Please direct all program related information and questions to:

Kim Fornero
401 South Clinton, 4th Floor
Chicago, IL  60607
Phone:  312-793-1628
Fax:  312-793-4666
Email:  Kim.Fornero@illinois.gov

I. Introduction/Definition

The Substance Abuse Prevention Program (SAPP) provides resources to support two types of grant programs that comprise a two-tier substance abuse prevention system for the State of Illinois.

Comprehensive grant programs provide funds to public and private organizations to deliver direct services in a defined geographic service area. Services may target the community at large, with emphasis on impacting the environments in which youth age 10 to 17 years old live. Evidence-based approaches that target youth, their peers, families, school environment, and community are implemented. Emphasis is placed on building local partnerships to implement environmental approaches that change community norms and policies and increase the community's capacity to sustain effective efforts.

Statewide Programs are intended to support the overall prevention system and enhance projects that will impact and be accessible to all citizens.

The services to be provided under the Addiction Prevention program will be identified by and referred to by the following titles:

  1. Addiction Prevention Comprehensive
  2. Addiction Prevention Statewide

II. Policies & Procedures

Statutes/Rules

The Provider will provide the following services and agrees to act in accordance with all state and federal statutes and administrative rules applicable to the provision of services pursuant to this Agreement.

Federal

  1. Block Grant Regarding Mental Health and Substance Abuse, 42 U.S. Code
  2. Substance Abuse Prevention and Treatment Block Grant (SAPT) 45 CFR Part 96
  3. Charitable Choice:  Providers that qualify as "religious organizations" under 42 CFR 54.2(b), shall comply with the Charitable Choice Regulations as set forth in 42 CFR 54.1 et seq. with regard to funds provided directly to pay for substance abuse prevention and treatment services under 42 U.S. Code 300x-21 et seq.; 42 U.S. Code 290aa, et seq.; and 42 U.S. Code 290cc-21 to 290cc-35.
  4. The Provider shall not in providing program services or engaging in outreach activities, discriminate against a client or potential client on the basis of religion, a religious belief, or a refusal to actively participate in a religious practice.
  5. The Provider shall not use funds provided hereunder for inherently religious activities, such as worship, religious instruction or proselytization.

Prohibited Expenditures

Award funds, with the exception of State General Revenue Funds associated with approved Pooled Loan Agreement, may not be used:

  1. To provide inpatient hospital services, except as determined to be medically necessary in accordance with federal guidelines;
  2. To make cash payments to intended recipients of health services except in the case of program outcome evaluations;
  3. To purchase or improve land, purchase, construct, or permanently improve (other than minor remodeling) any building or other facility, or purchase major medical equipment;
  4. To satisfy any requirement for the expenditure of non-Federal funds as a condition for the receipt of Federal funds without prior approval;
  5. To provide individuals with hypodermic needles or syringes so that such individuals may use illegal drugs, unless the Surgeon General of the Public Health Service determines that a demonstration needle exchange program would be effective in reducing drug abuse and the risk that the public will become infected with the etiologic agent for AIDS;
  6. To provide financial assistance to any entity other than a public or non-profit private entity;
  7. To expend more than the amount prescribed by Section 1931 (a)(3) of the PHS Act for the provision of treatment services in penal or correction institutions of the State.

III. Contract and Amendment Process

Contract Process

The contract between the Department and the Provider is generally referred to as the Agreement and consists of several parts:

  1. Community Service Agreement, containing the standard contract language used for all Department contracts
  2. Exhibit A, containing Scope of Services/Purpose of Grant
  3. Exhibit B, containing Deliverables
  4. Exhibit C, containing Payment Information
  5. Exhibit D, containing Contact Information
  6. Attachment E
  7. The Program Manual, attached by reference to the Agreement, contains the program service provisions.

The Department will initiate the contract by having it online for the Provider to obtain and sign.  The Provider will fax signature page to the Department to obtain the Secretary's signature and the Department will return a copy of the executed signature page of the contract to the Provider via pdf email.

Amendment Process

There are two types of amendments to an executed Community Service Agreement.

  1. Letters of increase or decrease 

    A letter is sent to the Provider stating the intent to increase or decrease dollars to specific program services existing in the Community Service Agreement. There is no need for the Provider to sign and return this document.

  2. Formal amendments

    A two-party signed agreement to an executed Agreement is a formal amendment. The following process is required for a formal amendment to be processed:

    1. Adding new program services - An amendment to add a new program service must contain a detailed summary of services to be provided under the executed Community Services Agreement and a method of payment.
    2. Extending the service dates of the Community Services Agreement* - An amendment to extend the service dates of the Community Services Agreement must contain the following information:  Agreement number as it appears on the original Community Services Agreement; Provider name; clause stating the new term of the Agreement; signatures of the Provider and the Secretary of the Department of Human Services

      *NOTE: A Community Services Agreement end date should be June 30, due to mandates in the State Finance Act regarding audit period. Language on pages one through nine in the Community Services Agreement may not be changed.

    3. Extending the service dates of an existing program attachment - An amendment to extend the date of a specific attachment in the existing Community Services Agreement must contain the following information:  -Agreement number as it appears on the original Community Services Agreement; Provider name; clause stating the new term and the specific attachment name and number; signatures of the Provider and the Secretary of the Department of Human Services
    4. Changing language within an existing program attachment - An amendment to change language in an existing program attachment of the Community Services Agreement must contain the following information:  -Agreement number as it appears on the Community Services Agreement; Provider name; clause(s) stating the new language; signatures of the Provider and the Secretary of the Department of Human Services

IV. Deliverables/Costs/Payment

  1. Payments to the Provider will be made on a prospective basis, rounded to the nearest $100.00. The final prospective payment may be greater or lesser than the previous payments due to rounding.
  2. The Department will compare the amount of the prospective payments made to date with the documented expenditures provided to the Department by the Provider. In the event the documented services provided by the Provider do not justify the level of award being provided to the Provider, future payments may be withheld or reduced until such time as the services documentation provided by the Provider equals the amounts previously provided to the Provider. Failure of the Provider to provide timely documentation may result in a reduction to the total award.
  3. The final payment from the Department under this Agreement shall be made upon the Department's determination that all requirements under this Agreement have been completed, which determination shall not be unreasonably withheld. Such final payment will be subject to adjustment after the completion of a review of the Provider's records as provided in the Agreement.

V. Provider Responsibilities

  1. The Provider will provide alcohol, tobacco and other drug (ATOD) abuse prevention services in accordance with the conditions and terms set forth herein. Services and activities shall be directed to the five prevention strategies: information, education, community-based process, alternatives, and environmental process.
  2. The funding provided through this grant shall be used to support the designated full time equivalent (FTE) allocation, service hours, and service area according to the grant type and as outlined in the approved work plan or as negotiated between the Department and Provider.
  3. The State must give priority to prevention programs for at-risk populations. If the Provider has prevention programs for such a priority population, the Provider will develop and maintain community based strategies for the prevention of such abuse, including strategies to discourage the use of alcohol beverages and tobacco products by individuals to whom it is unlawful to sell or distribute such beverages or products.
  4. Background checks are required for all program staff and volunteers who have one-on-one contact with children and youth. Funded programs are required to have a written protocol on file requiring background checks, as well as evidence of their completion.
  5. In administering the programs, services, and activities funded hereunder, the Provider shall:
    1. Develop and implement an evidence/outcome-based work plan(s) utilizing the model established by the Substance Abuse Prevention Program (SAPP).
    2. Maintain process evaluation data related to the evidence-based portion of the work plan that verifies information reported through reports as established by the Substance Abuse Prevention Program (SAPP).
    3. Assure that prevention activities and program services provided by the Provider convey a clear message promoting no use of alcohol, tobacco and other drugs by minors, and no illegal use of drugs by adults, rather than limited or allowable usage.
    4. Participate collaboratively in other substance abuse prevention programming where applicable; e.g. school/community collaborative efforts, tobacco inspections, youth surveys, ATOD focused media campaigns.
    5. Agrees (at a minimum) to have linkage agreements with:
      1. any program, organization, or agency that is part of the evidence/outcome based work plan section
      2. Treatment Service Providers

        Agrees to refer program recipients, when needed.

        "Diagnosis" is defined as any reference to an individual's alcohol or drug abuse or to a condition which is identified as having been caused by that abuse which is made for the purpose of treatment or referral for treatment (42 CFR 2.11).

    6. Lastly, in service areas of the State where two or more SAPP funded Comprehensive community-based providers delivering services, those Providers will maintain linkage agreements outlining how the duplication of service will be avoided.
    7. Agrees to maintain program file documentation which verifies delivery of services as outlined in the work plan.
    8. Agree to include in all publications, announcements, reports, flyers, brochures, and all other printed materials, the phrase "funding provided in whole or in part by the Illinois Department of Human Services". Exceptions to this requirement must be requested in writing to the Department and will be considered only upon written notice to the Provider.
    9. Participate in outcome evaluation services provided by the SAPP designated contractor, if your evidence-based program has been identified for these services.
  6. Background checks are required for all program staff and volunteers who have one-on-one contact with children and youth.  Funded programs are required to have a written protocol on file requiring background checks, as well as evidence of their completion.
  7. Reporting Requirements

    The Provider will submit the following reports to the Bureau and to other parties as designated by the Bureau:

    1. On Track

      The Provider will collect and report service tracking data as required by SAPP.  Only prevention staff (in alignment with the number of FTEs) delivering direct services outlined in the approved work plan should report information.  On Track data will be reported to the SAPP by means of a web-based reporting system and On Track Service Delivery report form, no later than the 25th calendar day of the month following the service quarter being reported. If that calendar day falls on a weekend or holiday, the report will be due the work day immediately preceding the 25th day. The Bureau will supply all necessary hard copy report forms and instructions. Copies of reports should be submitted to all parties specified on an annual basis. Written notice will be given regarding any required training on this reporting system.

    2. The Bureau may conduct random audits to determine the accuracy of the data provided by the Provider. The Provider must be able to verify any request concerning data reported. The Department may delay, suspend, or terminate funding immediately without prior notice if the Provider produces late or substandard reports. The Division of Community Health and Prevention will provide written notification to the Provider that such delay, suspension or termination is imminent.
    3. Program Plan & Deliverables
      1. A spending plan and spending plan narrative must be submitted by the date specified in writing from the Bureau. The spending plan identifies how the services will be financed, through the identification of specific budget items and funding sources.
      2. An annual work plan (program plan) for the assigned service areas must be submitted in the format and deadlines established by the Bureau.
      3. Annual Performance Reports 

        The Provider will submit a Mid-Year report by January 25 and an annual Progress Report by July 25 in a format determined by the Department or its contractor, due to the Department by the established deadline.  The Mid-Year report covers the time period of July 1 through December 31 and the annual report covers the time period of July 1 through June 30.  Providers also must submit a Program Improvement Worksheet for those programs in Level 1 of the approved work plan that received a rating of Satisfactory, Needs Improvement or Unsatifactory by October 25.  The information must be submitted in a format established by the Department and to those contractors identified by the Department.

  8. Training Requirements
    1. The Provider will make available to employee's staff development and continuing education concerning its prevention services and activities.
    2. The Provider agrees to send a minimum of one staff representative per program grant to attend the following required meetings sponsored by the Department's training contractor:
      1. Any mandated regional and/or statewide meetings established for all funded community-based prevention agencies,
      2. The Division of Community Health and Prevention's Annual Conference, or any event designated as a replacement for an annual conference (e.g. regional trainings).
    3. Program staff who report direct service hours on the Comprehensive Grant Program must complete Level 1 Prevention Basics University within one year of their employment date.
    4. Program staff who report direct service hours on the Comprehensive Grant Program must complete Level 1 Prevention Basics University on or after July 1, 2008 must complete Level 2 Prevention Basics University during their second year of employment.

VI. Department Responsibilities

The Department will respond to the needs of the Provider as required within the full scope of the Agreement.

VII. Support Services

Participate collaboratively in other substance abuse prevention programming where applicable; e.g. school/community collaborative efforts (Teen Reach, Title V), tobacco inspections, youth surveys, ATOD focused media campaigns and with other community sectors, institutions in your defined geographic area (law enforcement agencies, treatment centers, public health departments, etc.) as needed.

VIII. Billing Instructions

Providers shall use the following methodology to document the use of these funds:

  1. The Provider shall provide summary documentation by line item of actual expenditures incurred for the purchase of goods and services necessary for conducting program activities. The Provider shall use generally accepted accounting practices to record expenditures and revenues as outlined in DHS Rule 509, Fiscal Administrative Recordkeeping and Requirements. 
  2. Expenditures shall be recorded in the Provider's records in such a manner as to establish an audit trail for future verification of appropriate use of Agreement funds.
  3. Expenditure documentation shall be submitted, in a format defined by the Division of Community Health and Prevention, to the Department on a quarterly basis, within 30 days after the end of each calendar quarter. However, the Provider shall have the option to report monthly. 
  4. The Provider shall submit expenditure documentation by one of the following means:
    1. Mailing Address
      Mary Gorman
      815-823 East Monroe Street
      Springfield, IL 62701
      Phone:  217-557-2932
    2. Fax
      217-524-3603
    3. Email
      mary.gorman@illinois.gov
  5. All financial record keeping on the part of the Provider shall be in accordance with generally accepted accounting principles consistently applied.

Expenditure Documentation Form Instructions

Expenditure Documentation Form

IX. Program Monitoring

The service Provider, sub-grantee and fiscal agent will make available to the Secretary of the Department of Human Services or the Secretary's designee, access to data, records and all facilities in which service or administrative operations are performed to ensure compliance with the terms and conditions of the Agreement.

X. Program Budget

Providers agree to establish and utilize a budget approved by the Provider's Board of Directors.

XI. Appendices/Forms

Not applicable.