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General Grants Management Information

Important Requirements and Provisions

Terms of Award
With the acceptance of a grant or cooperative agreement award from SAMHSA, the grantee has the responsibility to be aware of and comply with the terms and conditions of award. The Notice of Grant Award (NGA) states that:

This award is based on the application submitted to, and as approved by, SAMHSA on the above-titled project and is subject to the terms and conditions incorporated either directly or by reference in the following:

  • The grant program legislation and program regulation cited in this Notice of  Grant Award. 
  • The restrictions on the expenditure of Federal funds in appropriation acts, to the extent those restrictions are pertinent to the award. 
  • 45 CFR Part 74 or 45 CFR Part 92 as applicable.
  • The Grants Policy Directive (GPD) and the Awarding Agency Grants Administration Manual (AAGAM)
  • This award notice including any special terms and conditions.

45 CFR Part 74 and 45 CFR Part 92 (Regulations Governing SAMHSA Grants)

Regulations found at Title 45, Code of Federal Regulations (CFR), Part 74 and Part 92, are the rules and requirements that govern the administration of Department of Health and Human Services (DHHS) grants. 

Part 74 is applicable to all recipients except those covered by Part 92, which governs awards to state and local governments.  

These regulations are a term and condition of award. Grant recipients must be aware of and comply with the regulations. The CFR volume that includes Parts 74 and 92 may be ordered from:

U.S. Government Printing Office Superintendent of Documents

Mail Stop SSOP

Washington, D.C. 20402-9328

The 45 CFR Parts 74 and 92 may also be accessed by internet from DHHS GrantsNet.

U.S. Department of Health & Human Services GrantsNet website

HHS' GrantsNet provides a wide range of information about the grants-management process. Included is an easy-to-use "Electronic Roadmap of Grants" that connects users with web locations of resources.

Grantees can use the DHHS Grants Policy Directive (GPD), which is a compilation of the policies and procedures associated with and relevant to the administration of grant awards. A copy of the PHS Grants Policy Statement is available on that site.

Fiscal and Program Progress Reports

Financial Status Report (FSR):   The FSR must be submitted to the Grants Management Branch (DGM) on an annual basis.  The FSR is submitted on Standard Form (SF) 269 long form as the report of expenditures documenting the financial status of the award, according to the official accounting records of the grantee organization.

Progress Report:  All SAMHSA awards require either quarterly, semi-annually, or  an annual progress report.  The frequency and mailing address are indicated in the terms and conditions of award.  A final progress report must be submitted to DGM within 90 days after the expiration or termination of the project unless otherwise instructed.


Please send reports to the following address:

Division of Grants Management, OPS, SAMHSA
1 Choke Cherry Road, Room 7-1091
Rockville, MD 20857*

* Use zip code 20850 for overnight delivery

Audit Requirements

Audit requirements for Federal award recipients are defined in OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations (revision published June 27, 2003). 

An organization is required to have a non-Federal audit if, during its fiscal year, it expended a total of $500,000 ($300,000 for fiscal years ending before December 31, 2003) or more in Federal awards.  Federal awards are defined in OMB Circular A-133 to include Federal financial assistance and Federal cost reimbursement contracts received both directly from a Federal awarding agency as well as indirectly from a pass-through entity.  

45 CFR 74.26(d) discusses the requirements and available non-federal audit options for Department of Health and Human Service awards. Two audit options are available to commercial organizations.  One option is a financial related audit as defined in the Government Auditing Standards, GPO stock #020-000-00-265-4 (commonly known as the Yellow Book) of all DHHS awards; the second option is an audit that meets the requirements of OMB Circular A-133.  

Commercial organizations that receive annual DHHS awards totaling less than the OMB Circular A-133’s audit requirement threshold are exempt from a non-Federal audit for that year, but must make records available for audit or review as requested by SAMHSA or other designated officials. 

OMB Circular A-133 now requires that all auditees submit a completed data collection form (SF-SAC) in addition to the audit report. For questions concerning the submission process or to obtain a copy of the form, you may call the Federal Audit Clearinghouse (888-222-9907).  

Information can also be found on the Internet at http://harvester.census.gov/sac/. Audit reports for both SAMHSA and other DHHS awards shall be submitted to the Federal Audit Clearinghouse at the address shown below:

 

Federal Audit Clearinghouse

Bureau of the Census

1201 E. 10th Street

Jeffersonville, IN 47132

Public Policy Requirements

Public policy requirements concerning civil rights, handicapped individuals, sex discrimination, and age discrimination require the one-time submission of Assurance Form HHS 690 prior to award.   All subsequent applications must certify that the form (or the previous forms HHS 441, 641, 639-A, and 680) has been filed.  These forms are provided as part of SAMHSA’s application kit and can be downloaded from SAMHSA’s website.

To inquire as to whether your organization has previously filed the HHS 690 or the previous forms, contact the DHHS Office for Civil Rights at (202) 619-0403.

Last updated Jan 30, 2006