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@illinios.gov

I. Introduction/Definition

  1. The purpose of the grant is to reduce underage drinking and build capacity and infrastructure at the community level. Local communities must adhere to and use the Strategic Prevention Framework (SPF) to address the aforementioned goals. The Framework is to be implemented in the following phases:
    1. assessment
    2. capacity building
    3. the development of a comprehensive strategic plan
    4. implementation of evidence-based programs, practices and policies
    5. evaluation
  2. Cultural competence and sustainability are also at the foundation of the Framework.

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.

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 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

The Provider will procure 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.

  1. The Provider and its coalition will use the Strategic Prevention Framework (SPF) Process. The SPF components are: assessment, capacity building, strategic planning, implementation and evaluation. Cultural competency and sustainability are expected to be included in every component of the framework.
    1. The Provider and its coalition will adhere to the local strategic plan submitted and approved by the Department for the PFS grant. The provider and its coalition will carry out the plan for the implementation and evaluation of at least two evidence-based environmental strategies that address the local priority in a culturally competent and sustainable manner.
    2. The implementation of Department's approved evidence-based environmental programs, practices and/or policies that adhere to the best practive standards and demonstrate reductions for the stated local priority and intervening variables.
    3. The Provider and its coalition will work within their targeted community area.
  2. The Provider shall continue to work in partnership with a community coalition (identified in the proposal submitted in response to the Partnerships for Success support letter to the Governor, April 2009).
    1. The Provider will maintain a Memorandum of Understanding (MOU) with the coalition identified in the proposal submitted in response to the Partnerships for Success participation request.
    2. The Provider will engage the coalition and it sub-committees (if applicable) in developing and/or strengthening its own coalition capacity (leadership, membership, functions, roles and responsibilities, etc.).The coalition shall have multi-sector representation that includes the ten of twelve sectors.  The sector representation need to accounted for on the coalition or its sub-committees. 
      1. Youth (individual 18 years old or younger)
      2. Parents
      3. Business Community (business, chamber of commerce)
      4. Media
      5. School (K-12)
      6. Youth Service Organization
      7. Law enforcement Agency
      8. Religious or fraternal organization
      9. Civic or volunteer Organization
      10. Health Care (hospitals, public health department, clinics)
      11. State, local, or tribal governmental agency with expertise in the field of substance abuse
      12. Other (e.g., concerned resident, judicial, etc.).
    3. The coalition will meet, at minimum, on a quarterly basis.
    4. The coalition will be a reflection of the community's culture (including, but not limited to, race and ethnicity).
    5. If the coalition's mission and vision does not include substance abuse prevention, then a sub-committee or workgroup will need to be formed to provide this focus. The workgroup will adhere to the requirement mentioned above.
    6. The Provider will engage the coalition in the implementation of the work plan, implementation of at least two environmental strategies, and evaluation of activities.
  3. The Provider and its coalition will carry out the work plan approved by the Department to address underage drinking.
    1. The Provider will engage the coalition in the planning for sustaining the targeted priority outcome and proposed evidence-based program, practices and policies beyond FY14.
    2. If the Provider wants to change its approved work plan, the request must be submitted in writing to the Department for approval. The Department will evaluate if the proposed change is justified (i.e., the Provider and its coalition have explored and exhausted all appropriate alternatives to ceasing the strategy and that the proposed strategy is selected based on the community's local assessment and targets the local priority).
      1. The proposed replacement strategy must be in accordance with the guidelines for approved strategies including fitting appropriately into the strategic plan's logic model.
      2. The Provider will also submit any necessary revisions to its budget and budget narrative with the programmatic information.
      3. The provider cannot proceed with the delivery of new services or re-direction of resources until the revision has been approved by the Department in writing.
  4. The implementation plan for Partnerships for Success program will include adherence to the following:
    1. The Provider will assure that prevention activities and services provided 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.
    2. The Provider agrees to, at a minimum, maintain linkage agreements with any program, organization, or agency that delivers or plays a significant role in the interventions (e.g. an organization provides a place for service delivery).
    3. The Provider agrees to maintain documentation related to the implementation of strategies (e.g., sign-in sheets, certificates, products, etc.) and activities of the coalition (e.g. coalition meeting minutes, agendas, coalition rosters, etc.). This documentation is subject to random audits by the Department throughout the fiscal year.
    4. The Provider agrees that any changes required by the Department, or reach by means of Provider and Department negotiations regarding the services, activities, and programs contained in the work plan, will be reflected in a revised local strategic plan and spending plan and spending plan narrative.
    5. Subcontracting of service delivery is prohibited without the prior approval of the Department. The subcontractor, if approved by the Department, shall be subject to all provisions of this Contract. The Provider will retain responsibility for the performance of its subcontractor(s).
  5. The Provider will participate in all mandatory evaluation activities: submit all reports/information in accordance with formats prescribed and by the deadlines established by the Department.
    1. The Provider will report annually the National Outcome Measures (NOMs) relevant to their work plan. The Department must approve all instruments and methods to collect the NOMs.
      1. If the Provider chooses to use a youth survey other than the Illinois Youth Survey, then all IYS requirements are applicable to that survey (i.e., items and the sub-points below).
    2. The Provider will collect all relevant process evaluation information as prescribed by the Department or its contractor. This includes but is not limited to: pre and post tests, sign-in sheets, proof of strategy implementation, satisfaction surveys, training handouts, certificates of participation, etc.
    3. The Provider will report using the POST system.  Reports will be submitted according the guidance provided by the Department and by the established deadlines.
    4. The Provider will complete other reports / forms deemed necessary for documenting implementation of the SPF process, strategies and the work plan.
    5. The Provider will maintain documentation of all grant related activities (e.g., continuing education certificates for trainings attended, power points of presentations to stakeholders, meeting minutes or summaries, etc.). These documents are subject to review by the Department.
    6. The Provider will participate in in-person interviews, phone interviews, site-visits, on-line surveys, paper/pencil surveys, or other data collection activities conducted by the Department or its contractor.
    7. The Provider will assure that the 2012 and 2014 Illinois Youth Survey (IYS) will be conducted in all school buildings that possess 6th, 8th, 10th and 12th grade students within the targeted community area. Exceptions include: magnet schools, parochial schools, alternative schools, and private schools. Coalitions can include exempt schools upon approval by the Department.
    8. The Provider will produce Memorandum of Understanding (MOUs) with all 6th, 8th, 10th and 12th grade school buildings in the targeted community area regarding 2012 and 2014 collection of the Illinois Youth Survey or the Provider's Department approved alternative survey.
      1. The memorandum will contain an agreement from each school's administration that the school's data will be aggregated with other participating local schools to create a community report. This report will not identify the individual school results. If the identity of one school cannot be protected, or the identity of race or ethnic groups, then the data will not be reported as such. This community report will be shared annually with the Provider for use in the assessment and evaluation of the project.
      2. The memorandum will highlight the understanding that each school's data results are provided to the coalition and/or Provider only with the consent of school's administration. The Department's contractor will not supply the Provider or its coalition data for individual schools.
  6. Staff and Equipment Requirements.
    1. The Provider will hire at minimum a .5 FTE who will serve as the Project Coordinator. The Project Coordinator is responsible for the day-to-day operations of the activities associated with the grant. The Project Coordinator's salary will not exceed $50,000 excluding benefits.
    2. The Provider may not use grant funds to support the purchase alcohol, tobacco or related products (e.g. for alcohol compliance checks, drug paraphernalia), clothing for workers within the organization (e.g., tee-shirts, jackets or hats bearing the agency's name / logo), items that advertise the agency (e.g., pens, pencils, water bottles, mugs, tee-shirts, hats, etc.), provide coalition / program incentives, give-always and prizes to the provider's employee or their immediate families.
  7. Training and Technical Assistance.
    1. The Provider will send the Project Coordinator to attend required grantee meetings and or conferences sponsored by the Department or its contractor.
    2. The Provider will participate in required technical assistance opportunities provided by the Department or its contractor.
    3. The Provider may use grant funds to support additional training for the Project Coordinator and / or coalition members' continuing education concerning the components of the Strategic Prevention Framework.

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, as needed.

VIII. Billing Instructions

  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 Provider 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. Only expenditures which are allowed by law shall be included.
    2. Expenditures shall be recorded in the Provider records in such a manner as to establish an audit trail for future verification of appropriate use of Agreement funds.
    3. Expenditures documentation shall be submitted to the Department on a monthly basis, within 15 days after the end of each month.  Expenditure documentation must be submitted in the 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 returned to the Provider for resubmission. Final billings must be received by the 15th day of the month following the end of the Agreement period.
    4. The Provider shall submit expenditure documentation to the following address by one of the following means: 
      1. Mailing Address
        Tom Evering
        100 South Grand - Harris II, 2nd Floor
        Springfield, IL  62762
        Phone: 217-557-2936
      2. Fax
        217-524-2491
      3. Email
        tom.evering@illinois.gov
    5. Funds provided through this grant may not be used to:
      1. Provide inpatient hospital services, except as determined to be medically necessary in accordance with federal guidelines
      2. Make cash payments to intended recipients of health services
      3. Purchase or improve land, purchase, construct, or permanently improve (other than minor remodeling any building or other facility, or purchase major medical equipment.)
      4. Satisfy any requirement for the expenditure of non-federal funds as a condition of receipt of federal funds
      5. Provide individuals with hypodermic needles or syringes so that such individuals may use illegal drugs, unless the Surgeon General of Public Health Services determines that a demonstration needle exchange would be effective in reducing drug abuse and the risk that the public will become infected with the etiologic agent for AIDS. SPF grant money shall be the last resort. The Provider will establish systems (regarding eligibility, billing and collection) to assure that persons entitled to other insurance benefits are reimbursed there from, and the clients pay in accordance wit their ability to pay.
  3. 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 of the total award.
  4. All financial record keeping on the part of the Provider shall be in accordance with generally accepted accounting principles consistently applied.
  5. 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.

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.