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Fiscal Year 2021 – Award Standard Terms

Name Language

1 Acceptance

of the Terms

of an Award

By drawing or otherwise obtaining funds from the Health and Human Services (HHS) Payment

Management System, the recipient acknowledges acceptance of the terms and conditions of the

award and is obligated to perform in accordance with the requirements of the award. If the

recipient cannot accept the terms, the recipient should notify the Grants Management Officer

(GMO) within thirty (30) days of receipt of this award notice. Once an award is accepted by a

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

modified by a revised NoA signed by the GMO.

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

management controls and accounting systems, to include personnel policies and procedures,

have been established to adequately administer Federal awards and funds drawn down.

Recipients of Department of Health and Human Services’ (DHHS) grants or cooperative

agreement awards must comply with all terms and condition of their awards, including: (a) terms

and conditions included in the HHS Grants Policy Statement in effect at the time of a new, noncompeting continuation, or renewal award 

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

requirements of HHS grants administration regulations; (b) requirements of the authorizing

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

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

to the particular award specified in program policy and guidance, the Funding Opportunity

Announcement, or the NoA.

2 Uniform 

Administrative 

Requirements, 

Cost Principles, 

and Audit 

Requirements 

for HHS 

Awards

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

requirements that govern Federal monies associated with this award, as applicable, in the Uniform

Guidance 2 Code of Federal Regulations (CFR) Part 200 as codified by HHS at 45 CFR Part 75

(Electronic Code of Federal Regulations (eCFR).

3 Award 

Expectations

The eligibility and program requirements originally outlined in the Funding Opportunity 

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

Recipients must comply with the performance goals, milestones, outcomes, and performance 

data collection as reflected in the FOA and related policy and guidance. Additional terms and/or

conditions may be applied to this award if outstanding financial or programmatic compliance 

issues are identified by Substance Abuse and Mental Health Services Administration 

(SAMHSA).

4 Flow down of 

requirements 

to subrecipients 

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

this award including funds provided to sub-recipients, in accordance with 45 CFR §§ 75.351 –

75.352, Sub-recipient monitoring and management.

5 Future Funding As indicated in the NoA, recommended future support reflects total costs (direct plus indirect).

Funding is subject to the availability of Federal funds and satisfactory progress of the project.

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

who receive awards under programs that prohibit supplanting by law must ensure that federal 

funds do not supplant funds that have been budgeted for the same purpose through non-federal 

sources. Applicants or award recipients may be required to demonstrate and document that a 

reduction in non-federal resources occurred for reasons other than the receipt of expected 

receipt of federal funds.
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7 Unallowable 

Costs

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

opportunity, 45 CFR Part 75, and the HHS Grants Policy Statement, are not allowable under this 

award.

8 Conflicts of

Interest

Policy

Recipients must establish written policies and procedures to prevent employees, consultants,

and others (including family, business, or other ties) involved in grant-supported activities,

from involvement in actual or perceived conflicts of interest. The policies and procedures

must:

• address conditions under which outside activities, relationships, or financial interest 

are proper or improper;

• provide for advance disclosure of outside activities, relationships, or financial interest

to a responsible organizational official;

• include a process for notification and review by the responsible official of potential

or actual violations of the standards; and

• specify the nature of penalties that may be imposed for violations.

9 Administrative 

and National 

Policy 

Requirements

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

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

prerequisite to and/or condition of an award. Public policy requirements are established by 

statute, regulation, or Executive order. In some cases they relate to general activities, such as 

preservation of the environment, while, in other cases they are integral to the purposes of the 

award-supported activities. An application funded with the release of federal funds through a 

grant award does not constitute or imply compliance with federal statute and regulations. 

Funded organizations are responsible for ensuring that their activities comply with all applicable 

federal regulations.

10 Carryover -

Expanded

Authority for

Unobligated

Balances

from One

Budget

Period to Any

Subsequent

Budget

Period

Federal administrative requirements allow agencies to provide recipients with expanded

authorities, which waive certain cost-related and administrative prior approvals under certain

conditions.

Per 45 CFR Part 75.308 (d)(3) SAMHSA has extended expanded authority to recipients

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

period (year when the funds are needed) provided that recipients are not on drawdown 

restriction.

Recipients requesting a carryover greater than 25% of the current budget period award cannot 

exercise this expanded authority.

Recipients who exercise expanded authority MUST include an Intent to Carryover statement in

the Remarks section (box 12) of the annual Federal Financial Report (FFR).

Expanded authority may be overridden by other special terms or conditions of the award.

Recipients must carefully review the Notice of Award to determine if a particular authority is

withheld for a specific award.

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

charged to awards are allowable, allocable, reasonable, necessary, and consistently applied 

regardless of the source of funds.

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

Restriction

SAMHSA grant funds may not be used to purchase, prescribe, or provide marijuana or 

treatment using marijuana. See, e.g., 45 C.F.R. 75.300(a) (requiring HHS to ensure that Federal 

funding is expended in full accordance with U.S. statutory and public policy requirements); 21 

U.S.C. 812(c)(10) and 841 (prohibiting the possession, manufacture, sale, purchase or 

distribution of marijuana). 

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

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

programmatic objectives. In general, recipients are allowed a certain degree of latitude to rebudget within and between budget categories to meet unanticipated needs and to make other 

types of post-award changes, provided that the changes still meet the statutory program 

requirements and the regulatory requirements under 45 CFR, as applicable.

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

either 45 CFR Part 75 or the HHS Grants Policy Statement, must be submitted in writing to the 

GMO. Based on the nature, extent, and timing of the request, the SAMHSA GMO may approve, 

deny, or request additional material to further document and evaluate your request.

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

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

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

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

Expanded Authority for Carryover), and No Cost Extensions. A summary of activities that 

require prior approval is listed in the HHS Grants Policy Statement under Exhibit 5, Page II-49 

See link: https://www.hhs.gov/sites/default/files/grants/grants/policiesregulations/hhsgps107.pdf. 

SAMHSA instructions regarding requests for prior approval are available at: 

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

13 Executive Pay The Consolidated Appropriations Act, 2021 (Public Law 116-260), signed into law on 

December 27, 2020 restricts the amount of direct salary to Executive Level II of the Federal

Executive Pay scale. Effective January 3, 2021, the salary limitation for Executive Level II 

is $199,300.

For awards issued prior to this change, if adequate funds are available in active awards, and if the

salary cap increase is consistent with the institutional base salary, recipients may re-budget to

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

provided to these grant awards.

14 Promotional

Items

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

but are not limited to: clothing and commemorative items such as pens, mugs/cups, 

folders/folios, lanyards, and conference bags. 

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

https://www.hhs.gov/grants/contracts/contract-policies-regulations/spending-onpromotional-items/index.html
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15 SAM and DUNS 

Requirements

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

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

Award Management (SAM) and Universal Identifier Requirements

A. Requirement for System of Award Management

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

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

the final financial report required under this award or receive the final payment, 

whichever is later. This requires that you review and update the information at least 

annually after the initial registration, and more frequently if required by changes in your 

information or another award term.

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

description) to make subawards under this award, you:

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

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

its unique entity identifier to you; and

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

entity identifier to you.

C. Definitions. For purposes of this award term:

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

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

Additional information about registration procedures may be found at the SAM 

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

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

uniquely identify business entities.

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

CFR part 25, subpart C:

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

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

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

subrecipient under an award or subaward to a non-Federal entity.

4. Subaward:

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

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

award and that you as the recipient award to an eligible subrecipient; b. The term 

does not include your procurement of property and services needed to carry out 

the project or program (for further explanation, see 2 CFR 200.330). c. A subaward 

may be provided through any legal agreement, including an agreement that you 

consider a contract. 

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

award; and b. is accountable to you for the use of the Federal funds provided by 

the subaward.
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Name Language

16 Federal

Financial 

Accountability 

and 

Transparency 

Act (FFATA)

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

a. Reporting of first-tier subawards. 

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

term, you must report each action that obligates $25,000 or more in Federal funds 

that does not include Recovery funds (as defined in section 1512(a)(2) of the 

American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward 

to an entity (see definitions in paragraph e. of this award term).

2. Where and when to report.

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

award term to http://www.fsrs.gov.

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

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

made on November 7, 2010, the obligation must be reported by no later than 

December 31, 2010.)

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

the submission instructions posted at http://www.fsrs.gov specify.

b. Reporting Total Compensation of Recipient Executives.

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

your five most highly compensated executives for the preceding completed fiscal 

year, if—

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

more;

ii. in the preceding fiscal year, you received—

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

procurement contracts (and subcontracts) and Federal financial assistance 

subject to the Transparency Act, as defined at 2 CFR 170. 320 (and 

subawards); and

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

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

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

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

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

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

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

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

total compensation filings at https://www.sec.gov/fast-answers/answersexecomphtm.html

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

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

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

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

annually thereafter.

c. Reporting of Total Compensation of Subrecipient Executives.
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1. Applicability and what to report. Unless you are exempt as provided in paragraph

c. of this award term, for each first-tier subrecipient under this award, you shall 

report the names and total compensation of each of the subrecipient's five most 

highly compensated executives for the subrecipient's preceding completed fiscal 

year, if—

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

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

procurement contracts (and subcontracts) and Federal financial assistance 

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

and

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

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

Transparency Act (and subawards); and

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

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

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

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

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

Commission total compensation filings at 

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

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

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

i. To the recipient.

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

subaward. For example, if a subaward is obligated on any date during the 

month of October of a given year (i.e., between October 1 and 31), you must 

report any required compensation information of the subrecipient by November 

30 of that year.

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

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

i. Subawards, and

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

subrecipient.

e. Definitions. For purposes of this award term: 

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

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

tribe;

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization; 

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

non-Federal entity.

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

management positions.

3. Subaward:

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

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

award and that you as the recipient award to an eligible subrecipient.

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

to carry out the project or program (for further explanation, see Sec. __. 210 of 
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the attachment to OMB Circular A-133, “Audits of States, Local Governments, 

and Non-Profit Organizations”).

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

agreement that you or a subrecipient considers a contract. 

4. Subrecipient means an entity that: 

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

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

subaward.

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

executive during the recipient's or subrecipient's preceding fiscal year and 

includes the following (for more information see 17 CFR 229.402(c)(2)):

i. Salary and bonus.

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

amount recognized for financial statement reporting purposes with respect to 

the fiscal year in accordance with the Statement of Financial Accounting 

Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.

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

group life, health, hospitalization or medical reimbursement plans that do not 

discriminate in favor of executives, and are available generally to all salaried 

employees.

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

and actuarial pension plans.

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

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

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

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

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

17 FAPIIS -

Recipient 

Integrity and 

Performance

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

A. Reporting of Matters Related to Recipient Integrity and Performance

1. General Reporting Requirement

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

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

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

that period of time must maintain the currency of information reported to the System for 

Award Management (SAM) that is made available in the designated integrity and 

performance system (currently the Federal Awardee Performance and Integrity Information 

System (FAPIIS)) about civil, criminal, or administrative proceedings described in 

paragraph 2 of this award term and condition. This is a statutory requirement under section 

872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010 of 

Public Law 111-212, all information posted in the designated integrity and performance 

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

procurement contracts, will be publicly available.

2. Proceedings About Which You Must Report

Submit the information required about each proceeding that:

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

procurement contract from the Federal Government;
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b. Reached its final disposition during the most recent five-year period; and

c. If one of the following:

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

this award term and condition;

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

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

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

condition, that resulted in a finding of fault and liability and your payment of either a 

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

in excess of $100,000; or

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

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

award term and condition; 

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

acknowledgement of fault on your part; and 

iii. The requirement in this award term and condition to disclose information about 

the proceeding does not conflict with applicable laws and regulations.

3. Reporting Procedures

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

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

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

already provided the information through SAM because you were required to do so under 

Federal procurement contracts that you were awarded.

4. Reporting Frequency

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

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

most recent five-year period, either to report new information about any proceeding(s) that 

you have not reported previously or affirm that there is no new information to report. 

Recipients that have Federal contract, grant, and cooperative agreement awards with a 

cumulative total value greater than $10,000,000 must disclose semiannually any 

information about the criminal, civil, and administrative proceedings.

5. Definitions

For purposes of this award term and condition: 

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

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

Commission Administrative proceedings, Civilian Board of Contract Appeals 

proceedings, and Armed Services Board of Contract Appeals proceedings). This 

includes proceedings at the Federal and State level but only in connection with 

performance of a Federal contract or grant. It does not include audits, site visits, 

corrective plans, or inspection of deliverables.

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

conviction of a criminal offense by any court of competent jurisdiction, whether entered 

upon a verdict or a plea, and includes a conviction entered upon a plea of nolo 

contendere.

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

contracts includes—

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

share or match; and 

(2) The value of all expected funding increments under a Federal award and options, 
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even if not yet exercised 

[81 FR 3019, Jan. 20, 2016]

18 Acknowledgement of Federal 

Funding in 

communication

s and 

contracting. 

For each publication that results from HHS grant-supported activities, recipients must include an 

acknowledgment of grant support using one of the following statements: 

“This publication was made possible by Grant Number ________ from _________.” 

“The project described was supported by Grant Number ________ from ________.”

Recipients also must include a disclaimer stating the following: 

“Its contents are solely the responsibility of the authors and do not necessarily 

represent the official views of the [SAMHSA].” 

If the recipient plans to issue a press release concerning the outcome of HHS grant-supported 

activities, it should notify SAMHSA in advance to allow for coordination. One copy of each 

publication resulting from work performed under an HHS grant-supported project must 

accompany the annual or final progress report submitted to SAMHSA.

19 Acknowledgement of Federal 

Funding at 

Conferences 

and Meetings

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

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

is necessary and reasonable for successful performance under the Federal award. Allowable 

conference costs paid by the non-Federal entity as a sponsor or host of the conference may 

include rental of facilities, speakers' fees, costs of meals and refreshments, local transportation, 

and other items incidental to such conferences unless further restricted by the terms and 

conditions of the Federal award. As needed, the costs of identifying, but not providing, locally 

available dependent-care resources are allowable. Conference hosts/sponsors must exercise 

discretion and judgment in ensuring that conference costs are appropriate, necessary and 

managed in a manner that minimizes costs to the Federal award. The HHS awarding agency 

may authorize exceptions where appropriate for programs including Indian tribes, children, and 

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

Disclaimer for Conference/Meeting/Seminar Materials: If a conference/meeting/seminar is 

funded by a grant, cooperative agreement, sub-grant and/or a contract, the recipient must 

include the following statement on conference materials, including promotional materials, 

agenda, and internet sites:

“Funding for this conference was made possible (in part) by SAMHSA. The views expressed in 

written conference materials or publications and by speakers and moderators do not necessarily 

reflect the official policies of the Department of Health and Human Services, nor does the 

mention of trade names, commercial practices, or organizations imply endorsement by the U.S. 

Government.”
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20 Rights in Data 

and 

Publications

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

access to research data, publications, and sharing research tools, and intangible property and 

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

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

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

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

to authorize others to do so.

21 Mandatory 

Disclosures

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

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

suspected violations, of Federal criminal law involving fraud, bribery, or gratuity violations 

potentially affecting the Federal award. Subrecipients must disclose, in a timely manner, in 

writing to the prime recipient (pass through entity) and the HHS OIG, all information related to 

violations, or suspected violations, of Federal criminal law involving fraud, bribery, or gratuity 

violations potentially affecting the Federal award. Disclosures must be sent in writing to the 

awarding agency and to the HHS OIG at the following addresses:

U.S. Department of Health and Human Services

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

Independence Avenue, SW, Cohen Building Room5527 Washington, DC 20201

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

MandatoryGranteeDisclosures@oig.hhs.gov

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

75.371 remedies for noncompliance, including suspension or debarment (see 2 CFR parts 180 & 

376 and 31 U.S.C. 3321).

22 Lobbying 

Restrictions

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

part 93.

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

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

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

printed or written matter, or other device, intended or designed to influence in any manner a 

Member of Congress, a jurisdiction, or an official of any government, to favor, adopt, or oppose, 

by vote or otherwise, any legislation, law, ratification, policy, or appropriation, whether before or 

after the introduction of any bill, measure, or resolution proposing such legislation, law, 

ratification, policy, or appropriation; but this shall not prevent officers or employees of the United 

States or of its departments or agencies from communicating to any such Member or official, at 

his/her request, or to Congress or such official, through the proper official channels, requests for 

any legislation, law, ratification, policy, or appropriations which they deem necessary for the 

efficient conduct of the public business, or from making any communication whose prohibition 

by this section might, in the opinion of the Attorney General, violate the Constitution or interfere 

with the conduct of foreign policy, counter-intelligence, intelligence, or national security 

activities.

Violations of this section shall constitute as a violation of section 1352 (a) of Title 31.
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23 Drug-Free 

Workplace

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

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

the application, the AOR agrees that the grantee will provide a drug-free workplace and will 

comply with the requirement to notify SAMHSA if an employee is convicted of violating a 

criminal drug statute. Failure to comply with these requirements may be cause for debarment. 

Government wide requirements for Drug-Free Workplace for Financial Assistance are found in 2 

CFR part 182; HHS implementing regulations are set forth in 2 CFR part 382.400. All recipients 

of NIH grant funds must comply with the requirements in Subpart B (or Subpart C if the recipient 

is an individual) of part 382.

24 Civil Right 

Laws that 

prohibit 

discrimination

You must administer your project in compliance with federal civil rights laws that prohibit 

discrimination on the basis of race, color, national origin, disability, age and, in some 

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

pregnancy). This includes 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/for-providers/providerobligations/index.htm l and https://www.hhs.gov/civil-rights/forindividuals/nondiscrimination/index.html . 

• You must take reasonable steps to ensure that your project provides meaningful 

access to persons with limited English proficiency. 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-sheet-guidance/index.html and 

https://www.lep.gov . 

• For information on your specific legal obligations for serving qualified individuals with 

disabilities, including providing program access, reasonable modifications, and taking 

appropriate steps to provide effective communication, see 

http://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/civil-rights/for-individuals/sexdiscrimination/index.html . 

• For guidance on administering your project in compliance with applicable federal 

religious nondiscrimination laws and applicable federal conscience protection and 

associated anti-discrimination laws, see https://www.hhs.gov/conscience/conscienceprotections/index.html and https://www.hhs.gov/conscience/religiousfreedom/index.html .

25 Trafficking 

Victims 

Protection Act 

of 2000 (22 

U.S.C. 

7104(G)), as 

amended, and 

2 C.F.R. PART 

175

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

provided to a private entity, without penalty to the Federal government, if the recipient or 

subrecipient engages in certain activities related to trafficking in persons. SAMHSA may 

unilaterally terminate this award, without penalty, if a private entity recipient, or a private entity 

subrecipient, or their employees:

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

effect;

b) Procure a commercial sex act during the period of time that the award is in effect; or,
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c) Use forced labor in the performance of the award or subawards under the award.

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

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

26 Confidentiality 

of Alcohol and 

Drug Abuse 

Patient 

Records

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

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

manner (42 CFR 2.12b). Accordingly, all project patient records are confidential and may be 

disclosed and used only in accordance with 42 CFR Part 2. The recipient is responsible for 

assuring compliance with these regulations and principles, including responsibility for assuring 

the security and confidentiality of all electronically transmitted patient material.

27 Healthy People 

2020

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

programs. The initiative has two major goals: (1) increase the quality and years of a healthy life; 

and (2) eliminate our country’s health disparities. The program consists of 28 focus areas and 

467 objectives. SAMHSA has actively participated in the work groups of all the focus areas and 

is committed to the achievement of the Healthy People 2020 goals. Healthy People 2010 and the 

conceptual framework for the forthcoming Healthy People 2020 process can be found online at: 

http://www.healthypeople.gov/

28 Accessibility 

Provisions

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

compliance with Federal civil rights law. This means that recipients of HHS funds must ensure 

equal access to their programs without regard to a person’s race, color, national origin, 

disability, age, and in some circumstances, sex and religion. This includes ensuring your 

programs are accessible to persons with limited English proficiency.

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

enforced by HHS. Please see: 

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

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

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

Please contact the HHS Office for Civil Rights for more information about obligations and 

prohibitions under Federal civil rights laws at https://www.hhs.gov/civil- rights/index.html or call 

1-800-368-1019 or TDD 1-800-537-7697.

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

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

on providing culturally and linguistically appropriate services, recipients should review the 

National Standards for Culturally and Linguistically Appropriate Services in Health and Health 

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

29 Data Collection 

and 

Performance 

Measurement:

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

effectiveness and efficiency of its programs under the Government Performance and Results 

(GPRA) Modernization Act of 2010 (P.L. 102-62). Recipients must comply with the performance 

goals, milestones, and expected outcomes as reflected in the Funding Opportunity 

Announcement (FOA) and are required to submit data via SAMHSA’s data-entry and reporting 

system. 

Please contact your Government Program Official for additional submission information.
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30 Legislative

Mandates

Certain statutory provisions under P.L. 115-245, Department of Defense and Labor, Health and

Human Services, and Education Appropriations Act, 2019, Division B, Title V, Title II, General

Provisions limit the use of funds on SAMHSA grants, cooperative agreements, and contract

awards. Such provisions are subject to change annually based on specific appropriation

language that restricts the use of grant funds. The full text of P.L. 115-245 is available at

https://www.congress.gov/bill/115th-congress/house-bill/6157/text? Format=txt.

31 Executive 

Order 13410: 

Promoting 

Quality and 

Efficient Health 

Care in Federal 

Government 

Administered 

or Sponsored 

Health Care 

Programs

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

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

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

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

national standards exist must:

a) Use recognized health information interoperability standards at the time of any HIT system 

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

in whole or in part, through this agreement/contract. Please consult www.healthit.gov for more 

information, and

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

Office of the National Coordinator for Health Information Technology (ONC), or that will be 

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

1755 or Jim.Kretz@samhsa.hhs.gov.

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

fiscal year must have a single or program-specific audit conducted for that year in accordance 

with the provisions of 45 CFR §75.501(a). Guidance on determining Federal awards expended 

is provided in 45 CFR §75.502.

Recipients are responsible for submitting their Single Audit Reports and the Data Collections 

Forms (SF-FAC) electronically to the to the Federal Audit Clearinghouse Visit disclaimer page 

(FAC) within the earlier of 30 days after receipt or nine months after the FY’s end of the audit 

period. The FAC operates on behalf of the OMB.

For specific questions and information concerning the submission process:

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

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

33 Ad Hoc 

Submissions

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

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

limited to, the following:

• Payroll

• Purchase orders

• Contract documentation

• Proof of project implementation

34 Submitting 

Responses to 

Conditions and 

Reporting 

Requirements

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

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

be submitted through the eRA Commons system.
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35 Risk 

Assessment 

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

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

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

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

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

the concerns are addressed.

36 90-day 

Reconciliation 

and Liquidation 

Period

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

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

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

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

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

and reporting within the approved project period and the aforementioned 90-day post-award 

reconciliation/liquidation period. Recipients (late) withdrawal requests occurring after the 

aforementioned periods are denied.

37 Cancel Year: 31 U.S.C. Part 1552(a) Procedure for Appropriation Accounts Available for Definite Periods 

states the following: On September 30th of the 5th fiscal year after the period of availability for 

obligation of a fixed appropriation account ends, the account shall be closed and any remaining 

balances (whether obligated or unobligated) in the account shall be canceled and thereafter 

shall not be available for obligation or expenditure for any purpose.