row or column 

Ensure that the sum of Grant Program Function or 

Activity (a) elements entered equals the total 

amounts in the Total field

SF424-A: Section B – Budget Categories

The Total in Section B (Column 5 - Row k) must 

equal the Total in Section A – Budget 

Summary: (Row 5, Column g).

Ensure that the TOTALS Total (row k, column 5) 

equals the Budget Summary Totals in section A, 

row 5 column g.

SF424-A: Section D – Forecasted Cash Needs

The Federal Total for the 1st Year (Line 13) 

must equal the Total in Section A (Row 5, 

Column g)

Ensure that the Federal Total for 1st year, in 

Section D- Forecasted Needs equals the Section 

A, New or Revised Budget Federal Totals (e-5) 

amount.

The Non-Federal Total for 1st Year sum must

equal Estimated Unobligated Funds NonFederal Totals in Section A (d-5) + New or 

Revised Budget Non-Federal Totals (f-5)

Ensure that the Non-Federal Total for 1st year 

equals the sum of Estimated Unobligated Funds 

Non-Federal Totals (d-5) and New or Revised 

Budget Non-Federal Totals (f-5) on Section A.

The Total for 1st Year TOTAL in Section D must 

equal the Total (Row 5, Column G) in Section A

Ensure that the Forecasted Cash Needs: 15 

TOTAL equals to SECTION A – Budget Summary: 

Line 5. Totals, Column (g).

SF424-A: Section E – Budget Estimates of 

Federal Funds Needed for Balance of The 

Project

The number of budget years/periods must 

match the span of the project. The number of 

years in the project period in Block 17 on the 

SF-424 must align with the future funding 

periods.

Ensure that the project period years on the SF 424 

block 17 matches the provided budget periods in 

the SF-424A. Enter data for the first budget period 

in Section D and enter future budget periods in 

Section E. 
48

Appendix C – General Eligibility Information

Determining whether you are eligible to apply for and receive a SAMHSA award is very 

important. If you are not legally eligible for a specific funding opportunity, you would 

spend considerable time and money completing the application process when you 

cannot receive the award. 

There are many types of organizations generally eligible to apply for SAMHSA funding 

opportunities. However, eligibility is strictly tied to the statutory authority governing this 

award. Please be sure to double check the NOFO for eligibility. Eligibility for this 

NOFO may include the following:

Government Organizations

State governments and territories

County governments

City or township governments

Special district governments

Native American tribal governments (federally recognized)

Native American tribal governments (other than federally recognized)

State-Recognized Tribes

Other Tribal Entities

Tribal organizations

Consortia of tribes or tribal organizations

Urban Indian Organizations

Education Organizations

Independent school districts

Public and state-controlled institutions of higher education

Private institutions of higher education

Education agencies/authorities serving children and youth residing in federally 

recognized American Indian/Alaska Native (AI/AN) tribes

Non-profit Organizations

Non-profits having a 501(c)(3) status with the Internal Revenue Service (IRS), other 

than institutions of higher education

Non-profits that do not have a 501(c)(3) status with the IRS, other than institutions of 

higher education, including entities with 501(c)(4) status (civic leagues, social welfare 

organizations, and local associations of employees) and 501(c)(5) status (labor 

organizations). 

Please note: For-profit organizations and foreign entities are not eligible to apply 

for SAMHSA awards.
49

Appendix D – Confidentiality and SAMHSA Participant 

Protection/Human Subjects Guidelines

CONFIDENTIALITY AND PARTICIPANT PROTECTION: 

It is important to have safeguards protecting individuals from risks associated with their 

participation in SAMHSA projects. As part of Attachment 7 of the application, all 

applicants (including those who plan to obtain Institutional Review Board (IRB) 

approval) must address all of the elements below. If some elements are not 

applicable to the proposed project, explain why the element(s) is not applicable. 

In addition to addressing these elements, you will need to determine if the section below 

titled “Protection of Human Subjects Regulations” applies to your project. If so, you 

must submit the required documentation as described below. There are no page limits 

for your response to the elements in this appendix.

1. Protect Participants and Staff from Potential Risks

• Identify and describe the foreseeable physical, medical, psychological, social, 

and legal risks or potential adverse effects participants may be exposed to 

because of the project.

• Identify and describe the foreseeable physical, medical, psychological, social, 

and legal risks or potential adverse effects staff may be exposed to as a result, 

of the project. 

• Describe the procedures you will follow to minimize or protect participants and 

staff against potential risks, including risks to confidentiality. 

• Identify your plan to provide guidance and assistance in the event there are 

adverse effects to participants and/or staff.

 Responses that will be considered unacceptable or incomplete:

• Indicating that there are no risks to participants. If services are being 

delivered as part of the project, it is very unlikely that there will be no 

foreseeable physical, medical, psychological, social, or legal risks or 

potential adverse effects as a result of their involvement in the project.

• Addressing potential risks to participants but not addressing risks to staff

• Neglecting to describe how the organization will provide guidance and 

assistance in the event there are adverse effects to participants and 

whether alternative treatments will be available to participants.
50

2. Fair Selection of Participants

• Explain how you will recruit and select participants ensuring all populations have 

equitable opportunities to participate in the program. 

• Identify any individuals in the geographic catchment area where services will be 

delivered who will be excluded from participating in the project and explain the 

reasons for this exclusion. 

 Responses that will be considered unacceptable or incomplete:

• Not explaining reasons for including or excluding participants

• Not identifying how participants will be selected

3. Absence of Coercion

• If you plan to compensate participants, state how participants will be awarded 

incentives (e.g., gift cards, bus passes, gifts, etc.) If you plan to implement a 

contingency management program, specify the evidence-based model you will 

use and briefly justify its use with your population(s) of focus. If you have 

included funding for incentives in your budget, you must address this item. (For 

specific information about incentives, see https://www.samhsa.gov/grants/grantsmanagement/policies-regulations/additional-directives) 

• Provide justification that the use of incentives is appropriate, judicious, and 

conservative and that incentives do not provide an “undue inducement” that 

removes the voluntary nature of participation. 

• Describe how you will inform participants in a culturally competent manner that 

they may receive services even if they choose to not participate in or complete 

the data collection component of the project.

 Responses that will be considered unacceptable or incomplete:

• Indicating that you do not plan to compensate participants, such as 

through incentives, but including funding for incentives in the budget or 

describing the use of incentives in the Project Narrative.

• Not specifying how participants will be told that they may receive services 

even if they choose not to participate in the data collection component of 

the project.
51

4. Data Collection

• Identify from whom you will collect data (e.g., participants, clients, family 

members, teachers, others).

• Describe the data collection procedures and specify the sources for obtaining 

data (e.g., school records, interviews, psychological assessments, 

questionnaires, observation, or other sources). Identify what type of specimens 

(e.g., urine, blood) will be used, if any. State if the specimens will be used for 

purposes other than evaluation. 

• In Attachment 2, “Data Collection Instruments/Interview Protocols,” you must

provide copies of all available data collection instruments and interview protocols 

that you plan to use (unless you are providing the web link to the standardized 

instrument(s)/protocol(s). Include any culturally adapted data collection 

instruments and interview protocols.

 Responses that will be considered unacceptable or incomplete:

• Not clearly identifying all the entities from which data will be collected.

• Describing the use of drug testing in the Project Narrative but not 

providing the requested information about specimen collection.

• Not including data collection instruments/interview protocols (or links to 

websites for the instruments) in Attachment 2.

• Not including how the data collection will occur (i.e., paper surveys versus 

electronic survey links; at a school setting or at the organization’s clinic, 

etc.).

5. Privacy and Confidentiality

• Explain how you will ensure privacy and confidentiality. Describe:

o Where data will be stored,

o Who will have access to the data collected, and

o How the identity of participants will be kept private, for example, using a 

coding system on data records, limiting access to records, or storing 

identifiers separately from data.

• NOTE: Recipients must maintain the confidentiality of substance use disorder

client records according to the provisions of Title 42 of the Code of Federal 

Regulations, Part II, Subpart B.
52

 Responses that will be considered unacceptable or incomplete:

• Not providing detailed information about where data is stored and how the 

identity of participants will be kept confidential.

• Not clearly identifying the individuals who will have access to the data.

• Not specifying that you agree to maintain the confidentiality of substance 

use disorder client records according to the provisions of Title 42 of the 

Code of Federal Regulations, Part II.

6. Adequate Consent Procedures

• Include, as appropriate, sample consent forms* that provide for:

1. informed consent for participation in service intervention; 

2. informed consent for participation in the data collection component of the 

project, including information that participants are informed that they may 

receive services even if they choose not to participate in or complete this 

component of the project; and 

3. informed consent for the exchange (releasing or requesting) of confidential 

information. 

4. Informed consent for youth participants.

*Consent forms should be written at no higher than 8th grade reading level.

• The sample forms must be included in Attachment 3, “Sample Consent 

Forms”, of your application. If needed, provide translated forms.

• Explain how you will obtain consent for youth, the elderly, people with limited 

reading skills, and people who do not use English as their first language. 

Describe how the consent will be documented. For example: Will you read the 

consent forms? Will you ask prospective participants questions to be sure they 

understand the forms? Will you give them copies of what they sign?

NOTE: The consent forms should never imply that the participant waives or 

appears to waive any legal rights. The forms should also not imply that 

individuals cannot end involvement with the project or that your project or its 

agents will be released from liability for negligence. 

 Responses that will be considered unacceptable or incomplete:

• Not providing copies of sample consent forms in Attachment 3.
53

• Not providing details on how consent/assent will be obtained for youth 

participants.

• Not providing details on how consent will be obtained for non-English 

speaking priority populations identified in the application. 

7. Risk/Benefit Discussion

• Discuss why the risks you have identified in Element 1. Protect Participants

and Staff from Potential Risks are reasonable compared to the anticipated 

benefits to participants involved in the project. 

 Responses that will be considered unacceptable or incomplete:

• Indicating there are no risks to participants in the first element and noting 

that this element is therefore not applicable.

• Not mentioning any anticipated benefits to participants involved in the 

project.

PROTECTION OF HUMAN SUBJECTS REGULATIONS

SAMHSA expects that most recipients funded under this announcement will not have to 

comply with the Protection of Human Subjects Regulations (45 CFR 46), which requires 

Institutional Review Board (IRB) approval. However, in some instances, the applicant’s 

proposed project may meet the regulation’s criteria for research involving human 

subjects. Although IRB approval is not required at the time of award, you are required 

to provide the documentation below prior to enrolling participants into your project. 

In addition to the elements above, applicants whose projects must comply with the 

Human Subjects Regulations must:

• Describe the process for obtaining IRB approval for your project. 

• Provide documentation that an Assurance of Compliance is on file with the Office 

for Human Research Protections (OHRP). 

• Provide documentation that IRB approval has been obtained for your project prior 

to enrolling participants. 

General information about Human Subjects Regulations can be obtained through OHRP 

at http://www.hhs.gov/ohrp or (240) 453-6900. SAMHSA–specific questions should be 

directed to the program contact listed in Section VII of this announcement.
54

Appendix E – Developing Goals and Measurable Objectives

To be able to effectively evaluate your project, it is critical that you develop realistic 

goals and measurable objectives. This appendix provides information on developing 

goals and objectives for use in your Project Narrative. It also provides examples of wellwritten goals and measurable objectives. 

GOALS

Definition − a goal is a broad statement about the long-term expectation of what should 

happen because of your program (the desired result). It serves as the foundation for 

developing your program objectives. Goals should align with the statement of need that 

is described. Goals should only be one sentence.

The characteristics of effective goals include:

• Goals address outcomes, not how outcomes will be achieved.

• Goals describe the behavior or condition in the community expected to change.

• Goals describe who will be affected by the project.

• Goals lead clearly to one or more measurable results.

• Goals are concise.

Examples

Unclear Goal Critique Improved Goal

Increase the substance use and 

HIV/AIDS prevention capacity of the 

local school district

This goal could be 

improved by 

specifying an 

expected program 

effect in reducing a 

health problem

Increase the capacity of the local 

school district to reduce high-risk 

behaviors of students that may 

contribute to substance use and/or 

HIV/AIDS

Decrease the prevalence of marijuana, 

alcohol, and prescription drug use 

among youth in the community by 

increasing the number of schools that 

implement effective policies, 

environmental change, intensive 

training of teachers, and educational 

approaches to address high-risk 

behaviors, peer pressure, and tobacco 

use.

This goal is not 

concise

Decrease youth substance use in 

the community by implementing 

evidence-based programs within the 

school district that address 

behaviors that may lead to the 

initiation of use. 

OBJECTIVES
55

Definition – Objectives describe the results to be achieved and the manner in which 

they will be achieved. Multiple objectives are generally needed to address a single 

goal. Well-written objectives help set program priorities and targets for progress and 

accountability. It is recommended that you avoid verbs that may have vague meanings 

to describe the intended outcomes, like “understand” or “know” because it may prove 

difficult to measure them. Instead, use verbs that document action, such as: “By the 

end of 2020, 75% of program participants will be placed in permanent housing. To be 

effective, objectives should be clear and leave no room for interpretation.

SMART is a helpful acronym for developing objectives that are specific, measurable, 

achievable, realistic, and time-bound:

Specific –

Includes the “who” and “what” of program activities. Use only one action verb to avoid 

issues with measuring success. For example, “Outreach workers will administer the 

HIV risk assessment tool to at least 100 injection drug users in the population of focus” 

is a more specific objective than “Outreach workers will use their skills to reach out to 

drug users on the street.”

Measurable –

How much change is expected. It must be possible to count or otherwise quantify an 

activity or its results. It also means that the source of and mechanism for collecting 

measurement data can be identified and that collection of the data is feasible for your 

program. A baseline measurement is required to document change (e.g., to measure 

the percentage of increase or decrease). If you plan to use a specific measurement 

instrument, it is recommended that you incorporate its use into the objective. Example: 

By 9/20 increase by 10% the number of 8th, 9

th, and 10th grade students who disapprove 

of marijuana use as measured by the annual school youth survey.

Achievable –

Objectives should be attainable within a given time frame and with available program 

resources. For example, “The new part-time nutritionist will meet with seven teenage 

mothers each week to design a complete dietary plan” is a more achievable objective 

than “Teenage mothers will learn about proper nutrition.”

Realistic –

Objectives should be within the scope of the project and propose reasonable

programmatic steps that can be implemented within a specific time frame. For example, 

“Two ex-gang members will make one school presentation each week for two months to 

raise community awareness about the presence of gangs” is a more realistic objective 

than “Gang-related violence in the community will be eliminated.”

Time-bound –

Provide a time frame indicating when the objective will be measured or a time by when 

the objective will be met. For example, “Five new peer educators will be recruited by 
56

the second quarter of the first funding year” is a better objective than “New peer 

educators will be hired.”

Examples: 

Non-SMART Objective Critique SMART Objective

Teachers will be trained on 

the selected evidencebased substance use 

prevention curriculum. 

The objective is not SMART 

because it is not specific, 

measurable, or time-bound. It 

can be made SMART by 

specifically indicating who is 

responsible for training the 

teachers, how many will be 

trained, who they are, and by 

when the trainings will be 

conducted.

By June 1, 2022, LEA supervisory 

staff will have trained 75% of

health education teachers in the 

local school district on the 

selected, evidence-based 

substance use prevention 

curriculum. 

90% of youth will participate 

in classes on assertive 

communication skills.

This objective is not SMART 

because it is not specific or timebound. It can be made SMART 

by indicating who will conduct 

the activity, by when, and who 

will participate in the lessons on 

assertive communication skills.

By the end of the 2022 school 

year, district health educators will 

have conducted classes on 

assertive communication skills for 

90% of youth in the middle school

receiving the substance use and 

HIV prevention curriculum.

Train individuals in the 

community on the 

prevention of prescription 

drug/opioid overdoserelated deaths.

This objective is not SMART as it 

is not specific, measurable or

time-bound. It can be made 

SMART by specifically indicating 

who is responsible for the 

training, how many people will be 

trained, who they are, and by 

when the training will be 

conducted.

By the end of year two of the 

project, the Health Department

will have trained 75% of EMS staff

in the County Government on the 

selected curriculum addressing the 

prevention of prescription 

drug/opioid overdose-related 

deaths.
57

Appendix F – Developing the Plan for Data Collection and

Performance Measurement

Information in this Appendix should be taken into consideration when developing a 

response for criteria in Section E of the Project Narrative.

Data Collection:

In describing your plan for data collection, consider addressing the following points:

• Electronic data collection software that will be used

• Frequency of data collection?

• Organizational processes that will be implemented to ensure the accurate and 

timely collection and input of data.

• Staff that will be responsible for collecting and recording the data.

• Data source and data collection instruments that will be used to collect the data.

• How well the data collection methods will take into consideration the language, 

norms, and values of the population(s) of focus.

• Processes and policies to keep data secure.

• If applicable, the data collection procedures to ensure that confidentiality is 

protected and that informed consent is obtained.

• If applicable, data collection procedures from partners and/or sub-recipients.

It is not necessary to provide information related to data collection and performance 

measurement in a table, but the following samples may give you some ideas about how 

to display the information. 

Table 1 [provides an example of how information for the required performance 

measures could be displayed]

Performance Measures Data 

Source

Data Collection 

Frequency

Responsible 

Staff for Data 

Collection

Method of Data 

Analysis 

Table 2 [provides an example of how information could be displayed for the data that 

will be collected to measure the objectives that are included in B.1]

Objective Data Source Data Collection 

Frequency

Responsible Staff for 

Data Collection

Method of Data 

Analysis

Objective 1.a
58

Objective Data Source Data Collection 

Frequency

Responsible Staff for 

Data Collection

Method of Data 

Analysis

Objective 1.b

Data Management and Performance Monitoring

Points to consider:

• Data protection policies and procedures, including information about storage, 

retention, and access. 

• Frequency of reviews and monitoring of performance data

• Staff conducting data analysis, including evaluation.

• Data analysis methods and how you will use data to monitor and evaluate 

activities and processes. 

• Staff responsible for completing reports.

• How data will be reported to staff, stakeholders, SAMHSA, an Advisory Board, 

and other relevant project partners.

How Data Will Be Used to Enhance the Project/Quality Improvement (QI):

Points to consider:

• If applicable, the QI model that will be used.

• How will the QI process be used to track progress?

• Staff responsible for overseeing QI processes.

• Details of how to implement any needed changes to project implementation 

and/or project management.

o What decision-making processes will be used??

o When and by whom will decisions be made concerning project 

improvement? 

o What are the thresholds for determining that changes need to be made?

o Will the Advisory Board have a role in the QI process?

o How will the changes be communicated to staff and/or partners/subrecipients?

 
59

Appendix G – Biographical Sketches and Position

Descriptions

Include position descriptions and biographical sketches for all project staff as supporting 

documentation to the application. The formatting requirements outlined in Appendix B 

are not applicable for these documents.

Biographical Sketch

Existing curricula vitae of project staff members may be used if they are updated and 

contain all items of information requested below. You may add any information items 

listed below to complete existing documents. For development of new curricula vitae 

include items below in the most suitable format:

1. Name of staff member

2. Educational background: school(s), location, dates attended, degrees earned 

(specify year), major field of study

3. Professional experience

4. Recent relevant publications

Position Description

1. Title of position

2. Description of duties and responsibilities

3. Qualifications for position

4. Supervisory relationships

5. Skills and knowledge required

6. Amount of travel and any other special conditions or requirements

7. Salary range

8. Hours per day or week
60

Appendix H – Addressing Behavioral Health Disparities

SAMHSA expects recipients to submit a Behavioral Disparity Impact Statement (DIS) 

within 60 days of receiving the award. 

SAMHSA’s Behavioral Health Disparity Impact Statement (DIS) is a data-driven, quality 

improvement approach to advance equity for all, and to identify racial, ethnic, sexual 

and gender minority, and rural populations at highest risk for experiencing behavioral 

health disparities as part of their projects. The purpose of the DIS is for recipients to 

identify and address health disparities8 and to develop and implement an action plan 

with a disparity reduction quality improvement process to close the identified gap(s). 

The aim is to achieve targeted behavioral health equity9for disparate populations and 

improve systems.

SAMHSA provides a DIS Worksheet that award recipients are expected to use to 

respond to this special condition of award.

The main components of the DIS are:

• Identify and describe the scope of the problem (i.e., behavioral health disparity) 

related to the program and the population(s) of focus that experience disparate 

access, use, and outcomes. Identify data sources that will be used to inform the 

DIS (this should be in alignment with the information provided in your 

application). Complete a table that includes this information at the 

individual/client, organizational or systemic level as it relates to GPRA data 

collection requirements.

8 Healthy People 2030 defines a health disparity as a “particular type of health difference that is closely 

linked with social, economic, and/or environmental disadvantage. Health disparities adversely affect 

groups of people who have systematically experienced greater obstacles to health based on their racial or 

ethnic group; religion; socioeconomic status; gender; age; disability; mental health; cognitive, sensory, or 

physical disability; sexual orientation or gender identity; geographic location; or other characteristics 

historically linked to discrimination or exclusion.”

9 Behavioral health equity is the right to access high quality and affordable health care services and 

supports for all populations regardless of the individual’s race, age, ethnicity, gender (including gender 

identity), disability, socioeconomic status, sexual orientation, or geographical location. Advancing 

behavioral health equity involves ensuring that everyone has a fair and just opportunity to be as healthy 

as possible. In conjunction with quality services, this involves addressing social determinants of health, 

such as employment and housing stability, insurance status, proximity to services, and culturally 

responsive care – all of which have an impact on behavioral health outcomes.
61

• Identify Social Determinant of Health (SDOH) domain(s) that your organization 

will work to address and improve for the identified population(s) of focus using 

the NOFO. Visit Healthy People 2030 for more information on the five (5) 

domains. Using the Behavioral Health Implementation Guide, identify Culturally 

and Linguistically Appropriate Services (CLAS) standards that your organization 

plans to meet, expand, or improve through this funding opportunity. Review the 

Behavioral Health Implementation Guide for full explanations of the overarching 

themes and 15 CLAS Standards with behavioral health related samples, 

strategies, and examples.

• Develop and implement a disparity reducing quality improvement action plan to 

address the behavioral health disparity(ies) experienced by underserved 

population differences based on the GPRA data on access, use, and outcomes 

of activities. The plan should include realistic goals and SMART objectives (see 

Appendix E), the activities that will be implemented to address disparities, the 

intended impact, timeline, measurement, and evaluation. Ensure documentation 

of the processes, progress, and outcomes on how the identified behavioral health 

disparity(ies) have improved. 

Recipients are expected to provide, at a minimum, an annual update on the DIS (e.g., 

what worked, what did not work, what modifications were made) as part of the 

programmatic progress reports per the NOFO. 

Examples of a DIS are available on the SAMHSA website at 

http://www.samhsa.gov/grants/grants-management/disparity-impact-statement

DIS Related Terminology and Resources

Definition of Health Disparities

Healthy People 2030 defines a health disparity as a “particular type of health difference 

that is closely linked with social, economic, and/or environmental disadvantage. Health 

disparities adversely affect groups of people who have systematically experienced 

greater obstacles to health based on their racial or ethnic group; religion; socioeconomic 

status; gender; age; disability; mental health; cognitive, sensory, or physical disability; 

sexual orientation or gender identity; geographic location; or other characteristics 

historically linked to discrimination or exclusion.”

Social Determinants of Health (SDOH)

SDOH are the conditions in the environment where people are born, live, work, play, 

worship, and age that affect a wide range of health, functioning, and quality-of-life 

outcomes and risks. SDOH can be grouped into 5 domains: 

• Economic Stability
62

• Education Access and Quality

• Health Care Access and Quality

• Neighborhood and Built Environment

• Social and Community Context

For more information about SDOH Z codes and how SDOH are being used to narrow 

the health disparities gaps, see https://www.cms.gov/files/document/zcodesinfographic.pdf; https://www.cms.gov/files/document/cms-omh-january2020-zcode-datahighlightpdf.pdf; and https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6207437/pdf/18-

095.pdf

Definition of Equity

Equity is the consistent and systematic fair, just, and impartial treatment of all

individuals, including individuals who belong to underserved communities that have 

been denied such treatment, such as Black, Latino, Indigenous and Native American 

persons, Asian Americans and Pacific Islanders and other persons of color; members of 

religious minorities; lesbian, gay, bisexual, transgender, and queer (LGBTQ+) persons; 

persons with disabilities; persons who live in rural areas; and persons otherwise 

adversely affected by persistent poverty or inequality. Addressing issues of equity 

should include an understanding of intersectionality and how multiple forms of 

discrimination impact individuals’ lived experiences. Individuals and communities often

belong to more than one group that has been historically underserved, marginalized, or 

adversely affected by persistent poverty and inequality. Individuals at the nexus of 

multiple identities often experience unique forms of discrimination or systemic 

disadvantages, including in their access to needed services.

Definition of Health Equity 

Health equity is the attainment of the highest level of health for all people. Achieving 

health equity requires valuing everyone equally with focused and ongoing societal

efforts to address avoidable inequalities, historical and contemporary injustices, and the

elimination of health and health care disparities. Behavioral health equity is the right to 

access quality health care for all populations regardless of the individual’s race, 

ethnicity, gender, socioeconomic status, sexual orientation, or geographical location. 

This includes access to prevention, treatment, and recovery services for mental and 

substance use disorders.

Underserved populations

SAMHSA applicants are routinely asked to define the population they intend to serve 

given the focus of a particular program (e.g., adults with opioid use disorders at risk of 

overdose; adults with serious mental illness [SMI]; adolescents engaged in underage 

drinking; populations at risk for contracting HIV/AIDS, etc.). Within these populations of 

focus are underserved populations that may have unequal access to, use of, or 
63

outcomes from provided services. These disparities may be the result of differences in 

race, ethnicity, language, culture, and/or socioeconomic factors specific to that 

underserved population. For instance, Latino adults with opioid use disorder may be at 

heightened risk for overdoses due to lack of in-language prevention campaigns and 

treatment; African Americans with an SMI may more likely to terminate treatment 

prematurely due to lack of providers with whom they can develop a therapeutic 

relationship; Native American youth may have an increased incidence of underage 

drinking due to coping patterns related to historical trauma; and African American 

women may be at greater risk for contracting HIV/AIDS due to lack of access to 

education on risky sexual behaviors in urban low-income communities, etc. While these 

factors might not be pervasive among the general population served by a recipient, they 

may be predominant among underserved populations or groups vulnerable to 

disparities. It is imperative that recipients understand who is being served, who is 

underserved, and who is not being served within their community in order to provide 

outreach and care that will yield positive outcomes, per the focus of the award. For 

organizations to attend to the potentially disparate impact of their award efforts, 

recipients are asked to address access, use and outcomes, disaggregated by 

underserved populations. Underserved populations can be defined by the following 

factors:

• By race

• By ethnicity

• By gender identity (including transgender populations)

• By sexual orientation (including lesbian, gay and bisexual populations)

Access refers to which populations/underserved populations are being served/reached 

by the program. Use refers to what interventions/services are received by the various 

populations. Outcomes refers to the outcome measures stipulated by the award and 

examined across underserved populations.

Culturally and Linguistically Appropriate Services in Health and Health Care 

(CLAS Standards)

The ability to address the quality of care provided to underserved populations served 

within SAMHSA’s programs is enhanced by programmatic alignment with the federal 

National Standards for Culturally and Linguistically Appropriate Services in Health and 

Health Care (CLAS Standards).

The CLAS Standards are comprised of 15 Standards that provide a blueprint for health 

and health care organizations to implement culturally and linguistically appropriate, 

respectful, and responsive services that will advance health equity, improve quality, and 

help eliminate health care disparities.

The CLAS Standards are grouped into a Principal Standard and three themes focused 

on 
64

1) Governance and Leadership. 

2) Communication and Language Assistance.

3) Engagement, Continuous Improvement and Accountability. 

Widely embraced by States and health care systems, the National CLAS Standards are 

more recently being promoted in behavioral health care, which includes a Behavioral 

Health CLAS Implementation Guide at 

https://www.minorityhealth.hhs.gov/Assets/PDF/clas%20standards%20doc_v06.28.21.p

df. You can learn more about the CLAS mandates, guidelines, and recommendations 

at: http://www.ThinkCulturalHealth.hhs.gov.

Guidelines for behavioral health implementation of the CLAS Standards can be found at

https://thinkculturalhealth.hhs.gov/clas. This document addresses the importance of 

improving access to behavioral health care, promoting quality behavioral health 

programs and practice, and ultimately reducing persistent disparities in mental health 

and substance use prevention, treatment, and recovery for underserved, minority 

populations and communities.
65

Appendix I – Standard Funding Restrictions

HHS codified the Uniform Administrative Requirements, Cost Principles, and Audit 

Requirements for HHS Awards, 45 CFR Part 75. In Subpart E, cost principles are 

described and allowable/unallowable expenditures for HHS recipients are delineated. 

45 CFR Part 75 is available at https://ecfr.federalregister.gov/current/title-45/subtitleA/subchapter-A/part-75. Unless superseded by program statute or regulation, follow the 

cost principles in 45 CFR Part 75 and the standard funding restrictions below.

Guidelines for recipients on financial management requirements are available at 

https://www.samhsa.gov/grants/grants-management/policies-regulations/financialmanagement-requirements. 

SAMHSA funds may not be used to:

• Purchase, prescribe, or provide marijuana or treatment using marijuana. See, 

e.g., 45 CFR 75.300(a) (requiring HHS to ensure that Federal funding is 

expended in full accordance with U.S. statutory and public policy requirements); 

21 U.S.C. 812(c)(10) and 841 (prohibiting the possession, manufacture, sale, 

purchase, or distribution of marijuana). 

• Purchase, procure, or distribute pipes or cylindrical objects intended to be used 

to smoke or inhale illegal scheduled substances.

• Pay for promotional items including, but not limited to, clothing and 

commemorative items such as pens, mugs/cups, folders/folios, lanyards, and 

conference bags. (See 45 CFR 75.421(e)(3))

• Purchase, procure, or distribute pipes or cylindrical objects intended to be used 

to smoke or inhale illegal scheduled substances.

• Pay for the purchase or construction of any building or structure to house any 

part of the program. Minor alterations and renovations (A&R) may be authorized 

for up to 25% of a given budget period or $150,000 (whichever is less) for 

existing facilities, if necessary and appropriate to the project. Minor A&R may not 

include a structural change (e.g., to the foundation, roof, floor, or exterior or 

loadbearing walls of a facility, or extension of an existing facility) to achieve the 

following: Increase the floor area; and/or, change the function and purpose of the 

facility. All minor A&R must be approved by SAMHSA.

• Provide inpatient treatment or hospital-based detoxification services. Residential 

services are not considered to be inpatient or hospital-based services.
66

• Pay for housing other than recovery housing which includes application fees and 

security deposits.

• Make direct payments to individuals to enter treatment or continue to participate 

in prevention or treatment services (See 42 U.S.C. § 1320a-7b). 

Note: A recipient or treatment or prevention provider may provide up to $30 noncash incentive to individuals to participate in required data collection follow-up. 

This amount may be paid for participation in each required follow-up interview. 

For programs including contingency management as a component of the 

treatment program, each individual contingency must be $15 or less in value and

clients may not receive contingencies totaling more than $75 per budget period.

 

• Meals are generally unallowable unless they are an integral part of a conference 

award or specifically stated as an allowable expense in the NOFO (See 

https://www.hhs.gov/grants/contracts/contract-policies-regulations/spending-onfood/index.html)

• Purchase firearms.

• General Provisions under Departments of Labor, Health and Human Services, 

and Education, and Related Agencies Appropriations Act 117-328, Consolidated 

Appropriations Act, 2023, Division H, Title V, Section 526, notwithstanding any 

other provision of this Act, no funds appropriated in this Act shall be used to 

purchase sterile needles or syringes for the hypodermic injection of any illegal 

drug. Provided, that such limitation does not apply to the use of funds for 

elements of a program other than making such purchases if the relevant State or 

local health department, in consultation with the Centers for Disease Control and 

Prevention, determines that the State or local jurisdiction, as applicable, is 

experiencing, or is at risk for, a significant increase in hepatitis infections or an 

HIV outbreak due to injection drug use, and such program is operating in 

accordance with state and local law. 

• Salary Limitation: The Consolidated Appropriations Act, 2023 (Public Law 117-

328), Division H, Title II, Section 202, provides a salary rate limitation. The law 

limits the salary amount that may be awarded and charged to SAMHSA awards 

and cooperative agreements. Award funds may not be used to pay the salary of 

an individual at a rate in excess of Executive Level II, which is $212,100. This 

amount reflects an individual’s base salary exclusive of fringe and any income 

that an individual may be permitted to earn outside of the duties to your 

organization. This salary limitation does not apply to consultants but does apply 

to subrecipients under a SAMHSA award or cooperative agreement. Note that 

these or other salary limitations will apply in the following fiscal years, as required 

by law.
67

Appendix J – Intergovernmental Review (E.O. 12372)

Requirements

States with SPOCs

All SAMHSA programs are covered under Executive Order (EO) 12372, as

implemented through Department of Health and Human Services (DHHS) regulation at 

45 CFR Part 100. Under this Order, states may design their own processes for 

reviewing and commenting on proposed federal assistance under covered programs. 

Certain jurisdictions have elected to participate in the EO process and have established 

State Single Points of Contact (SPOCs). Information on the SPOC for participating 

states can be found at: https://www.whitehouse.gov/wpcontent/uploads/2020/04/SPOC-4-13-20.pdf

This requirement does not apply to American Indian/Alaska Native tribes or tribal 

organizations. If your state participates, contact your SPOC as early as possible to alert 

him/her to the prospective application(s) and to receive any necessary instructions on 

the state’s review process. For proposed projects serving more than one state, you are 

advised to contact the SPOC of each affiliated state. 

The SPOC should send any state review process recommendations to the following 

address within 60 days of the application deadline: 

Director, Division of Grants Management

Office of Financial Resources,

ATTN: SPOC – Funding Announcement No. SM-23-008

Substance Abuse and Mental Health Services Administration, 

5600 Fishers Lane, Room 17E20

Rockville, MD 20857

States without SPOCs

If your state does not have a SPOC and you are a community-based, non-governmental 

service provider, you must submit a Public Health System Impact Statement (PHSIS)10

to the head(s) of appropriate state and local health agencies in the area(s) to be 

affected no later than the application deadline. The PHSIS is intended to keep state 

and local health officials informed of proposed health services applications submitted by 

10 Approved by OMB under control no. 0920-0428; Public reporting burden for the Public Health System Reporting 

Requirement is estimated to average 10 minutes per response, including the time for copying the first page of SF-424 

and the abstract and preparing the letter for mailing. An agency may not conduct or sponsor, and a person is not 

required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB 

control number for this project is 0920-0428. Send comments regarding this burden to CDC Clearance Officer, 1600 

Clifton Road, MS D-24, Atlanta, GA 30333, ATTN: PRA (0920-0428).
68

community-based, non-governmental organizations within their jurisdictions. If you are 

a state or local government or American Indian/Alaska Native tribe or tribal organization, 

you are not subject to these requirements.

The PHSIS consists of the following information:

• A copy of the first page of the application (SF-424); and 

• A summary of the project, no longer than one page in length that provides: 1) 

a description of the population to be served; 2) a summary of the services to 

be provided; and 3) a description of the coordination planned with appropriate 

state or local health agencies. 

For SAMHSA awards, the appropriate state agencies are the Single State Agencies 

(SSAs) for substance abuse and mental health. A listing of the SSAs for substance 

abuse and the SSAs for mental health can be found on SAMHSA’s website at 

http://www.samhsa.gov/grants/applying/forms-resources. If the proposed project falls 

within the jurisdiction of more than one state, you should notify all representative SSAs. 

Review Section IV of the NOFO carefully to determine if you must include an 

attachment with a copy of a letter transmitting the PHSIS to the SSA. The letter must 

notify the state that, if it wishes to comment on the proposal, its comments should be 

sent no later than 60 days after the application deadline to the following address: 

Director of Grants Management

Office of Financial Resources, 

ATTN: SSA – Funding Announcement No. SM-23-008.

Substance Abuse and Mental Health Services Administration

5600 Fishers Lane, Room 17E20

Rockville, MD 20857

In addition, applicants may request that the SSA send them a copy of any state 

comments. The applicant must notify the SSA within 30 days of receipt of an award.
69

Appendix K – Administrative and National Policy

If your application is funded, you must comply with all terms and conditions of the NoA. 

SAMHSA’s standard terms and conditions are available on the SAMHSA website. 

HHS Grants Policy Statement (GPS) 

If your application is funded, you are subject to the requirements of the HHS Grants 

Policy Statement (GPS) that are applicable based on recipient type and purpose of 

award. This includes any requirements in Parts I and II of the HHS GPS that apply to 

the award. The HHS GPS is available at http://www.samhsa.gov/grants/grantsmanagement/policies-regulations/hhs-grants-policy-statement. The general terms and 

conditions in the HHS GPS will apply as indicated unless there are statutory, regulatory, 

or award-specific requirements to the contrary (as specified in the NoA). 

 HHS Award Regulations

If your application is funded, you agree that the award and any activities thereunder are 

subject to all provisions of 45 CFR part 75, currently in effect or implemented during the 

period of the award, other Department regulations and policies in effect at the time of 

the award, and applicable statutory provisions. For more information see the SAMHSA 

website at http://www.samhsa.gov/grants/grants-management/policiesregulations/requirements-principles.

 Additional Terms and Conditions

Depending on the nature of the specific funding opportunity and/or your proposed 

project as identified during review, SAMHSA may negotiate additional terms and 

conditions with you prior to award. These may include, for example:

o actions required to be in compliance with confidentiality and participant 

protection/human subjects requirements.

o requirements relating to additional data collection and reporting.

o requirements relating to participation in a cross-site evaluation. 

o requirements to address problems identified in review of the application or the

budget and narrative justification.

 Performance Goals and Objectives

If your application is funded, you will be held accountable for the information provided in 

the application relating to performance targets. SAMHSA program officials will consider 

your progress in meeting goals and objectives, as well as your failures and strategies 

for overcoming them, when making an annual recommendation to continue the award

and the amount of any continuation award. In addition, you must relate financial data 

and accomplishments to the performance goals and objectives of the award. Failure to 
70

meet stated goals and objectives may result in suspension or termination (see 2 CFR 

200.202, 2 CFR 200.301 and 2 CFR 200.329) of the award, or in reduction or 

withholding of continuation awards.

Termination of Federal Award

Note that the OMB revisions to Guidance for Grants and Agreements termination 

provisions located at 2 CFR § 200.340 - Termination apply to all federal awards 

effective August 13, 2020.

 Accessibility Provisions for All Award Application Packages and Funding 

Opportunity Announcements

Should you successfully compete for an award, recipients of federal financial assistance 

(FFA) from HHS will be required to complete an HHS Assurance of Compliance form 

(HHS 690) in which you agree, as a condition of receiving the grant, to administer your 

programs in compliance with federal civil rights laws that prohibit discrimination on the 

basis of race, color, national origin, age, sex, and disability, and agreeing to comply with 

federal conscience laws, where applicable. This includes ensuring that entities take 

meaningful steps to provide meaningful access to persons with limited English 

proficiency; and ensuring effective communication with persons with disabilities. Where 

applicable, Title XI and Section 1557 prohibit discrimination on the basis of sexual 

orientation, and gender identity, the HHS Office for Civil Rights provides guidance on

complying with civil rights laws enforced by HHS. See https://www.hhs.gov/civilrights/for-providers/provider-obligations/index.html and https://www.hhs.gov/civilrights/for-individuals/nondiscrimination/index.html. 

You will administer your project in compliance with federal civil rights laws that prohibit

discrimination on the basis of race, color, national origin, disability, age, and comply with

applicable conscience protections. You will comply with applicable laws that prohibit

discrimination on the basis of sex, which includes discrimination on the basis of gender 

identity, sexual orientation, and pregnancy. Compliance with these laws require taking 

reasonable steps to provide meaningful access to persons with limited English 

proficiency and providing programs that are accessible to and usable by persons with 

disabilities. The HHS Office for Civil Rights provides guidance on complying with civil 

rights laws enforced by HHS. See https://www.hhs.gov/civil-rights/forproviders/provider-obligations/index.html and https://www.hhs.gov/civil-rights/forindividuals/nondiscrimination/index.html.

• For guidance on meeting your legal obligation to take reasonable steps to 

ensure meaningful access to your programs or activities by limited English 

proficient individuals, see https://www.hhs.gov/civil-rights/forindividuals/special-topics/limited-english-proficiency/fact-sheetguidance/index.html and https://www.lep.gov.
71

• For information on your specific legal obligations for serving qualified 

individuals with disabilities, including providing program access, reasonable 

modifications, and to provide effective communication, see 

https://www.hhs.gov/ocr/civilrights/understanding/disability/index.html

• HHS funded health and education programs must be administered in an 

environment free of sexual harassment, see https://www.hhs.gov/civilrights/for-individuals/sex-discrimination/index.html. 

• For guidance on administering your project in compliance with applicable 

federal religious nondiscrimination laws and applicable federal conscience 

protection and associated antidiscrimination laws, see 

https://www.hhs.gov/conscience/conscience-protections/index.html and 

https://www.hhs.gov/conscience/religious-freedom/index.html.

Acknowledgement of Federal Funding

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

funding when issuing statements, press releases, publications, requests for proposal, 

bid solicitations, and other documents, such as tool-kits, resource guides, websites, and 

presentations describing the projects or programs funded in whole or in part with HHS 

federal funds. The recipient must clearly state: 1) the percentage and dollar amount of 

the total costs of the program or project funded with federal money; and 2) the 

percentage and dollar amount of the total costs of the project or program funded by 

non-governmental sources.

 Supplement Not Supplant

Funds may be used to supplement existing activities. Award funds may not be used to 

supplant current funding of existing activities. “Supplant” is defined as replacing funding 

of a recipient’s existing program with funds from a federal award (2 CFR Part 200, 

Appendix XI).

 Mandatory Disclosures

A term may be added to the NoA which states: Consistent with 45 CFR 75.113,

applicants and recipients must disclose in a timely manner, in writing to the HHS

awarding agency, 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), 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 SAMHSA at the following address:

SAMHSA
72

Attention: Office of Financial Advisory Services

5600 Fishers Lane

Rockville, MD 20857

You may also submit a complaint via the OIG Hotline online form (see 

https://oig.hhs.gov/fraud/report-fraud/), by phone (1-800-447-8477),or by mail to the 

following address:

U.S. Dept. of Health and Human Services 

Office of the Inspector General

ATTN: OIG Hotline Operations

P.O. Box 23489

Washington, DC 20026

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).”

 System for Award Management (SAM) Reporting 

A term may be added to the NoA that states: “In accordance with the regulatory 

requirements provided at 45 CFR 75.113, 2 CFR 25, and Appendix XII to 45 CFR Part 

75, recipients that have currently active federal awards and procurement contracts with 

cumulative total value greater than $10,000,000, must report and maintain information 

in the System for Award Management (SAM) about civil, criminal, and administrative 

proceedings in connection with the award or performance of a federal award that 

reached final disposition within the most recent five-year period. The recipient also must 

make semiannual disclosures regarding such proceedings. Proceedings information 

will be made publicly available in the designated integrity and performance system 

(currently the Federal Awardee Performance and Integrity Information System 

(FAPIIS)). Full reporting requirements and procedures are found in Appendix XII to 45 

CFR Part 75.” 

 Drug-Free Workplace

A term may be added to the NoA that states: “You as the recipient must comply with 

drug-free workplace requirements in Subpart B of part 382, which adopts the 

Government-wide implementation (2 CFR part 182) of section 5152-5158 of the DrugFree Workplace Act of 1988 (Pub. L. 100-690, Title V, Subtitle D; 41 U.S.C. 701-707).”

 Smoke-Free Workplace

The Public Health Service strongly encourages all award recipients to provide a smokefree workplace and to promote the non-use of all tobacco products. Further, 20 USC 

6081 et seq., the Pro-Children Act of 1994, prohibits smoking in certain facilities (or in 
73

some cases, any portion of a facility) in which regular or routine education, library, day 

care, health care or early childhood development services are provided to children.

Standards for Financial Management

Recipients and subrecipients are required to meet the standards and requirements for 

financial management systems set forth in 45 CFR part 75 Subpart D. The financial 

systems must enable the recipient and subrecipient to maintain records that adequately 

identify the sources of funds for federally assisted activities and the purposes for which 

the award was used, including authorizations, obligations, unobligated balances, assets, 

liabilities, outlays or expenditures, and any program income. The system must also 

enable the recipient and subrecipient to compare actual expenditures or outlays with the 

approved budget for the award. SAMHSA funds must retain their award/subawardspecific identity and may not be commingled with non-federal funds or other federal 

funds. “Commingling funds” typically means depositing or recording funds in a general 

account without the ability to identify each specific source of funds with related 

expenditures. Common mistakes related to comingling are outlined below:

• Commingling of Cost Centers: Every business activity constitutes a cost 

center. Examples of cost centers include: a federal award, a state award, a 

private award, matching costs for a specific award, a self-funded project, 

fundraising activities, membership activities, lines of business, unallowable costs, 

indirect costs, etc. Recipients and subrecipients must establish a unique 

account(s) in the accounting system to capture and accumulate expenditures of 

each cost center, apart from other cost centers. 

• Commingling of Cost Categories: Recipients and subrecipients must avoid 

budget fluctuations that violate programmatic restrictions. They must also avoid 

applying indirect cost rates to prohibited cost categories, such as equipment, 

participant support costs and subcontracts/subawards in excess of $25,000. As 

a result, recipients must establish unique object codes in the accounting system 

to capture and 59 accumulate costs by budget category (i.e., salaries, fringe 

benefits, consultants, travel, participant support costs, subcontracts, etc.). 

• Commingling of Time Worked and Not Worked: Recipients and subrecipients 

may not directly charge an award for employees’ time not spent working on the 

award. Therefore, Paid Time Off (PTO), such as vacation, holiday, sick and 

other paid leave, is not recoverable directly from awards, but rather must be 

allocated to all awards, projects, and cost centers over an entire cost accounting 

period through either an indirect cost or fringe benefit rate. 

• Unsupported Labor Costs: To support charges for direct and indirect salaries 

and wages, recipients and subrecipients maintaining hourly timesheets must 

ensure that timesheets encompass all hours worked and not worked on a daily 

basis. The timesheet should identify the: (a) award, project or cost center being 

worked on; (b) number of hours worked on each; (c) description of work 

performed; and (d) Paid Time Off (PTO) hours. The total hours recorded each 
74

day should coincide with an individual’s employment status in accordance with 

established policy (i.e., fulltime employees work 8 hours each day, etc.). 

• Inconsistent Treatment of Costs: Recipients and subrecipients must treat costs 

consistently across all federal and non-federal awards, projects, and cost 

centers. For example, recipients and subrecipients may not direct-charge federal 

awards for costs typically considered indirect in nature, unless done consistently. 

Examples of indirect costs include administrative salaries, office rent, accounting 

fees, utilities, etc. Additionally, in most cases, the cost to develop an accounting 

system adequate to justify direct charging of the aforementioned items outweighs 

the benefits. As a result, use of an indirect cost rate is the most effective 

mechanism to recover these costs and not violate federal financial requirements 

of consistency, allocability and allowability. If typical indirect cost categories are 

included in the budget as direct costs, it is SAMHSA’s understanding that the 

recipient or subrecipient has developed a cost accounting system that can 

withstand audit scrutiny and therefore the system must be adequate to justify the 

direct charges and to avoid an unfair allocation of these costs to the federal 

government. All costs are subject to subsequent agency review and/or audit 

scrutiny in accordance with awards’ terms and conditions. 

 Trafficking in Persons

Awards issued by SAMHSA are subject to the requirements of 2 CFR part 175 and 22 

USC 7104(g). For the full text of the award term, go to 

http://www.samhsa.gov/grants/grants-management/notice-award-noa/standard-termsconditions. 

NOTE: The signature of the AOR on the application serves as the required certification 

of compliance for your organization regarding the administrative and national policy 

requirements.

Publications

Recipients are required to notify the Government Project Officer (GPO) of any materials 

based on the SAMHSA-funded project that are accepted for publication. In addition, 

SAMHSA requests that recipients:

• Provide the GPO with advance copies of publications.

• Include acknowledgment of the SAMHSA program as the source of funding 

for the project.

• Include a disclaimer stating that the views and opinions contained in the 

publication do not necessarily reflect those of SAMHSA or the U.S. 

Department of Health and Human Services and should not be construed as 

such. 
75

SAMHSA reserves the right to issue a press release about any publication deemed by 

SAMHSA to contain information of program or policy significance to the substance use 

treatment/substance use prevention/mental health services community.

Prohibition on Certain Telecommunications and Video Surveillance Services or 

Equipment 

As described in 2 CFR 200.216, recipients and subrecipients are prohibited to obligate 

or spend award funds (to include direct and indirect expenditures as well as cost share 

and program) to:

(1) Procure or obtain,

(2) Extend or renew a contract to procure or obtain; or 

(3) Enter into contract (or extend or renew contract) to procure or obtain equipment, 

 services, or systems that use covered telecommunications equipment or services 

 as a substantial or essential component of any system, or as critical technology as 

 part of any system. As described in Pub. L. 115-232, section 889, covered 

 telecommunications equipment is telecommunications equipment produced by 

 Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate

 of such entities). 

i. For the purpose of public safety, security of government facilities, physical 

security surveillance of critical infrastructure, and other national security 

purposes, video surveillance and telecommunications equipment produced by 

Hytera Communications Corporation, Hangzhou Hikvision Digital Technology 

Company, or Dahua Technology Company (or any subsidiary or affiliate of 

such entities). 

ii. Telecommunications or video surveillance services provided by such entities 

or using such equipment.

iii. Telecommunications or video surveillance equipment or services 

produced or provided by an entity that the Secretary of Defense, in 

consultation with the Director of the National Intelligence or the Director of 

the Federal Bureau of Investigation, reasonably believes to be an entity 

owned or controlled by, or otherwise, connected to the government of a 

covered foreign country. 
76

Appendix L – Sample Budget and Justification

All applications must have a detailed budget justification and narrative that explains the 

federal and the non-federal expenditures broken out by the object class cost categories 

listed on SF-424A − Section B (Budget Category) for non-construction awards. 

• The detailed budget must match the costs identified on the SF-424A and the total 

costs on the SF-424. 

• The Budget Narrative and justification must be consistent with and support the 

Project Narrative. 

• The Budget Narrative and justification must be concrete and specific. It must 

provide a justification for the basis of each proposed cost in the budget and how 

that cost was calculated. Examples to consider when justifying the basis of your 

estimates can be ongoing activities, market rates, quotations received from 

vendors, or historical records. The proposed costs must be reasonable, 

allowable, allocable, and necessary for the supported activity. 

• NOFOs invite applications for periods of performance of one to up to five years. 

Generally, awards, on a competitive basis, will be for a one-year budget period 

but the period of performance may be up to five years. Submission and 

SAMHSA approval of the progress report(s) and any other required submission 

or reports is the basis for the budget period renewal and release of subsequent 

year funds. Funding beyond the one-year budget period but within the multi-year 

period of performance is subject to availability of funds and satisfactory progress 

of the recipient. Progress will be evaluated by submission of data on required 

performance measures, satisfactory achievement of identified goals and 

objectives, providing services to the projected number of individuals specified in 

the application, and satisfactory resolution of barriers and challenges that arise in 

the implementation of the project.

• Refer to the program specific Funding Restrictions/Limitations and the Standard 

Funding Restrictions in the NOFO, as well as to 45 CFR Part 75 

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

administrative requirements and cost principles. 

SAMHSA Budget Template

To expedite review of your application, it is highly recommended you use the following 

PDF budget template to complete the Detailed Budget and Narrative Justification for 

submission with your application:

• The budget template can be found on the SAMHSA Forms and Resources

webpage – scroll down to “SAMHSA Budget Template” section. You must
77

download the budget template PDF to your computer first before opening it 

directly in Adobe Acrobat or Acrobat Reader (not your internet browser):

1. Right-click the link "SAMHSA Budget Template (PDF)"

2. Select "save link as" and save to a location on your computer

3. Go to the saved location and open the "SAMHSA Budget Template (PDF)" 

using Adobe Acrobat or Acrobat Reader.

Guidance

The following documents provide guidance on using the budget template:

• Key Features of the Budget Template

• Budget Template Users Guide

• Budget Review Checklist – use this checklist to review your detailed budget and 

narrative justification before submission to SAMHSA.

Note: For SAMHSA to view all of your budget data, you must convert the PDF to a noneditable format by PRINTING TO PDF before submission.

Sample Budgets

The following PDFs are samples of detailed budgets and narrative justification:

• Sample SF-424 - New Awards (PDF | 1.3 KB)

• Sample Budget – NON-MATCH (PDF | 697 KB)

• Sample Budget – MATCH (PDF |729 KB)

Completing the SF-424A (see Section IV)

Budget Cost Categories

Personnel Costs: Explain personnel costs by listing each staff member working directly 

on the award by name (if possible), position title, percentage level of effort or proposed 

hours and annual salary. Award funds may not be used to pay the salary of an 

individual at a rate in excess of Executive Level II or $212,100. An individual's base 

salary, per se, is NOT constrained by the statutory provision for a limitation of salary. 

The rate limitation simply limits the amount that may be awarded and charged to 

SAMHSA awards and cooperative agreements. The salary limitation does not apply to 

consultants but does apply to all subawards and subcontracts.
78

Note: If an organization is selected for an award and chooses to move forward with 

hiring an individual for a Key Personnel position before receiving SAMHSA’s formal 

approval, this will be done at the organization’s own risk. If SAMHSA’s review of the 

Key Personnel request results in the proposed individual not being approved or deemed 

not qualified for the position, the expectation is that the organization must submit a 

qualified candidate to be placed in the Key Personnel position. SAMHSA will not be 

liable for any costs incurred or pay for salaries of a Key Personnel that is not approved 

or deemed not qualified for the program.

Fringe Benefits: Fringe benefits typically include items, such as health insurance, taxes, 

unemployment insurance, life insurance, retirement plans, tuition reimbursement and 

paid absences. Fringe benefits are recoverable in accordance with an organization’s 

federally approved indirect cost rate agreement, if applicable, or the organization’s 

accounting practices, provided those practices are consistent with federal cost 

principles and result in a fair and equitable allocation of fringe benefits.

Travel: List travel costs according to local and long-distance travel. For local travel, 

outline the mileage rate, number of miles, reason for travel and staff 

member/consumers completing the travel. The budget should also reflect the travel 

expenses (e.g., airfare, lodging, parking, per diem, etc.) for each person and trip 

associated with participating in meetings and other proposed trainings or workshops.

Name the traveler(s) if possible, describe the purpose of the travel, provide number of 

trips involved, the destinations, and the number of individuals for whom funds are 

requested.

Equipment: List equipment costs and provide justification for the need of the equipment 

to carry out the program’s goals. Extensive justification and a detailed status of current 

equipment must be provided when requesting funds for the purchase of items that meet 

the definition of equipment (a unit cost of $5,000 or more and a useful life of one or 

more years). For example, large items of medical equipment.

Supplies: Include the programmatic items necessary to implement the proposed project 

(e.g., examination gloves, etc.). Conversely, general office supplies (e.g., paper, 

pencils, etc.) should be recovered through a federally-approved indirect cost rate or de 

minimis rate.

Per 45 CFR § 75.321, property will be classified as supplies if the acquisition cost is 

under $5,000. Note that items such as laptops, tablets, and desktop computers are 

classified as a supply if the value is under the $5,000 equipment threshold.

Vendor Contracts/Subawards & Subcontracts/Consortiums/Consultants: Provide a clear 

explanation as to the purpose, the basis for how costs were estimated, and the specific 

deliverables. You are responsible for ensuring that your organization has adequate

procurement and merit review systems with fully developed written procedures for 

awarding and monitoring vendor contracts and subawards/subcontracts, respectively.
79

Recipients must notify potential subrecipients to register in SAM and provide the 

recipient with their UEI number (see 2 CFR part 25). For consultant services, list the 

total costs for all consultant services. In the budget narrative, identify each consultant, 

the services he/she will perform, total number of days, travel costs, and total estimated 

costs.

Note: To assist with classifying costs and relationships, note that vendor contracts are 

for the purpose of obtaining goods and services (i.e., examination gloves provided by a 

medical supply company). Conversely, subawards/subcontracts are for the purpose of 

carrying out a portion of a federal award (i.e., a health care clinic providing substance 

use treatment services directly to patients). Your organization must ensure proper 

classification of costs and relationships. For subrecipient relationships, your 

organization must ensure written subaward/subcontract agreements are in place. 

These written agreements must require that subrecipients comply with the same terms 

and conditions as the prime recipient, as applicable (i.e., financial management 

requirements, audit requirements, etc.) In other words, the requirements imposed on 

the prime recipient must “flow down” to subrecipients. Written agreements should also 

describe the scope of work, deliverables, etc.

Other: Include all costs that do not fit into any other category and provide an explanation 

of each cost in this category (e.g., provider licenses, dedicated space rental, etc.).

Indirect Costs: Indirect costs are those costs incurred for common or joint objectives 

which cannot be readily and specifically identified with a particular project or program 

but are necessary to the operations of the organization, e.g., the cost of operating and 

maintaining facilities, depreciation, and administrative salaries. For some institutions, 

the term “facilities and administration” (F&A) is used to denote indirect costs. 

Applicants may request full indirect costs, subject to statutory and regulatory limitations.

Applicants may request full indirect costs, subject to statutory and regulatory limitations, 

and submission of an approved Negotiated Indirect Cost Rate Agreement (NICRA) 

established by the cognizant Federal agency (typically the agency that provides the 

most funds). If indirect costs are claimed, a copy of the NICRA must be submitted with 

the application. If unable to obtain a NICRA from the cognizant agency at the time of 

application, the applicant may elect to recover indirect costs using a de minimis rate as 

explained below. Otherwise, the applicant may only be reimbursed for allowable direct 

costs. Violation of cost accounting principles is not permitted when re-budgeting or 

charging costs to awards. Rather, costs must be consistently charged as either indirect 

or direct costs.

Applicants may elect a 10% de minimis indirect cost rate, subject to statutory and 

regulatory limitations. 
80

Applicants who cannot obtain a NICRA from their cognizant Federal agency at the time 

of application may elect a 10% de minimis rate, subject to statutory and regulatory

limitations.

The 10% de minimis rate may be used indefinitely and should be applied to Modified 

Total Direct Costs (MTDC). MTDC means all direct salaries and wages, applicable 

fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of 

each subaward (regardless of the period of performance of the subawards under the 

award.) MTDC excludes equipment, capital expenditures, charges for patient care, 

rental costs, tuition remission, scholarships and fellowships, participant support costs 

and the portion of each subaward in excess of $25,000. Violation of cost accounting 

principles is not permitted when charging costs to awards. Rather, costs must be 

consistently charged as either direct or indirect costs. Additionally, once elected, the 

10% de minimis rate must be applied to all existing awards. If the cognizant agency 

issues a NICRA subsequent to the award, the negotiated rate may not be retroactively 

applied.

Waived Indirect Costs – An applicant may elect not to request recovery of indirect costs. 

If so, the applicant should write None Requested in the same space allotted for Item J of 

the budget sheet.