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Substance Abuse and Mental Health Services Administration

The website for program general terms and conditions is SAMHSA Grant Management click on “Grants” then “Grant Management”. As with all Federal assistance grants, SAMHSA awards are subject to OMB Uniform Guidance (UG), except as modified by the sponsor specific terms and conditions.

Summary of Standard Terms

Period of Perfomance Extensions

  • Pre-Award costs are not permitted
  • Awards may be extended up to 12 months at no additional cost: provide the following-  
    • Written notification of an extension must be submitted at least 60 days prior to award expiration
    • Identify the remaining goals and discuss why the timeline was not met
    • Provide an estimated balance available to complete those goals
    • Provide revised SF424A budget page and budget justification. Budget should only reflect activities related to completing the remaining goals  
    • Provide in months the additional time needed and give the revised end date
    • Verbal responses from SAMHSA are not binding. If approved a revised NoA will be sent by the sponsor
  • Subsequent extensions follow the same steps stated above    

Personnel Changes

  • Change of any key person named in proposal or award requires prior sponsor approval
  • Disengagement of key staff for 3 months or a reduction of effort devoted to the project by 25% or more requires prior SAMHSA approval
  • Salary on the grant/cooperative agreement is subject to the Executive Level II Salary cap which dictates the maximum salary that may be paid to an individual working on a HHS award

Restrictions on Allowable Costs

  • Participant/trainee support costs are allowable when identified in specific funding opportunities. Individuals on temporary or student visas are not eligible to participate
  • Costs for promotional items and memorabilia, including models, gifts, and souvenirs are unallowable
  • Costs for entertainment (including business meals) are unallowable unless the cost has a programmatic purpose and is authorized either in the approved budget or with prior written approval from SAMHSA
  • Rental costs charged to a project must have prior approval from the GMO
  • Discretionary grant funds may be used for non-cash incentives such as food, prizes and small gifts 
  • See NIH Grants Policy Statement Section 7.9 Allowability of Costs/Activities for a list of selected items of cost that may or may not be included in the cost portion of grants

Post-Award Changes

  • Scope of work – Changes in scope (CIS) require prior SAMHSA approval. A CIS must be supported within the level of grant funds currently awarded. Must submit to the GMO:
    • A detailed discussion of potential impact on the project
    • A revised SF424A and budget justification
    • A HHS checklist
  • Significant Budget Revision – SF424A and a budget narrative are required when:
    • Cumulative transfers among direct cost budget categories for the current budget period exceed 25% of the total approved budget (inclusive of direct, indirect and cost sharing) for that budget period; or $250,000 whichever is less
    • PI needs to re-budget into an unapproved budget line item.  An example would be equipment
  • Cost Sharing - Changes to cost sharing budget requires prior approval.
  • Carry-forward - Termed as “Offset”  
    • To qualify for expanded authority to carryover
      • Carryover is 10% or less of the total federal share of the current budget period (the year in which the funds are needed)
      • Funds cannot be identified as restricted in the NoA terms and conditions  
      • Must be identified on the annual financial report SF425 with a statement in “Remarks” ‘intent to carryover under SAMHSA expanded authority’
      • Submitted within 90 days of budget period end date
    • Carryover request that did not meet expanded authority conditions
      • A justification discussing why there is an unobligated balance, how the funds will be spent, impact on the project should the carryover not be approved and if applicable, how the increased cost sharing will be met
      • A SF425 for the last budget year with the carryover noted in “Remarks”
      • A SF424A budget and budget justification for only the amount requested to be carried forward. This is in addition to the approved budget for the same period
      • HHS Checklist

Equipment/Property

  • HHS considers the unit cost of $5,000 or greater with a useful life of 1 year or longer as capital equipment – an inventory is maintained on all equipment
  • Capital expenditures related to the award are allowable as a direct charge. Prior sponsor approval is required if equipment exceeds $25,000 and was not included in the application
  • Grantees are required to be prudent in the acquisition of property with grant funds and follow UH procedure
  • Equipment is vested with the university   

Travel

  • U.S. carriers are required per the Fly America Act; exceptions may be made for certain airlines and routes under “Open Skies” agreements listed at http://www.gsa.gov/portal/content/103191
  • Travel cost must be consistent with the University’s established travel policy, and the trips must provide direct benefit to the project
  • Generally HHS does not consider travel to be a training related expense, however certain awards may require students to attend off site workshops or conferences

Publications

Acknowledgement/Disclaimer: 

"The project is/was supported by the Substance Abuse and Mental Health Services Administration (SAMHSA) of the U.S. Department of Health and Human Services (HHS) under grant number and title for grant amount (specify grant number, title, total award amount and percentage financed with nongovernmental sources).  This information or content and conclusions are those of the author and should not be construed as the official position or policy of, nor should any endorsements be inferred by SAMHSA, HHS or the U.S. Government.” 

Conferences:

When a conference is funded by a grant or cooperation 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 Serveries; nor does mention of trade names, commercial practices, or organizations imply endorsement by the U.S. Government.”

Subcontracting

Prior approval is required if a sub-recipient was not approved in the proposal budget.     

Reporting

  • Technical reports: all progress reports are submitted to dgmprogressreports@samhsa.hhs.gov , with a copy to the Grant Program Official and the OCG RA
    • Annual, semi-annual or quarterly performance reports are due as specified in each award
    • Final is due within 90 days of expiration
  • Financial reports: all FFR (federal financial reports) are submitted to CSAPFFR@samhsa.gov  by Research Financial Services (RFS) using the SF425
    • Annual FFRs are due within 90 days after the end of the budget period  
    • Final FFRs are due within 90 days after expiration
  • Closeout: tangible property
    • Acquisitions of property with a cost of $5,000 or greater need to be reported using the Tangible Personal Property Report SF SF428 and SF428B
    • Property reports will be prepared and submitted by RFS