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Native Connections Grantee Orientation 

Please stand by – we will begin soon! 

To access the audio for this event, please use the 

following phone number and passcode. 

Phone Number: 888-553-4801 

Passcode: 8532440 
 

SAMHSA 

Substance Abu5eand Mental Health 

Services Administration 

Disclaimer 

• Disclaimer: The views, policies, and opinions expressed in written 

conference materials or publication and by speakers and moderators 

do not necessarily reflect the views, opinions, or policies of SAMHSA 

or HHS; nor does mention of trade names, commercial practices, or 

organizations imply endorsement by the U.S. Government. 
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Services Administration 

------------------------------------------------- -----

Grantee Orientation 

FY 2018 Tribal Behavioral Health Grant 

Cohort 4: Native Connections 

Your Native Connections SAMHSA Project Officers 

Kameisha Bennett, William Reyes, Irene Darko, Angela Mark, 

Michelle Carnes 

Substance Abuse and Mental Health Services Administration 

U.S. Department of Health and Human Services 

FY 2018 Tribal Behavioral Health Grantee Orientation Webinar 

November 27, 2018 
 

 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Webinar Overview 

• Introduction to the Native Connections grant by Michelle 

Carnes and Kameisha Bennett 

• Introduction to the Tribal Mental Health Technology Transfer 

Center by Humberto Carvalho 

• Introduction to your Government Project Officers by Michelle 

Carnes and Kameisha Bennett 

• Introduction to required data entry in SPARS by Angela Mark 

• Introduction to budgetary/fiscal requirements via Grants 

Management by Louis Velasco 
SAM!f~1 

Substance AbusAde :inistration Serv,ces 

• Native Connections is a SAMHSA grant specifically designed for American 

Indian/Alaska Native tribes and communities 

• This is the FOURTH round of funding 

• Overall program emphasis on community-based planning that will result in systems 

change to benefit Native youth 

• Think of this opportunity as a part of a long-term “movement”, or ongoing

“initiative” to improve services and supports for Native youth and not just 

another “project”
SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

The The Purpose: Purpose: 

• ...to prevent and reduce suicidal behavior and substance abuse, 

reduce the impact of trauma, and promote mental health among 

American Indian/Alaska Native young people up to and including age 

24. 

• ...reduce the impact of mental and substance use disorders, foster 

culturally responsive models to reduce and respond to the impact of 

trauma on AI/AN communities, and... 

• ...allow AI/AN communities to support youth and young adults as 

they transition into adulthood by facilitating collaboration among 

agencies. 
 

Youth 1n Cnsis Youth Who Have Attempted, Youth at Risk 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Background Note: Typical Service System Approach 

• ...Youth who seek/need services are passive recipients

• ...Administrators and professionals create stand-alone programs 

• ...Professionals are experts that assess problems and direct treatment 

• ...Professionals plug youth into service “slots” of existing programs

• ...Lack of clear expectations and reliability across youth-serving components in the system 

• = Youth fall between the cracks 

Juvenile 

Justice 

Youth in Crisis, Youth Who Have Attempted, Youth at Risk 

Mental 

Health 

Substance 

Abuse 

Child 

Medical Welfare 

School/ 

Education 
 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Activities in Year 1 

Year 1 

Hiring 

Involve Community 

Conduct Readiness Assessment 

Develop Policies and Procedures 

Standards of Care for Youth 

Effective Transitions Between Care 

Role of Traditional Healing/Western 
 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Activities in Years 2 Through 5 

Years 

2 -5 

Universal 

Selective 

Indicated 
 

 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

A Word About Evidence-Based Practices... 

• Pp 9-10 of (SM-18-017) the Funding Opportunity 

Announcement: 

• “An evidence-based practice refers to approaches to prevention 

or treatment that are validated by some form of documented 

research evidence.”

• “SAMHSA realizes that EBPs have not been developed for all

populations and/or service settings. However, in addition to 

traditional practices, applicants are expected to identify and 

use EBPs for the types of problems or disorders addressed in 

the application to the extent practicable.”

• Tribally-based interventions are considered evidence-based 

practices. 
Native Connections 

Grantee Map 

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Cohorts 1-3 

SAMHSA 

Substance Abuse and MentalHealth 

ServicesAdministration 
Native Connections 

Cohort 4 Grantee Map 

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Billings ■ California ■ N:,,hville 

■ N"vajo 

Oklahoma City ■ Phoenix ■ l'ort:Lm J ■ 

■ Tucson SAMHSA 

Substance Abuse and Mental Health 

ServicesAdministration 
 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Project Director Requirements for Native Connections 

• On page 6 of the Funding Opportunity Announcement: 

• “The key personnel for this program will be the Project Director 

with a 1.0 FTE level of effort.”

• “This position requires prior approval by SAMHSA after a 

review of the staff credentials and job description.”

How to change the Project Director for your project in eRA 

Commons: 

Click on pdf document in Adobe Connect: eRA CHANGE IN PD 

(downloadable instructions) 
 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Resources for Support 

• Native Connections program webpage 

• Native Connections Funding Opportunity Announcement 

• Your Native Connections Notice of Award 

• Native Connections Technical Assistance Archived Resources 

• Tribal Mental Health Technology Transfer Center 
15 

American Indian & Alaska Native (AI/AN) MHTTC 

Goals https://mhttcnetwork.org/mhttc/mhttc-tac.html

 Foster regional and national alliances and bi-directional informed 

communication among culturally diverse practitioners, 

researchers, policy makers, family members, and consumers of 

MH promotion and treatment services 

 Enhance the T/TA infrastructure to support programs and workforces serving tribal and urban Indian 

communities; to facilitate expansion of culturally informed knowledge and skills for effective MH 

services to AI/AN populations, and to prepare for culturally informed EBP implementation. 

 Accelerate the adoption, implementation, and sustainment of MH-related, trauma- and culturally 

informed EBPs across the lifespan and across tribal and urban Indian communities. 
16 

AI/AN MHTTC Services 

 Needs assessments, environmental scans and gap analyses for states and tribal entities 

 No-cost T/TA (via face-to-face meetings, webinars, conference calls, and other virtual means of delivery) 

to the MH field 

 T/TA, capacity-building, and development of learning communities to Urban Indian and tribes AI/AN 

communities 

 Education and training for certification exams and clinical supervision opportunities for MH professionals 

working with tribal members 

 Native American Leadership Academy to enhance leadership skills in MH promotion, treatment, and 

recovery 

 Expansion of tele-behavioral services to Urban Indian and Tribal communities 

 Tribal Action Planning TA and ongoing support 

 Network-wide T/TA to promote the adoption and bi-directional diffusion of culturally informed EBPs, 

including trauma-focused EBPs, suicide EBPs, and promising practices, recovery-oriented systems of 

care, and other topics of interest to the MH promotion and prevention, treatment, and recovery field. 
Thank You 

SAMHSA’s mission is to reduce the impact of substance 

abuse and mental illness on America’s communities.

Humberto Carvalho, MPH 

5600 Fishers Lane, 17E53A 

Rockville, MD 20857 

Humberto.Carvalho@samhsa.hhs.gov 

240-276-2974 

www.samhsa.gov 

1-877-SAMHSA-7 (1-877-726-4727) ● 1-800-487-4889 (TDD) 

17 
 

 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

The Role of Your SAMHSA Government Project Officer 

• Serve as Primary Contact for your grant 

• Monitor activities and progress of the project 

• Review requests for changes to the project 

• Help navigate the Federal system and your Federal team 

• Assist with, review and approve submissions for Standard and 

Special Terms and Conditions 

• Review required reports and provide feedback. 

• Share announcements 

• Overseeing and approving SPARS goals and quarterly data 

submission 
 

Kameisha Bennett 

• Confederated Tribes of Grand Ronde Indians 

• Tule River Indian Health Center, Inc. 

• Confederated Tribes of Coos, Lower Umpqua and Siuslaw Indians 

• K’lma: W Medical Center 

• Picayune Rancheria of the Chukchansi Indians 

• Red Lake Band of Chippewa Indians 

• Quartz Valley Indian Reservation 

• Mississippi Band of Choctaw Indians 

• San Diego American Indian Health Center 
William Reyes 

• Native American Community Health Center 

• Native Americans For Community Action, Inc 

• American Indian Health and Family Services o

Michigan, Inc. 

• Santee Sioux Tribe of Nebraska 

• Port Gamble S’Klallam Tribe

• Five Sandoval Indian Pueblos, Inc. 

• Nez Perce Tribe 

• Center School, Inc. 

• Zuni Youth Enrichment Project 

f Southeast 
 

Irene Darko 

• First Nations Community Healthsource, Inc. 

• Kiowa Tribe of Oklahoma 

• Kickapoo Traditional Tribe of Texas 

• Eastern Shawnee Tribe of Oklahoma 

• Wichita and Affiliated Tribes 

• Quapaw Tribe of Oklahoma 

• Sac and Fox Nation 

• Pyramid Lake Paiute Tribe 
Angela Mark 

• Chugachmiut, Inc. 

• Native Village of Hooper Bay 

• Norton Sound Health Corporation 

• Knik Tribe 

• Goldbelt Heritage Foundation 

• Eastern Aleutian Tribes, Inc. 

• Organized Village of Kake 

• Aroostook Micmac Council 

• Copper River Native Association 

• Aleut Community of St. Paul Island Tribal Government 
Michelle Carnes 

• Fort Peck Assiniboine and Sioux Tribes 

• Pueblo of Acoma 

• Black Feet Tribe (2) 

• Ute Mountain Tribal Government 

• Southern Ute Indian Tribe 

• Ohkay Wingeh 

• Oglala Sioux Lakota Housing 

• MHA Nation 

• Shoshone-Paiute Tribes 
 

 

 

 

 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Next Steps as You Get Started 

• If you are the contact and have not yet received an email 

from us about Native Connections, please email your 

SAMHSA GPO listed in your Notice of Award 

• Send us additional contact information for any staff assigned 

to the Native Connections grant and their role 

• Review the Welcome Email from your GPO 

• Your GPO will set up periodic monitoring phone calls with you 

around your Year 1 deliverables. For example: 

• Community Systems Analysis 

• Community Readiness Assessment 

• Strategic Action Planning 

• Crisis Response/Protocol Development 
SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Questions & Answers 

Before We Move On 
 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

How do we know Native Connections is working? 

• New policies as a result of the grant 

• New partnerships as a result of the grant 

• Newly implemented tribal and evidence-based services 

• Number receiving tribal and evidence-based mental health 

or related services after referral 

• Number of substance-related, suicide-related and alcoholrelated ER visits in the community 

• Total number of youth served/reached as a result of this 

grant 
SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

SPARS Overview for New Grantees 

•Overview of SPARS 

• Entering Annual Goals and Budget 

•Required Indicators (4) 

•Quarterly Data Entry Reporting Period & Deadlines 
SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

What is SPARS? 

SAMHSA Performance Accountability & Reporting System 

• Web-based, consolidated, centralized data platform 

• Allows SAMHSA to measure programs and grantee performance 

• Grantees report data only on “GRANT FUNDED” activities 
SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

SPARS has two program components: 

1. Annual Goals and Budget Information 

 Submit goals/budget info. Due: January 31, 2019 

 Modify future goals yearly (December), if needed. 

2. Quarterly Data 

 Submit quarterly data every 3 months 

 First Quarter Data: Due January 31, 2019 
SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

SPARS Annual Performance Goals and Budget Estimates 

Due: January 31, 2019 

Log into SPARS and enter Annual Goals for all grant years 

Enter budget estimates for all grant years 

Click on “Submit to GPO” for review/approval 

30 
SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

31 

Purpose of Annual Performance Goals 

1. Quantify what you plan to accomplish with your grant 

2. Tied to your workplan: Realistic & Attainable! 

3. Used for performance and program management 

4. Consult with your GPO if you need help 

It is a “Goals-Based” type evaluation 

used to assess & monitor the extent your project 

is meeting its goals 
32 

6 Budget Categories in SPARS 

Create Budget Estimates for: 

1. Infrastructure Development 

2. Data Collection/Evaluation (estimate cannot exceed 20% of annual grant award) 

3. MH Promotion/Prevention 

4. Grants Administration 

5. Services Provision 

6. Technical Assistance 

Include all direct & indirect costs associated with each budget category. It is okay to estimate direct and 

indirect costs. 

DO NOT include: in-kind contributions, match costs, or carry over dollars 
How to Enter Data in SPARS 

1. Go to SPARS online data entry system at https://spars.samhsa.gov 

2. Enter data only on completed activities and trainings in the quarter it was 

completed and funded by Native Connections 

3. WAIT to enter data on activities that are “in progress” for the quarter it is 

completed. 

4. If you have nothing new to report in a category, click on “No New 

Results” to indicate 

5. Click on “SAVE” to complete entry

6. After you submit your data, your GPO will review and approve (or request 

revisions). 
Introduction to Your Grant ndicators 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Introduction to Your Grant Indicators 

(Cohort 4) 

PD1, PC2, T2, T3 

34 
POLICY DEVELOPMENT: PD1 

The number of policy changes completed as a result of the grant 

- Policy could refer to a broad range of written documents directing an 

administrative or legislative action or event 

- Report once change is complete, not while being implemented 

Examples: Tribal Resolutions, Crisis Protocols, Mission Statements that are 

written/revised to include suicide prevention/mental health promotion/substance 

misuse. 

35 
PC2 : PARTNERSHIP/COLLABORATIONS 

The number of organizations collaborating, coordinating, and resource 

sharing with other organizations as a result of the grant to improve 

mental health-related practices/activities that are consistent with the 

goals of the grant. 

Examples: 

• Collaborating with Faith Based Taskforce on prevention activities 

• Partnering with another community on training 

• Partnering with a University to create support for two-spirit students 
TYPES/TARGETS OF PRACTICES: T2 

The number of programs/communities that implemented 

tribally-based/evidence-based practices and activities as 

a result of the grant. 

Think of these as interventions used and relevant in your 

community. 

Examples: Talking Circles, Language Curriculums in the 

school, Youth Camps, American Indian Life Skills 

Curriculum (adaptation is fine). 

37 
TYPES/TARGETS OF PRACTICES: T3 

The number and percentage of individuals 

receiving tribally-based/evidence-based mental 

health or related services after referral. 

38 
 

 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Every Quarter, Grantees are required to log into SPARS and do 

the following: 

Enter data only on completed activities in the quarter it was 

completed 

DO NOT enter data on activities that are “in progress” or “pending”

Nothing new to report for an Indictor? Click on “No New Results” 

which is a valid data entry 

After you submit your data, your GPO will review, approve & 

disapprove or request revisions 

Make edits and revisions to your data, as requested by GPO 
What If I Do Not Have Any Data to Report? 

1. Log In to SPARS online data entry system at https://spars.samhsa.gov 

2. Click on Indicator 

3. Click the “No New Results” box on the result record to indicate no new 

data to report for given indicator for given quarter 
Quarter Quarterly Reporting Period Grantee Deadline to 

Submit Data 

GPO Review 

Deadline 

Grantee Deadline to 

Revise Data 

System Lock 

Date* 

1st October 1–December 31, 2018 January 31, 2019 February 28, 2019 March 31, 2019 April 1, 2019 

2nd January 1–March 31, 2019 April 30, 2019 May 31, 2019 June 30, 2019 July 1, 2019 

3rd April 1–June 30, 2019 July 31, 2019 August 30, 2019 September 30, 2019 October 1, 2019 

4th July 1–September 30, 2019 October 31, 2019 November 30, 2019 December 31, 2019 January 1, 2020 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Quarterly Reporting Periods and Deadlines for Submitting IPP Results 
SPARS Staff Resources 

SAMHSA Government Project Officer (GPO): 

Provides programmatic technical assistance and consultation on classifying IPP 

indicators, setting annual goals and budget information, reviews and approves 

your data 

SPARS Help Desk 

Provides technical support with navigating screens, user account, username, 

password resets/information 

SPARS continually hosts webinars and data clinics for grantees. 

 Phone: 1-855-796-5777 

 Email: SPARS-support@rti.com 

42 
SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Additional Data Collection 

You will also be expected to collect and report on the following data annually in 

your project performance assessment report: 

 The number of substance use-related (including opioid-related) emergency room 

visits by youth served under this grant. 

 The number of suicide-related emergency room visits by youth served under this 

grant. 

 The number of alcohol-related emergency room visits by youth served under this 

grant. 

 The total number of youth served and/or reached as a result of this grant. 
 

SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

The Role of Your SAMHSA Grants Management Specialist 

• Serves as Primary Contact for your Financial or Business 

Office 

• Responsible for all business/financial matters 

• Enforces grants administration policies & regulations 

• Authorizes approval to issue funds, carry over monies & nocost extensions 

• Coordinates with SAMHSA GPO 
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Services Administration 

------------------------------------------------- -----

Financial Management of Your 

FY 2018 Tribal Behavioral Health Grant 

Native Connections 

Louis Velasco 

Grants Management Specialist 

Substance Abuse and Mental Health Services Administration 

U.S. Department of Health and Human Services 

FY 2018 Tribal Behavioral Health Grantee Orientation Webinar 

November 27, 2018 
SAMHSA 

Substance Abu5eand Mental Health 

Services Administration 

Topics 

1. eRA Commons 

2. Post-Award Changes Requiring Prior 

Approval 

3. Continuation Applications 

4. Financial Reporting Requirements 
eRA Commons: Homepage 

• All post-award requests, 

responses to special conditions, 

and financial/programmatic 

reports will now be submitted 

and processed exclusively 

through the eRA Commons 

system. They will no longer be 

accepted through email. You 

must have an eRA Commons 

account to submit your request. 

• https://era.nih.gov/ 

• To reach the log-in screen, click 

on “Commons Log-In” on the 

right side of the eRA home page. 
eRA Commons: Log-In 

• Log-in to eRA Commons with your credentials to access your organization’s grant portfolio.
eRA Commons 

• Click on “Non-Research” tab and either “Manage Post Award Amendments” or “Manage Continuations”
eRA Commons: Responding to Special Conditions/Terms 

• https://era.nih.gov/files/TCM_User_Guide_Grantee.pdf 

• Special Conditions/Terms Examples: Programmatic, Revised Budget, Submit 

Indirect Cost Rate Agreement, SAM.gov Exclusion, Federal Debt, Disparity 

Impact, Other, etc. 
eRA Commons: Responding to Special Conditions/Terms 

•Option 1a: Access Special 

Conditions/Terms via Status 

in the SO Role 
 

eRA Commons: Responding to Special Conditions/Terms 

•Option 1a: Access Special 

Conditions/Terms via 

Status in the PI/PD Role 
eRA Commons: Responding to Special Conditions/Terms 

Option 1b: Access Special Conditions via Amendments 

Option 1c: Access Special Conditions via Continuations 

• SO role view will have to 

search for the specific 

grant number 

• PI/PD role view will have 

any grants associated 

with an individual appear 

• Select “View Terms 

Tracking” once correct 

grant is identified 
 

 

eRA Commons: Responding to Special Conditions/Terms 

• Each special 

condition/term will 

have its own row. 

Click on the special 

condition row “+” to 

expand it and prepare 

documentation. 
eRA Commons: Responding to Special Conditions/Terms 

• Similar to RAM response, 

“Upload” up to 10 PDF 

attachments and submit 

when ready 

• Submission status and 

date will update once it 

transmits 

• Consolidated submission 

package can be viewed at 

“View Submission”
eRA Commons: Responding to Special Conditions/Terms 

• If GPO/GMS request additional information, status would show as Unresolved and grantee 

would click on “Revise Documentation” to address

• If GPO/GMS accept the response status would show as Resolved, a date would be reflected in 

Removal Date, and a revised Notice of Award would be issued 
eRA Commons: Post-Award Amendment Requests 

• Default “Manage Post Award Amendments” screens will differ for PD/PI role or SO role

• Under Action column: 

 “View” will take you to current Post Award Amendment Requests status screen

 “Initiate” will begin the process of submitting a new Post Award Amendment Request

SO 

Screen 
eRA Commons: Post-Award Amendment Requests 

•On Post Award Amendments status screen you will see different rows for all 

requests submitted 

• A new Post Award Amendment can also be initiated on this screen 
eRA Commons: Post-Award Amendment Requests 

• When initiating a Post Award Amendment, you will be taken to the ASSIST system 

• Application Identifier number is automatically generated in ASSIST for each Post Award 

Amendment request and can be used to search for a particular action 

• Each post award amendment type 

has different required tabs, with 

the SF-424 Cover and HHS 

Checklist always being required 

• Click “Add Optional Form” on the 

left side to upload Other Narrative 

Attachments to a Post Award 

Amendment request 
eRA Commons: Post-Award Amendment Requests 

• When all forms have been completed and you are ready to submit, click “Update Submission 

Status” and “Ready for Submission”

• The system will indicate whether any required information is missing 
eRA Commons: Post-Award Amendment Requests 

• To complete submission, an individual with AOR credentials will have to log-in and click “Submit Application” 

under the “Summary” tab of a particular post-award amendment request in ASSIST 

• Upon submission, confirmation email will be received by grantee and GPO/GMS 
 

 

eRA Commons: Request for Additional Materials 

• GPO/GMS may Request Additional Materials (RAM) within eRA Commons if needed. Grantee will receive an eRA 

Commons notification. 

• To access RAM, grantee will go to “Manage Post Award Amendments” in eRA Commons and click on “Action” 

and then “RAM”
 

eRA Commons: Request for Additional Materials 

• Click “Upload” and add up to 10 PDF attachments needed to respond to the RAM. PDF is the only file type 

supported, no Word documents or Excel spreadsheets, etc. 

• It is required to enter “Comments” when responding to a RAM

• Click “Preview” to view message 

GPO/GMS will receive 

• Click “Save” to return to eRA 

Commons later and complete 

• Click “Submit” to ultimately finish 

response to RAM 
Post-Award Actions 

• Include any activity that takes place after the award is made to 

implement the award supported project 

• Some of these changes require explicit prior approval in the form of a 

revised Notice of Award (NoA) before being implemented 

• Submit via eRA Commons 

• https://www.samhsa.gov/grants/grants-management/post-awardchanges 
Common Post-Award Actions 

1. Key Staff and Level of Effort Changes 

https://www.samhsa.gov/grants/grants-management/post-award-changes/key-stafflevel-effort 

2. Budget Revisions 

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

3. Changes in Scope 

https://www.samhsa.gov/grants/grants-management/post-award-changes/changescope 
Key Staff and Level of Effort Changes 

• SM-18-017 FOA: 

“The key personnel for this program will be the Project Director with a 1.0 FTE level 

of effort. This pos ition requires prior approval by SAMHSA after a review of the staff 

credentials and job description.”

• Notice of Award: 

Key staff are listed below: 

Kermit the Frog, Project Director @ 100% level of effort 

Any changes in key staff including level of effort involving separation from the project 

for more than three months or a 25 percent reduction in time dedicated to the 

project, requires prior approval. 
SAMHSA 

Substance Abu5eand Mental Health 

Services Administration 

Determining Level of Effort Changes 

• Calculating Level of Effort Change: 

Level of effort % X 0.25 = Threshold to determine whether prior 

approval is required 

• Kermit the Frog, Project Director @ 100% level of effort 

100% X 0.25 = 25% threshold 
Key Staff Change and Level of Effort Request 

Grantee Should Submit the Following Via eRA Commons: 

1. Request Letter 

o Support the need to change the key personnel and/or the LOE dedicated to the project 

o Annual salary and LOE percentage 

o Description of any proposed duties or responsibilities that have changed and why 

o Any impact the change will have on the budget and scope for the approved project 

2. CV/Resume/biographical sketches for new personnel 

3. HHS/SAMHSA Checklist (Form HHS-5161-1) 

4. Proposed PD’s eRA Commons ID

Required attachments/tabs 

within eRA Commons for a 

Key Staff/Personnel change 
Budget Revisions 

Budget Revision: An action resulting in the reallocation of funds within and between 

approved budget cost categories. 

Significant Funds Reallocation: Cost modifications that exceed 25% of the total 

approved budget, or $250,000, whichever is less. 

Cases Always Requiring Prior Approval: 

• Recipients classified as “Restricted Status”

• Reallocation of funds to a budget category initially funded at “$0”

• Purchase of a unit of general purpose or special purpose equipment exceeding 

$25,000 

• Changes in applicant cost sharing or matching 
 

-

Budget Revision Example 

Approved Year 1 Budget Proposed Budget 

Revision 

Change, +/ 

Personnel 125,000 105,000 - 20,000 

Fringe Benefits 25,000 21,000 - 4,000 

Travel 2,500 4,500 + 2,000 

Equipment 0 28,000 + 28,000 

Supplies 7,500 4,500 - 3,000 

Contractual 25,000 32,000 + 7,000 

Other 15,000 5,000 - 10,000 

Direct Charges 200,000 200,000 -

Indirect Charges 50,000 50,000 -

TOTAL 250,000 250,000 ∆ 74,000

Equipment category 

previously funded at $0. 

And if $28,000 involves 

an item over $25,000. 

Budget revisions are 

$74,000 which is a 

29.6% change, exceeding 

the 25% threshold. 
Budget Revision Request 

Grantee Should Submit the Following Via eRA Commons: 

1. Cover letter/narrative with detailed explanation of what costs are being 

rebudgeted and assurance these changes do not involve a change in scope 

2. Revised SF-424A Budget Information Form 

3. Revised Detailed Line-Item Budget and Narrative Justification 

4. If applicable, an updated indirect cost rate agreement 

5. HHS/SAMHSA Checklist (Form HHS-5161-1) 

Required attachments/tabs 

within eRA Commons for a 

Budget Revision 
Changes in Scope 

A significant change in the scope or objectives of the federally supported 

project activities identified and approved in the originally funded 

application. 

Common Factors Indicating Changes in Scope 

• Change in Goals, Objectives, Aims, or Purposes 

• Change in Service Area 

• Eliminating a Care Delivery Site 

• Transfer of the performance of substantive programmatic work to a 

third party (contractor or sub-recipient) 
Change in Scope Request 

Grantee Should Submit the Following Via eRA Commons: 

1. Cover letter/narrative explaining the change in scope, including: 

o A detailed discussion of any potential impact on the total approved project budget, and to 

accomplishing the aims and objectives of the funded project. 

o An explanation and documentation of any unique circumstances that will impact the ability to 

meet the expectations of the funded project. 

2. Revised SF-424A Budget Information Form 

3. Revised Detailed Line-Item Budget and Narrative Justification 

4. HHS/SAMHSA Checklist (Form HHS-5161-1) 

Required attachments/tabs 

within eRA Commons for a 

Scope Change 
Continuation Applications 

• Recipients must ensure the following are up-to-date: 

 Submission of annual program progress and financial reports 

 Federal Cash Transactions Reports in the HHS Payment 

Management System 

 System for Award Management (SAM) annual registration and 

DUNS information 

• Continuation applications are completed and submitted 

within the eRA Commons system 

• https://www.samhsa.gov/grants/continuation-grants 
 

 

Continuation Applications: eRA Commons 

• For upcoming support years you 

will see information for the 

support year, status, open date, 

due date, and the “Select One” 

button in the action column. Click 

on “Select One” and you will see 

the “Initiate...” option. 

• You may initiate a new 

continuation when the 

continuation status is “Due” (i.e., 

within the open and due date 

range) or “Late” (i.e., after the due 

date, but before the current 

budget period end date). 

• If you have already initiated a 

continuation, the dropdown 

option will say “Edit Continuation”.
Continuation Applications: ASSIST 

• Information about the application will be 

input in the different tabs; these include the 

forms that are required to be completed. 

• Some data fields will be pre-populated based 

on the current award. Some of these fields 

are editable and some are not. 

• Any additional required forms can be 

uploaded by selecting “Add Optional Form” 

on the left-hand side of the screen. 

• When ready to submit, select “Update 

Submission Status” on the left-hand side and 

change to “Ready for Submission”. An 

application validation will be run to check for 

errors. 

• The designated Authorized Organization 

Representative (AOR) must ultimately submit 

the application. Once completed, it will be 

sent to Grants.gov and eRA for processing. 
SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Continuation Applications: Budget or Attestation 

• Recipient must include either of the following: 

1. A detailed budget and narrative justification for the 

upcoming continuation year. 

2. A signed and dated attestation letter when the budget 

will not change more than 25 percent from the current 

budget period. The attestation letter must clearly state 

that the budget will not change by more than 25 percent 

and must be signed by the AOR on the organization’s 

letterhead. 
Financial Reporting Requirements 

1) Federal Financial Report (FFR)/SF-425 

https://www.samhsa.gov/grants/grantsmanagement/reporting-requirements 

2) Financial Cash Transaction Report (FCTR) 

https://pms.psc.gov/grant_recipients/ffrinformation.html 
Federal Financial Report (FFR)/SF-425 

• Always report on a 

cumulative basis 

• Annual FFRs due 90 

days after the end of a 

budget period --

12/31/2019 due to 

the current budget 

period end date being 

9/29/2019 
Federal Financial Report (FFR)/SF-425 

• When used in connection with a non-Federal entity's utilization of funds under a 

Federal award, obligations means orders placed for property and services, 

contracts and sub-awards made, and similar transactions during a given period 

that require payment by the non-Federal entity during the same or a future 

period. 

• Line 10f -- Unliquidated obligations means, for financial reports prepared on a 

cash basis, obligations incurred by the non-Federal entity that have not been paid 

(liquidated). For reports prepared on an accrual expenditure basis, these are 

obligations incurred by the non-Federal entity for which an expenditure has not 

been recorded. 

• Line 10h -- Unobligated balance means the amount of funds under a Federal 

award that the non-Federal entity has not obligated. 
SAMHSA 

Substance Abu5eand Mental Health 

Services Administration 

Financial Cash Transaction Report (FCTR) 

• Reported to Payment Management System 

• Reporting Frequency - 30 days after the end of the 

calendar quarter (January 30, April 30, July 30, October 

30) 

• If the report is not submitted on or before the due 

date, funds may be restricted automatically in PMS 
SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Expected Upcoming Dates/Deadlines 

• Year 2 Continuation Applications Due: late January-early 

February 2019 

• Year 2 Continuation NoAs Released: late June-early July 2019 

• End of Year 1 FFR & Programmatic Progress Report –

12/31/2019 
Preparing Your Budget 

• Uniform Administrative Requirements, Cost Principles, and 

Audit Requirements for HHS Awards (CFR Title 45, Subtitle A, 

Subchapter A, Part 75): https://www.ecfr.gov/cgi-bin/textidx?node=pt45.1.75&rgn=div5 

Subpart E, Cost Principles is a guide on the 

allowability/unallowability of certain items of cost 

• Provide as detailed and broken down of a budget as possible 
SAMHSA 

Substance Abu5eand Mental Health 

Services Administration 

Preparing Your Budget 

• Most common SAMHSA Funding Restrictions: 

Light snacks: $3/person 

Incentives: $30/person (non-cash to help with attainment of program goals and cash or 

equivalent to encourage participation in data collection follow-up) 

• IECMH specific FOA restrictions: 

No more than 15 percent of the total grant award for each annual budget period may be used 

for developing the infrastructure necessary for expansion of services. 

No more than 15 percent of the total grant award for the budget period may be used for data 

collection, performance measurement, and performance assessment. 

Cost sharing/match is required by statutory mandate to provide matching funds from other 

non-federal sources, either directly or through donations from public or private entities. Section 

10006 of the 21st Century Cures Act, which creates Section 399Z-2 of the Public Health Service 

Act, requires a 10 percent match of the annual grant award. Matching resources may be cash or 

in-kind, including facilities, equipment, or services, and must be derived from non-federal 

sources (e.g., state or sub-state non-federal revenues, foundation grants). 
Preparing Your Budget 

• Personnel or Contractual/Consultant Budget Costs: 

For individuals on salary, provide annual salary/level of effort/amount being 

charged to the grant 

For individuals on hourly rate, provide the number of hours/hourly rate/amount 

being charged to the grant 

• Travel Costs: 

For flights consult GSA City Pairs Program: 

https://cpsearch.fas.gsa.gov/cpsearch/search.do?method=enter 

For hotel rates and per diem consult GSA established per diem rates: 

https://www.gsa.gov/travel/plan-book/per-diem-rates 

For mileage reimbursement rates consult the IRS rate, 54.5 cents for 2018 and 

53.5 cents for 2017 
 

SAMHSA 

Substance Abu5eand Mental Health 

Services Administration 

Preparing Your Budget 

• Equipment: Tangible personal property (including 

information technology systems) having a useful life 

of more than one year and a per-unit acquisition cost 

which equals or exceeds $5,000. 

• Supplies: All tangible personal property other than 

those described in Equipment. 

• Contractual Costs: Detailed, broken down budgets 

should be provided for all sub-awards 
SAMHSA 

Substance Abu5eand Mental Health 

Services Administration 

Preparing Your Budget 

• Indirect Costs: 

Provide updated indirect cost rate agreements 

Pay attention to direct cost base language definition when budgeting indirect costs. 

This determines the maximum allowable budgeted indirect costs. Varies from 

organization to organization. Common direct cost base language includes: 

Only include personnel costs 

Exclude all sub-awards or the portion over $25,000 for each sub-award 

Exclude equipment 

• Any non-Federal entity that has never received a negotiated indirect cost 

rate may elect to charge a de minimis rate of 10% of modified total direct 

costs (MTDC) which may be used indefinitely. 
Preparing Your Budget 

Approved Year 1 Budget 

Personnel 250,000 

Fringe Benefits 50,000 

Travel 5,000 

Equipment 0 

Supplies 15,000 

Contractual 50,000 

Other 30,000 

Direct Charges 400,000 

Indirect Charges 100,000 

TOTAL 500,000 

• IDC rate is 25% in this example 

• Direct cost base language examples: 

All direct costs: $400,000 X 25% = $100,000 

Only include personnel and fringe costs: 

$300,000 X 25% = $75,000 

Exclude all sub-awards or the portion over 

$25,000 for each sub-award: Contractual 

category includes one sub-awards at $50,000. 

$350,000 + $25,000 = $375,000 X 25% = 

$93,750 
SAMHSA 

Substance Abuse and Mental Health 

Services Administration 

Questions & Answers 
 

Angela Mark Michelle Carnes Kameisha Bennett 

Native Connections Project Officers 

William Reyes Irene Darko 
Thank you and welcome to Native 

Connections!