Addiction Prevention - Substance Abuse Prevention (SAPP)

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 four types of grant programs, a multi-tiered substance abuse prevention system for the State of Illinois.  The substance abuse prevention system consists of four grant types:  Local Capacity Building, Direct Service, Strategic Prevention Framework and State Capacity Building. 

  • Local Capacity Building Grants provide funds to public and private organizations with little or no experience in delivering substance abuse prevention services.  The Local Capacity Building Grant supports assessment and delivery of prevention services in a defined geographic service area.  Services may target a defined geographic area with emphasis on impacting the environments in which youth, ages 11-18 years old, live.  Strategies target youth, their peers and families.  Emphasis is placed on building local partnerships to implement strategies that change community conditions and increase the community's capacity to sustain effective efforts.
  • Direct Service Grants provide funds to support the delivery of evidence-based substance abuse prevention direct services that target individuals and families in a defined service area.  Direct Services include one or more of the following four core Direct Service approaches:  Youth Prevention Education, Parent/Family Education, Mentoring and Communication Campaign.
  • Strategic Prevention Framework Grants are designed to support the use of the Strategic Prevention Framework (SPF).  The SPF is a structured planning process utilizing a data driven approach developed by the Substance Abuse and Mental Health Association(SAMHSA).
  • State Capacity Building Grants are intended to target unique populations throughout the State of Illinois.  The program supports unique populations in large geographic areas.

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

  1. Local Capacity Building (LCB)
  2. Direct Service (DS)
  3. Strategic Prevention Framework (SPF)
  4. State Capacity Building (SCB)

All terms and conditions as stated in this document are relevant to all four Substance Abuse Prevention Programs; Local Capacity Building, Direct Service, Strategic Prevention Framework, and State Capacity Building unless otherwise noted.

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. Exhibit E, containing Performance Measures
  7. Exhibit F, containing Performance Standards
  8. Exhibit G, containing State Agency Contracts
  9. Attachment E
  10. 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 the 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 may be inclusive one of more of the following 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), in accoredance with the requirements for Sub-Grants A, B and C and in your approved budget (Sub-Grant D), allocation and a designated service area according to the grant type and as outlined in the approved proposal 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. Maintain process evaluation data related to the delivery of services that verifies information reported through reports as established by the Substance Abuse Prevention Program (SAPP).
    2. 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.
    3. Participate collaboratively in other substance abuse prevention programming where applicable; e.g. tobacco inspections.
    4. Agrees (at a minimum) to have linkage agreements with:
      1. any programs, organization, or agencies outlined in your proposal
      2. Treatment Service Providers and Other Social Service Organizations agrees to refer program recipients, when needed.
    5. 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 and the Substance Abuse and Mental Health Services Administration (SAMHSA)".
    6. Participate in outcome evaluation services provided by the SAPP  or its designated contractor.
  6. Reporting Requirements - The Provider will submit the following reports to the Bureau and to other parties as designated by the Bureau:
    1. SAPP Web-based Reporting System:  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 proposal should report information.  Data will be reported to the SAPP by means of a web-based reporting system, no later than the 30th 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 30th day. The Bureau will supply all necessary report forms and instructions. Copies of reports should be submitted to all parties as identified by the Department. 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 Family and Community Services will provide written notification to the Provider that such delay, suspension or termination is imminent.
    3. Services & Deliverables
      1. A work plan must be submitted by the date specified in writing by the Bureau for the approved service area.
      2. A budget and budget narrative must be submitted by the date specified in writing by the Bureau. The budget narrative identifies how the services will be financed, through the identification of specific budget items and funding sources.
      3. Performance Reports:  The Provider will submit reports in a format determined by the Department or its contractor, due to the Department by the established deadline.  Providers also must submit other information in response to reports submitted.  The information must be submitted in a format established by the Department and to those contractors identified by the Department.
  7. Training Requirements
    1. The Provider will make available to the full time equivalents assigned to the grant staff development and continuing education concerning its prevention services and activities.
    2. The Provider agrees to send full time equivalents assigned to the grant to 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.
    3. Program staff who are assigned to the grant must complete required trainings as identified by the Department within time frames established by the Department. 

Subcontractors

  1. Subcontractor Agreements must be pre-approved by the Department.
  2. Any subcontractors shall be subject to all provisions of this Agreement.
  3. The Providers shall retain sole responsibility for the performance of the subcontractor.

VI. Department Responsibilities

The Department will respond to the needs of the Provider as required within the full scope of the Agreement.  The Department will provide technical assistance and monitoring for all programs operated under the Division of Family and Community Services.

VII. Support Services

Utilization of Community Resources - It shall be the responsibility of funded-staff to coordinate the services provided through the project with other sources of care in the community, such as:

  1. Local health departments
  2. Local hospitals
  3. Local law enforcement agencies
  4. Local schools and colleges
  5. Other related health and social service agencies

Please refer to 77 Ill. Adm. Code 630.160 and 630.170; Other Applicable Rules; and to the program-specific Exhibits for additional requirements.

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 Family and Community Services. Expenditures must be received by the Provider no later than the 15th day of the month following the month of service. Expenditures received without proper documentation will be retured to the Provider for resubmission. Final billing must be received by the 15th day of the month following the end of the Agreement period. 
  4. The Provider shall submit expenditure documentation by one of the following means:
    1. Mailing Address
      Charlotte Heberling
      100 South Grand Ave., East, 2nd floor
      Springfield, IL 62701
      Phone:  217-524-5835
    2. Fax
      217-524-2491
    3. Email
      charlotte.heberling@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 (pdf)

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.