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Fiscal Year 2019 – Award Standard Terms

Terms/ 

Reports

Name Language

1 Standard Term 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 conditions 

of their awards, including: (a) terms and conditions included in the HHS Grants Policy 

Statement in effect at the time of a new, non-competing continuation, or renewal 

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

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

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

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

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

Opportunity Announcement, or the NoA. 

2 Standard Term Uniform 

Administrative 

Requirements, 

Cost Principles, 

and Audit 

Requirements 

for HHS 

Awards

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

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

applicable, in the Uniform Guidance 2 Code of Federal Regulations (CFR) Part 200 as 

codified by HHS at 45 CFR Part 75 (http://www.ecfr.gov/cgibin/retrieveECFR?gp=&SID=0ddb69baec587eeea4ab7e6a68c4acb0&mc=true&r=PART

&n=pt45.1.75). 

3 Standard Term Award 

Expectations

The eligibility and program requirements originally outlined in funding opportunity 

must continue to be adhered to as the funded project is implemented. Recipients 

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

data collection as reflected in the FOA and related policy and guidance. 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). 
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4 Standard Term 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 Standard Term Future Funding If indicated in the NoA, recommended future support reflects TOTAL costs (direct plus 

indirect). Funding is subject to the availability of Federal

funds, and that matching funds, (if applicable), are verifiable, and progress of the 

award is documented and acceptable. 

6 Standard Term Non-Supplant Federal award funds must supplement, not replace (supplant) non-Federal funds. All 

recipients who receive awards under programs that prohibit supplanting by law must 

ensure that Federal funds do not supplant funds that have been budgeted for the 

same purpose through non-Federal sources. Applicants or award recipients may be 

required to demonstrate and document that a reduction in non-Federal resources 

occurred for reasons other than the receipt of expected receipt of Federal funds. 

7 Standard Term 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 Standard Term 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 grantsupported activities, from involvement in actual or perceived conflicts of interest. 

The policies and procedures must: 

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

interests are proper or improper; 

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

interests 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 Standard Term 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 authorities to recipients that requesting to carryover unobligated 

balances (UOB) of 25 percent or less from prior budget periods to the current budget

period within the project period without prior approval, provided they are not 

designated Restricted Status and placed on drawdown restriction. 

Recipients who can exercise expanded authority MUST report an Intent to Carry Over 

an UOB in the remarks section (box 12) of the annual Federal Financial Report (FFR). 

Recipients who are requesting to carryover unobligated balances (UOB) of more than 

25 percent or less from prior budget periods to the current budget period within the 

project period without prior approval, or are designated Restricted Status and placed 

on drawdown restriction, cannot exercise this expanded authority. Instead, these 

recipients must submit a Prior Approval and receive formal written approval from the 

Grants Management Officer (GMO). 

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

Approval for Carry Over, are available at http://www.samhsa.gov/grants/grantsmanagement/post-award-changes/carryover-requests. Only responses to prior 

approval requests signed by the GMO in an amended NoA are considered valid. 
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This authority may be overridden by other special terms or conditions of the award. 

Recipients must carefully review the NoA to determine if a particular authority is 

withheld for a specific award. 

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

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

applied regardless of the source of funds. SAMHSA may disallow the costs if it is 

determined, through audit or otherwise, that the costs do not meet the tests of 

allowability, allocability, reasonableness, necessity, and consistency. 

10 Standard Term Prior Approval SAMHSA anticipates that the recipient may need to modify the recipient's award 

budget or other aspects of its approved application during performance to accomplish 

the award's programmatic objectives. In general, recipients are allowed a certain 

degree of latitude to rebudget within and between budget categories to meet 

unanticipated needs and to make other types of post-award changes, provided that 

the changes still meet the statutory program requirements and the regulatory 

requirements under 45 CFR, as applicable. 

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

indicated in either 45 CFR Part 75 or the HHS Grants Policy Statement, must be 

submitted in writing to the GMO. Based on the nature, extent, and timing of the 

request, the SAMHSA GMO may approve, deny, or request additional material to 

further document and evaluate your request. Only responses provided by the GMO 

are considered valid. If SAMHSA approves the request, an amended NoA will be 

issued. Verbal authorization is not approval and is not binding on SAMHSA. 

Recipients that proceed on the basis of actions by unauthorized officials do so at their 

own risk, and SAMHSA is not bound by such responses. 

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

Level of Effort, Budget Revisions, Changes in Scope, Carryover Requests (that fall 

outside the term for the Expanded Authority for Carryover), and No Cost Extensions. 

A summary of activities that require prior approval are listed in the HHS Grants Policy 

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

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

prior approval and how to submit information through the eRA Post Award 

Amendments module, is available at http://www.samhsa.gov/grants/grantsmanagement/post-award-changes. 

11 Standard Term Administrative 

and National 

Policy 

Requirements

Public policy requirements are requirements with a broader national purpose than 

that of the Federal sponsoring program or award that an applicant/recipient must 

adhere to as a prerequisite to and/or condition of an award. Public policy 

requirements are established by statute, regulation, or Executive order. In some 

cases they relate to general activities, such as preservation of the environment, while

in other cases, they are integral to the purposes of the award-supported activities. An 

application funded with the release of Federal funds through a grant award does not 

constitute or imply compliance with Federal statute and regulations. Funded 

organizations are responsible for ensuring that their activities comply with all 

applicable Federal regulations. 
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12 Standard Term Executive Pay The Consolidated Appropriations Act, 2018 (Pub. L.115-141) signed into law on 

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

Federal Executive Pay scale. The Executive Level II salary per E.O. 13819, was 

increased to $189,600 effective January 1, 2018. 

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 rebudget to accommodate the current Executive Level II salary level. 

However, no additional funds will be provided to these grant awards. 

13 Standard Term SAM and DUNS 

Requirements

This award is subject to requirements as set forth in 2 CFR 25.110 Central Contractor 

Registration (CCR) (now SAM) and Data Universal Number System (DUNS) numbers.

2 CFR Part 25 - Appendix A4 System of Award Management (SAM) and Universal 

Identifier Requirements

 

A. Requirement for System of Award Management

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

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

submit the final financial report required under this award or receive the final 

payment, whichever is later. This requires that you review and update the 

information at least annually after the initial registration, and more frequently if 

required by changes in your information or another award term. 

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

description) to make subawards under this award, you:

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

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

unique entity identifier to you; 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 nonFederal entity. 

4. Subaward:

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

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

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

include your procurement of property and services needed to carry out the project or 

program (for further explanation, see 2 CFR 200.330). c. A subaward may be 

provided through any legal agreement, including an agreement that you consider a 

contract. 

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

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

subaward. 
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14 Standard Term Federal

Financial 

Accountability 

and 

Transparency 

Act (FFATA) 

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

a. Reporting of first-tier subawards. 

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

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

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

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

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

2. Where and when to report. 

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

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

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

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

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

2010.)

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

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

b. Reporting Total Compensation of Recipient Executives. 

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

your five most highly compensated executives for the preceding completed fiscal 

year, if—

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

ii. in the preceding fiscal year, you received—

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

annually thereafter. 

c. Reporting of Total Compensation of Subrecipient Executives. 

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

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

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

highly compensated executives for the subrecipient's preceding completed fiscal year, 

if—

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

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

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

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

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

contracts (and subcontracts), and Federal financial assistance subject to the 
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Transparency Act (and subawards); and

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

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

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

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

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

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

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

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

i. To the recipient. 

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

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

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

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

d. Exemptions

If, in the previous tax year, you had gross income, from all sources, under $300,000, 

you are exempt from the requirements to report:

i. Subawards,

and

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

subrecipient. 

e. Definitions. For purposes of this award term:

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

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

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization;

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

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

management positions. 

3. Subaward:

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

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

that you as the recipient award to an eligible subrecipient. 

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

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

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

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

agreement that you or a subrecipient considers a contract. 

4. Subrecipient means an entity that:

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

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

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

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

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

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 
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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]

15 Standard Term FAPIIS -

Recipient 

Integrity and 

Performance 

Appendix XII to 45 CFR Part 75

A. Reporting of Matters Related to Recipient Integrity and Performance

1. General Reporting Requirement

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

procurement contracts from all Federal awarding agencies exceeds $10,000,000 for 

any period of time during the period of performance of this Federal award, then you 

as the recipient during that period of time must maintain the currency of information 

reported to the System for Award Management (SAM) that is made available in the 

designated integrity and performance system (currently the Federal Awardee 

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

administrative proceedings described in paragraph 2 of this award term and 

condition. This is a statutory requirement under section 872 of Public Law 110-417, 

as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all 

information posted in the designated integrity and performance system on or after 

April 15, 2011, except past performance reviews required for Federal procurement 

contracts, will be publicly available. 

2. Proceedings About Which You Must Report

Submit the information required about each proceeding that:

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

or procurement contract from the Federal Government;

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

c. If one of the following:

(1) A criminal proceeding that resulted in a conviction, as defined in paragraph 5 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 
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not need to submit the information a second time under assistance awards that you 

received if you already provided the information through SAM because you were 

required to do so under Federal procurement contracts that you were awarded. 

4. Reporting Frequency

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

this award term and condition, you must report proceedings information through 

SAM for the most recent five year period, either to report new information about any 

proceeding(s) that you have not reported previously or affirm that there is no new 

information to report. Recipients that have Federal contract, grant, and cooperative 

agreement awards with a cumulative total value greater than $10,000,000 must 

disclose semiannually any information about the criminal, civil, and administrative 

proceedings. 

5. Definitions

For purposes of this award term and condition:

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

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

Exchange Commission Administrative proceedings, Civilian Board of Contract Appeals 

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

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

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

corrective plans, or inspection of deliverables. 

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

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

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

nolo contendere. 

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

contracts includes—

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

cost share or match; and

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

even if not yet exercised

[81 FR 3019, Jan. 20, 2016]

16 Standard Term Acknowledgem

ent of Federal

Funding in 

communication

s and 

contracting. 

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

funding when issuing statements, press releases, requests for proposals, bid 

invitations, and other documents describing projects or programs funded in whole or 

in part with Federal funds. Recipients are required to state: (1) the percentage and 

dollar amounts of the total program or project costs financed with Federal funds; and 

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

sources. 

17 Standard Term Acknowledgem

ent 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 
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awarding agency may authorize exceptions where appropriate for programs including 

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

75.475. 

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

include the following statement on all conference materials (including promotional 

materials, agenda, and Internet sites):

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

agreement award number) from SAMHSA. The views expressed in written conference 

materials or publications and by speakers and moderators do not necessarily reflect 

the official policies of the Department of Health and Human Services; nor does 

mention of trade names, commercial practices, or organizations imply endorsement 

by the U.S. Government. 

18 Standard Term Rights in Data 

and 

Publications

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

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

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

Statement. 

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

for which ownership was acquired, under a Federal award. 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. 

19 Standard Term 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 Room 

5527 Washington, DC 20201 

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

MandatoryGranteeDisclosures@oig.hhs.gov 

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

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

CFR parts 180 & 376 and 31 U.S.C. 3321). 
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20 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. 

21 Drug-Free 

Workplace

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

organizations receiving grants from any Federal agency agree to maintain a drug-free 

workplace. By signing the application, the AOR agrees that the grantee will provide a 

drug-free workplace and will comply with the requirement to notify NIH if an 

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. 

22 Standard Term Trafficking 

Victims 

Protection Act 

of 2000 (22 

U.S.C. 

7104(G)), as 

amended, and 

2 C.F.R. PART 

175

The Trafficking Victims Protection Act of 2000 authorizes termination of financial 

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

the recipient or subrecipient engages in certain activities related to trafficking in 

persons. SAMHSA may unilaterally terminate this award, without penalty, if a private 

entity recipient, or a private entity subrecipient, or their employees: 

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

award is in effect; 

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

or,

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

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

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

sec175-15.pdf. 
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23 Standard Term Accessibility 

Provisions

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

programs in compliance with Federal civil rights law. This means that recipients of 

HHS funds must ensure equal access to their programs without regard to a person’s 

race, color, national origin, disability, age, and in some circumstances, sex and 

religion. This includes ensuring your programs are accessible to persons with limited 

English proficiency. 

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/civilrights/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. 

24 Standard Term Confidentiality 

of Alcohol and 

Drug Abuse 

Patient 

Records

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

drug abuse patients obtained by a "program" (42 CFR 2.11), if the program is 

Federally assisted in any manner (42 CFR 2.12b). Accordingly, all project patient 

records are confidential and may be disclosed and used only in accordance with 42 

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

regulations and principles, including responsibility for assuring the security and 

confidentiality of all electronically transmitted patient material. 

25 Standard Term 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. 

26 Standard Term 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/. 
 Page 12

27 Standard Term Federal

Recognition of 

Same-Sex 

Spouses/Marri

ages

On June 26, 2013, in United States v. Windsor, the Supreme Court held that section 3 

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

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

and consistent with HHS policy, SAMHSA recognizes same-sex marriages and samesex spouses on equal terms with opposite sex-marriages and opposite-sex spouses, 

regardless of where the couple resides. 

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

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

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

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

these decisions, you must treat as valid the marriages of same- sex couples. This 

policy does not apply to registered domestic partnerships, civil unions or similar 

formal relationships recognized under state law as something other than a marriage. 

28 Standard Term 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/115thcongress/house-bill/6157/text?format=txt. 

29 Standard Term Executive 

Order 13410: 

Promoting 

Quality and 

Efficient Health 

Care in Federal

Government 

Administered 

or Sponsored 

Health Care 

Programs

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

information technology, transparency regarding health care quality and price, and 

incentives to promote the widespread adoption of health information technology and 

quality of care. Accordingly, all recipients that electronically exchange patient level 

health information to external entities where national standards exist must:

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

system update, acquisition, or implementation, in all relevant information technology 

systems supported, in whole or in part, through this agreement/contract. Please 

consult www.healthit.gov for more information, and

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

authorized by the Office of the National Coordinator for Health Information 

Technology (ONC), or that will be certified during the life of the grant. For additional 

information contact: Jim Kretz, at 240-276-1755 or Jim.Kretz@samhsa.hhs.gov. 

30 Standard Term Audits Non-Federal recipients that expend $750,000 or more in Federal awards during the 

recipient's fiscal year must have a single or program-specific audit conducted for that 

year in accordance with the provisions of 45 CFR §75.501(a). Guidance on 

determining Federal awards expended is provided in 45 CFR §75. 502. 

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

Collections Forms (SF-FAC) electronically to the to the Federal Audit Clearinghouse 

Visit disclaimer page (FAC) within the earlier of 30 days after receipt or nine months 

after the FY’s end of the audit period. The FAC operates on behalf of the OMB. 

For specific questions and information concerning the submission process:

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

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

32 Standard Term 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.