850 Comprehensive Class Member Transition Program (24-444-22-2211-01)

Summary Information

Awarding Agency Name Illinois Department of Human Services
Awarding Division Name Division of Mental Health
Agency Contact Barb Roberson  DHS.DMHGrantApp@illinois.gov
Announcement Type Non-Competitive/Renewal
Funding Opportunity Title 850 Comprehensive Class Member Transition Program
Funding Opportunity Number 24- 444-22-2211
Application Posting Date February 24, 2023
Application Closing Date March 27, 2023, 12:00 PM Central Time
Catalog of State Financial Assistance (CSFA) Number 444-22-2211
Catalog of State Financial Assistance (CSFA) Popular Name 850 Comprehensive Class Member Transition Program
Catalog of Federal Domestic Assistance (CFDA) Number(s) NA
Estimated Total Program Funding

$29,522,335 (Colbert)

$20,535,037 (Williams)

Definitions

  • "Grantee" - An entity which receives a grant.
  • "Subgrantee"- An entity who has a Subgrantee relationship with the Grantee for this grant.
  • "Health Care Services" - Person-centered, holistic services necessary for pre- and post-transition services, including but not limited to behavioral/mental health care, physical/medical care, substance use treatment, and peer support.
  • "Williams Class" - All Illinois residents who are 18 years old or older and who: (a) have a mental illness; and (b) are institutionalized in a privately-owned Institution for Mental Disease (IMD)/ Specialized Mental Health Rehabilitation Facility (SMHRF).
  • "Colbert Class" - All Medicaid-eligible adults with physical and/or mental health disabilities, who are being, or may in the future be, unnecessarily confined to Nursing Facilities (NF) located in Cook County, Illinois, and who with appropriate supports and services may be able to live in a Community-Based Setting.
  • "Class Member" (CM) - Individuals who meet the requirements to be either a Williams Class Member or Colbert Class Member (see "Williams Class" and "Colbert Class" definitions above).
  • "Existing Class Members" - Individuals who are current, post 60-day SMHRF/NF residents.
  • "New Class Members" - Individuals who are newly admitted residents to a SMHRF/NF within previous 60 days.
  • "Community-Based Setting" - The most integrated setting appropriate to promote a Class Member's independence in daily living and ability to interact with persons without disabilities to the fullest extent possible.
  • "Permanent Supportive Housing" (PSH) - Integrated permanent housing, with tenancy rights, linked with flexible Community-Based Services that are available to consumers when they need them, but are not mandated as a condition of tenancy. Includes scattered-site housing (section 811, subsidized units, etc.), apartments clustered in a single building, supported/supervised residential, and supportive living settings.

Scope of Services

Under the Comprehensive Class Member Transition Program, Grantees will be responsible for providing oversight and care management during the entire process of transitioning Class Members to Community-Based Settings, including ensuring adequate supports are in place post-transition for the Class Member to safely and successfully remain in the community. The Grantees will be responsible and accountable for the entirety of the transition process for Class Members from Outreach through Transition and beyond. The transition process should be seamless to Class Members, with limited handoffs, and safe.

Grantees will be responsible for coordinating the necessary resources, building organizational capacity, entering into partnerships with subgrantees, if needed, and developing efficient processes to mitigate unnecessary delays and effectuate safe transitions for Class Members. Under the Program, Grantees are required to provide a broad array of services/activities and supports that are essential to timely and efficiently facilitating a Class Member's move from the Nursing Facilities (NFs) or Specialized Mental Health Rehabilitation Facilities (SMHRFs) to the community. Grantees may either directly provide all activities, services, and supports, or utilize subgrantee relationships, either in whole or in part, but Grantees will remain entirely responsible for ensuring all activities, services, and supports are provided in a seamless manner. These transitional activities complement the treatment support and services that Class Members will be provided to move toward individual recovery and to live successfully in the community.

Transition Services and the ancillary services outlined under this grant are the means to ensure that all efforts necessary to facilitate transitions to the community occur and that they occur under a vision of unified and/or coordinated attention. While subgrantee relationships are permitted under this grant, to ensure seamless service delivery, grantees may not utilize subgrantees to deliver the Outreach, Assessment, or Care Management components of the transition process. Grantees may elect to use subgrantee relationships to support housing location/transition coordination, SOAR, or integrated health care services. The services that Grantees will be required to deliver under this grant include, but are not limited to, the following:

Primary Services:

  • Outreach to all Class Members still residing in assigned Nursing Facilities (NFs) or Specialized Mental Health Rehabilitation Facilities (SMHRFs) to inform them of their rights to seek transition services under both the Williams and Colbert Consent Decrees;
  • Care Manager Assessments of Class Members to determine appropriateness for transition to a Community-Based Setting based on Consent Decrees' mandates;
  • Care Management, including developing Comprehensive Service Plans based on the Assessment and coordinating all care and services at each step of the process for Class Members transitioning to the community;
  • Transition coordination, including:
    • Provision of transition-related services to Class Members still residing in SMHRF/NF as identified in their Comprehensive Service Plan, including but not limited to skill building for Activities of Daily Living and treatment interventions (i.e. substance use, trauma, individual therapy treatments);
    • The ability to interface with landlords and/or property management entities who may have potential rental properties available;
    • Conducting preliminary visits across vast geographic areas as a means of scouting appropriate rental units;
    • Travel to a NF or SMHRF and transport of Class Members as they navigate housing searches;
    • Accompanying Class Members as they make decisions to purchase household needs;
    • Facilitating moving furniture and setting up the household are all necessary and functional resource requirements to make the transition from the NFs or SMHRFs possible;
    • Ensuring continuity of Health Care/Services and medical appointments; and
    • Timely transfer of benefits/entitlements, accompanying Class Members to the Social Security Administration (SSA) to change payee status and Local Offices to activate Medicaid.

Ancillary Services:

  • SSI/SSDI Outreach Access and Recovery (SOAR);
  • Integrated Healthcare (including nursing care and occupational therapy);
  • Transition Assistance Fund availability and administration;
  • Transition Flexible Fund availability and administration; and
  • Medicaid Spenddown buy-in capability for Class Members with a Spenddown.

Capacity & Quality Assurance Services:

  • Care management staff to serve as a liaison to IDHS to monitor and report quality of care and outcomes.
  • Secure adequate service capacity to support safe and successful Class Member transitions and tenure in the community, by any means appropriate, including, but not limited to staff retention bonuses/incentives.
  • Use of grant funds to cover costs not covered by Medicaid to create new or expand existing ACT or CST teams for Class Members requiring these levels of care, or to develop partnerships to deliver these services to Class Members; this includes start-up costs for these Medicaid-billable services.

Services That Are Not Delivered, But Still Must Be Coordinated Under the Grant:

There are multiple support services that are funded outside of this grant but may be necessary for Class Member transitions and community living. Grantees will be responsible for coordinating delivery of any such services to Class Members. The potential services that grantees will be expected to coordinate but which are not covered under this grant include, but are not limited to, the following:

  • Medicaid-billable services, including, but not limited to:
    • Case management transition and linkage activities, case management mental health, ACT, CST, etc. (as appropriate for class members with serious mental illness);
    • Medical or behavioral health care, including primary care;
    • In-home waiver services;
    • Employment services and supports; and/or
    • Substance use waiver services.

Regardless of the funding source for the multiple supports necessary for Class Member success, Grantees will provide care management and coordination for the full array of complementary services provided to the Class Member.

Deliverables-Performance Requirements:

Outreach Deliverables

Outreach services are required to educate and inform each Class Member of their rights under the Williams and/or Colbert Consent Decrees and the opportunities and resources available to them should they explore transition to a Community-Based Setting. IDHS prefers that Outreach be delivered by peers, that is, individuals with lived recovery experience and/or individuals who have successfully transitioned from a SMHRF or NF to a Community-Based Setting. The Grantee will deliver the following Outreach services:

  1. Maintain a full array of Outreach staff-preferably peers, that is, individuals with lived recovery experience and/or individuals who have successfully transitioned from a SMHRF or NF to a Community-Based Setting.
  2. Schedule and hold at least one initial, individual meeting with each consenting resident of the assigned Nursing Facilities (NFs) or Specialized Mental Health Rehabilitation Facilities (SMHRFs) to: (1) Provide literature and brochures on integrated Community-Based living options and support services; (2) Show videos about prior SMHRF/NF residents who have successfully transitioned into the community; and (3) Identify relevant services and supports available to the Class Member to encourage the Class Member to explore community-based settings and transition options and to ensure safe and successful transitions. Repeat meetings will be held if requested by the Class Member, as often as desired.
  3. Provide information to residents of NFs or SMHRFs, and their family members or guardians, on the array of services and supports, by providing a list of available services, and defining and explaining terms such as (but not limited to) ACT, CST, medication administering and monitoring, representative payee services, supportive employment, adaptive equipment, housing modification, peer support, physical wellness, and Psycho-Social Rehabilitation.
  4. Build rapport with facility staff to facilitate Class Member access and engagement.
  5. Take Class Members into the community to observe different settings, such as housing options or Drop-In Centers, as appropriate.
  6. At least annually (once every twelve months), re-engage Class Members who decline outreach or consent to participate, or who were found appropriate for transition but declined to move forward with transition.
  7. Convene quarterly resident advisory council meetings, community meetings and/or community forums in the NFs or SMHRFs to share information on transition options with larger audiences.
  8. For those Class Members who express an interest in transition, complete the IDHS-prescribed Brief Screening Tool to determine if the Class Member is appropriate for further assessment for transition.
  9. For those Class Members who are appropriate for transition as determined by the IDHS-prescribed Brief Screening Tool, provide a warm hand-off to the assigned Care Manager for further assessment and service plan development.

Care Management & Assessment Deliverables

Any Class Member who consents to participate in the transition process during Outreach will be screened using a Brief Screening Tool to determine their appropriateness for transition. They will then be connected to a Care Manager for a further Assessment and Service Plan development. Assessments are thorough clinical and functional assessments of a Class Member's appropriateness for transition to a Community-Based Setting.

Care Management staff complete Initial Assessments once a Class Member has agreed to explore transition. In addition, all Class Members must be offered the opportunity for an Assessment or have an updated Assessment completed annually if the Class Member still resides in the NF or SMHRF. Class Members may also request additional Assessments up to four times each year (quarterly).

In conjunction with the Assessment, Care Management staff also complete a Comprehensive Service Plan with each Class Member. Care Management staff coordinate the care and services at each step of the process for Class Members transitioning to the community. Care Management staff must demonstrate leadership and accountability in managing a Class Member's transition. This includes but is not limited to being able to navigate changes at the system or individual level, the ability to clearly communicate with the interdisciplinary team, Class Member, supports and providers, and the ability to advocate for Class Members and resolve conflicts. Care Management staff must engage in ongoing learning and professional development and seek appropriate certifications as needed.

The Grantee will ensure the availability (including through existing staff or through hiring) of a full complement of licensed, clinical professionals to conduct (i) sufficient initial Assessments to achieve overall transition targets, (ii) required annual Assessments/Re-Assessments of previously evaluated Class Members residing in the SMHRFs/NFs served by Grantee, (iii) quarterly Assessments upon request, (iv) service planning, and (v) all other Care Management tasks.

Care Management and Assessment activities include, but are not limited to, the following:

Care Management Staffing

  1. Maintain a full array of Care Management staff with a master's degree in Counseling, Social Work, Psychology, or other highly related field, supervised by an LPHA, RN or OT with oversight of the Care Manager's work.
  2. Ensure staff participate in hosted/scheduled training sessions, webinars, and/or teleconferences.
  3. Care Management staff supervisors are responsible for ensuring quality assurance of the Care Manager's work, including Assessment and Service Plans.

Assessment

  1. Approach Williams and Colbert Class Members to obtain consent to conduct Assessments and Service Plans through warm hand-offs from Outreach staff.
  2. Complete medical record reviews of Williams and Colbert Class Members for Assessments.
  3. Conduct and complete strengths-based Assessments of consenting Class Members (initially, annually, and/or quarterly upon request), using a tool approved by IDHS.

Comprehensive Service Plans

  1. Development of Comprehensive Service Plans. These plans must be developed and updated at specific intervals and submitted to appropriate IDHS contacts per the service plan reporting procedures:

    1. Initial Service Plans must be completed within 45 days of the initiation of an initial Assessment. A Service Plan is required whether or not the Class Member is recommended for transition, unless the Class Member declines to continue involvement with the program;
    2. Service Plan updates are required every 180 days to identify and address any changes in the Class Member's clinical, medical or behavioral status, change in Class Member preferences and desires and any other updates related to the Class Member's transition to the Community; and
    3. A Transition Service Plan is required prior to transition to a Community-Based Setting to encompass the services and supports that will be necessary for the Class Member to successfully transition and maintain tenure in the Community. Transition Service Plan must be completed and submitted to IDHS within the 14 days prior to the Class Member's move.
  2. The Comprehensive Service Plan must be person-centered, and focus on the Class Member's needs, desires and preferences. Service Plans must be based on input from both the Class Member, SMHRF/NF staff, family, and guardians as appropriate, and others involved in either the care or support network of the Class Member or as requested by the Class Member. Documentation of the involvement of these individuals must be clearly documented in the Service Plan and be accompanied by signatures where possible.
  3. Content of Comprehensive Service Plans: Comprehensive Service Plans and updates must be based on the clinical outcomes identified in the Care Manager's Assessment, and contain information documenting the specific service, support and education needs of the Class Member necessary to prepare the Class Member for transition to a Community-Based Setting. In addition, if the Class Member was not recommended for transition, the Service Plan must identify the reasons transition was not recommended and provide clear and identifiable steps for the Class Member to work on towards successful transition.
  4. Comprehensive Service Plans and Service Plan Updates must be completed using IDHS-prescribed tools.

Implementation of Comprehensive Service Plans

  1. Care Management staff are responsible for monitoring the implementation of Class Member Comprehensive Service Plans. This requires continuous assessment of the effectiveness of the Service Plan as well as the Class Member's status, needs and preferences, to ensure changes are made where necessary to benefit the Class Member.
  2. Implementation of the Comprehensive Service Plan requires Care Management staff ensure the completion of the following activities:
    1. Coach and Educate the Class Member in areas identified in the Service Plan.
    2. Collaborate with the Class Member, the interdisciplinary team, provider, health plan, and other supports to ensure the Service Plan is being appropriately followed.
    3. Advocate for the Class Member to help overcome any barriers to services.
  3. Care Management staff and other appropriate staff, including the RN, must participate in required pre- and post-transition clinical review calls for Class Members identified as high-risk.

Transition

  1. Prior to a Class Member's transition from a SMHRF/NF, the Care Management staff must ensure the Service Plan, Risk Assessment and Mitigation Strategy needs for the Class Member have been appropriately provided/addressed with the Class Member and with collateral input.

Post-Transition Care Management

  1. Care Management staff continue to be responsible for Class Members after they transition to community-based settings. This transition through monitoring multiple aspects of the transition, Health Services, and supports as detailed and planned in the individual's Comprehensive Service Plan (inclusive of Health Services and supports beyond just mental health services). Monitoring is expected to include in-person visits. The minimum monitoring schedule is as follows (more frequent visits may be required based on Class Member needs):
    1. At least weekly for four (4) weeks from initial transition;
    2. At least monthly for the remaining seventeen (17) months post-transition.
  2. Care Management staff must document post-transition monitoring of the transition, Health Services and supports received by Class Members, as well as the quality of the Health Services. Monitoring is to be conducted by:
    1. Attendance at holistic Health Service planning meetings (care planning, discharge planning), including Health Service team meetings;
    2. Review of clinical record documentation; and
    3. Through direct interview and observation of the Class Members in their living environment or other chosen location.

Reportable Incident Reports

  1. Care Management staff are responsible for submitting Reportable Incident Reports, to identify and report on adverse incidents involving Class Members post-transition. The reporting requirements are as follows (see Reportable Incident Report documentation for definitions):
    1. Level I Incidents: Level I, or "Critical" incidents, must be reported within 24 hours;
    2. Level II Incidents: Level II, or "Serious" incidents, must be reported within 48 hours; and
    3. Level III Incidents: Level III, or "Significant" incidents, must be reported within 72 hours.

Care Management staff must submit Reportable Incident Reports to the appropriate contacts per the Incident Reporting Procedures. Additionally, Care Management staff and other appropriate staff, including the RN, must participate in clinical review calls to discuss all such reports.

SSI/SSDI Outreach, Access, and Recovery (SOAR) Deliverables

Most Class Members rely on SSI/SSDI benefits for income to maintain their community tenure. As such, it is imperative that Class Members are provided resources for SSI/SSDI applications to increase the likelihood of eligibility approval. SOAR (SSI/SSDI Outreach, Access, and Recovery) is a SAMHSA evidence-based model for facilitating Social Security applications, and Grantees are expected to implement this model. Each Grantee will designate Social Security Specialists (SSS) through hiring or redistribution of staffing, who will facilitate full activities of Social Security benefits applications.

The Grantee will:

  1. Hire and maintain SSS staff who have a bachelor's degree or who are certified as a Certified Recovery Support Specialist (CRSS) or Certified Peer Recovery Specialist (CPRS).
  2. All SSS staff must complete SOAR training through the SAMHSA National SOAR TA Center within 40 days of full execution of the grant agreement or individual hire date, whichever is later.
  3. All SSS staff will be required to participate in a monthly statewide learning collaborative to share ideas and successful strategies with other SOAR providers.
  4. Determine the exact caseload volume for each SSS, using the formula of an estimated 40 hours for completion of one SSA application. At a minimum, each SSS will have no less than a caseload of 5-7 cases.
  5. SSS staff must complete Social Security disability benefit applications which include all the key components of the SOAR model for all consenting Class Members who do not have income and track these applications and their outcomes using the national SOAR Online Application Tracking system.
  6. SSS staff should also provide support to Class Members who have existing Social Security applications pending, including incorporating elements of the SOAR model into these existing applications where possible.
  7. In the event the number of Class Members in a SSS caseload drops below the threshold of 5-7 cases and there are not existing Class Members in need of SSS services, the SSS will be used to perform other functions/duties (non-Medicaid billable) related to transitioning Class Members from SMHRF/NF, including but not limited to providing assistance with Housing Search, purchasing household items, and assisting with actual transition and apartment set up.

Transition Coordination Activity Deliverables

Once a Class Member has been approved for transition through an Assessment and has a Comprehensive Service Plan developed, the Grantee will be required to engage in Transition Coordination Activities to enable the Class Member to transition to a Community-Based Setting. Some of these Activities are universal for all transitions, and others are specific to individual Class Member needs. Activities range from skill building and treatment interventions, to housing searches, coordination of ongoing services and supports and any other activity to assist the Class Member in a successful transition.

Each Grantee will be required to meet an annual transition target while performing transition coordination activities under the grant agreement. The number of successful transitions for Williams Class Members and/or Colbert Class Members from a SMHRF or NF into a Community-Based Setting by end of the fiscal year, will be assigned after award has been executed.

Each Grantee will designate transition coordination staff through hiring or redistribution of staffing, who will facilitate full activities of transition coordination for the agency as a supplement to the job duties of direct care clinicians. Grantees may utilize subgrantee relationships to complete some or all of these activities. Such activities include:

Pre-Transition

  1. Maintain an adequate complement of transition coordination staff;
  2. Provision of transition-related services to Class Members still residing in SMHRF/NF as identified in their Comprehensive Service Plan, including but not limited to skill building for Activities of Daily Living and treatment interventions (i.e. substance use, trauma, individual therapy treatments);
  3. Identify and navigate affordable housing stock through relationship building with landlords and property management companies (Note: No more than 50% of the units in a 2-4-unit building can be identified for use by Williams or Colbert Class Members and no more than 25% of the units in a 5+-unit building can be identified for use by Williams or Colbert Class Members);
  4. Identify appropriate housing options in the area of each Class Member's geographical preference, which may include any location in the State of Illinois, and maintain records of housing availability;
  5. Accompany Class Members on housing searches for potential apartments. Transition staff are required to show Class Members multiple units meeting the geographical preferences of the Class Member to choose from during the housing search process, when necessary;
  6. Complete other related activities associated with securing independent housing, including but not limited to entering Class Member into the Statewide Referral Network (SRN) and assisting with housing applications for permanent subsidies;
  7. Arrange for durable medical equipment and home and Community-Based waiver services with Medicaid Managed Care health plan support, as appropriate;
  8. Facilitate transfer of medications and linkages with primary healthcare, medical specialists, pharmacies, managed care organizations, and ancillary services/supports, as appropriate;
  9. Assist with the purchase of household items to facilitate independent living in the community;
  10. Provide Transition Assistance Funds of $2,800 per Williams Class Member and $4,000 per Colbert Class Member. Purchases may include items such as apartment application fees, security deposits/move-in fees, utility connections, furniture, linens, bedding, dishes, household essentials, etc. (this should be built into proposed budget);
  11. Provide transition fund administration activities and tracking associated with purchases to ensure accountability with allowable costs per the Williams and Colbert Consent Decrees. Each item purchased must be tracked and reconciled for each Class Member;
  12. Provide Transition Flexible Funds to purchase interim expenses on behalf of transitioning Class Members until approved Medicaid and SSI/SSDI benefits are active. Purchases may include (but are not limited to) temporary medications, medical and testing supplies, non-covered medical equipment, past unpaid utility bills, Class Members' rent portions, food, landlord mitigation funds, and transportation expenses;
  13. Provide administration activities and tracking associated with Transition Flexible Fund purchases to ensure accountability. Transition Flexible Fund purchases must be tracked separately from other Transition Assistance Funds for reporting purposes. It is estimated that these funds will average $1,000 per Class Member, but may be over or under this average for any individual Class Member;
  14. Develop an internal Multiple Transitions policy and submit to IDHS for compliance with management of Transition Assistance Funds and Transition Flexible Funds.
  15. Facilitate discharge planning with the Class Member, the staff of the NF/SMHRF, Medicaid Managed Care health plan care coordinator, and key stakeholders; and
  16. Assist Class Members' actual moves from the NFs or SMHRFs to the community.

Post-Transition

  1. Facilitate the transfer of benefits and entitlements within 7 days of transition into the community; and
  2. Assist with Class Member applications for Supplemental Nutrition Assistance Program (SNAP), transportation assistance, and other assistance programs within 7 days of transitioning into the community.

Integrated Health Care (Nursing & Occupational Therapy) Deliverables

Registered Nurse Deliverables

  1. RNs must complete nursing assessments for all Class Members, including review of medical, clinical charts and/or other pertinent documents, interviews with the Class Member, family members, guardians, and/or significant others, as appropriate, about the Class Member's past and present functional levels, capabilities and performances, including prior Community-Based experiences and circumstances of admissions to SMHRF/NF, and complete narrative reports of these assessment outcomes with recommendations;
  2. RNs must use appropriate assessment tools and/or communication aids to assist in communication with Class Members who have a communication deficit or language barrier;
  3. RNs must deliver any intervention and/or skill building as needed for the Class Member, in preparation for transition and after transition if needed;
  4. All Class Members must have a follow up contact by an RN within 7 days of an unscheduled ER visit or hospitalization while in the community;

General Health Care Deliverables

  1. All Class Members must have an initial appointment scheduled with a Primary Care Provider (PCP) in the community within 30 days after transition;
  2. As appropriate, all Class Members scheduled for specialty Health Care visits must continue to be seen as scheduled while in the community;

Occupational Therapy Deliverables

  1. Occupational Therapists must complete occupational therapy assessments for any Class Member for whom such an assessment is recommended by the Care Manager, including review of medical, clinical charts, and/or other pertinent documents for the Class Member, interviews with the Class Member, family members, guardians, and/or significant others, as appropriate, regarding the Class Member's past and present functional levels, capabilities and performance, and the use of appropriate assessment tools; and
  2. Occupational Therapists must deliver any intervention and/or skill building as needed for the Class Member, in preparation for transition and after transition if needed.

Grantee Service Capacity & Medicaid Spenddown Deliverables

The Grantee shall ensure staffing levels are adequate to transition ALL Class Members who have chosen to reside in the Grantee's geographic coverage area for Consent Decree services. This includes all aspects of the transition process, including Outreach, Assessment, Service Planning, Transition Coordination, Housing, and Post-Transition Services. Grantee must have sufficient staff and resources to provide these services and supports according to the specifics contained in Exhibit E-Performance Measures and Reporting, and Exhibit F-Performance Standards, and within the time frames identified in this contract and in IDHS policies. Any failure to meet these performance measures in a timely manner will require a justification of said deficiencies, including identifying staffing resources that may have contributed to the deficiency. Grantee is required to maintain sufficient staff or partnerships to meet all obligations under this Grant, which may include but is not limited to utilization of the following: provision of appropriate wages, hiring bonuses, performance-based annual bonuses, and funding non-Medicaid costs associated with ensuring appropriate Assertive Community Treatment and Community Support Team capacity.

The Grantee shall also ensure that assigned Class Members continue to maintain their Medicaid eligibility by ensuring that any required Medicaid spenddown is met. The Grantee will facilitate completion of all necessary paperwork and supporting activities to establish the spenddown deductible prior to the Class Member moving from the NF/SMHRF. For each Class Member with a spenddown, the Grantee will complete the spenddown enrollment form and submit it to the Illinois Department of Healthcare and Family Services (HFS), monitor the Class Member's allowable bills to determine if these bills are sufficient to meet the spenddown deductible, and make a payment to HFS no later than the 20th day of the month to ensure the continuation of the spenddown.

Program Audit Deliverables

The Grantee shall ensure all personnel and programmatic records are made available to IDHS for scheduled and/or unscheduled program audits. This includes availability of all staff responsible for management and implementation of Consent Decree Services.

Payment Terms

Grantees will receive payment by one of the three payment methodologies (Advance Payment, Reimbursement or Working Capital Advance). Grantees will automatically be paid via Reimbursement Method unless a request for Advance Payment Method or Working Capital Advance Method is made using the IDHS Advance Payment Request Cash Budget Template (Cash Budget).

I. Advance Payment Method (Advance and Reconcile)

  1. An initial payment will be processed in an amount equal to the first two months' cash requirements as reflected in the Advance Payment Requirements Forecast (Cash Budget) Form submitted with the Grantee's application. The initial payment will be processed upon execution of the grantee's Uniform Grant Agreement.
  2. Grantees must submit monthly invoices in the format and method prescribed in the Grantee's executed Uniform Grant Agreement. Invoices must be submitted no later than 15 days following the end of any respective monthly invoice period, or as indicated in their UGA Exhibit F - Payments. Invoices must include only allowable incurred costs that have been paid by the Grantee. For programs that have Grantee matching requirements, allowable costs are only reimbursable when matching costs have also been incurred.
  3. Subsequent monthly payments will be based on each monthly invoice submitted to the grant program, and will be adjusted up or down, based on a comparison of actual cumulative expenditures to cumulative advance payments, to date.
  4. Grantees that do not expend all advance payment amounts by the end of the grant term or that are unable to demonstrate that all incurred costs were necessary, reasonable, allowable, or allocable as approved in their respective grant budget, must return the funds or be subject to grant funds recovery.
  5. Grantees may be required to submit supporting documentation for their requests at the request of and in a manner prescribed by the Grantor.
  6. Failure to abide by advance payment governance requirements may result in grantee losing their right to advance payments.

II. Reimbursement Method

  1. IDHS will disburse payments to Grantee based on actual allowable costs incurred as reported in the monthly financial invoice submitted for the respective month, as described below.
  2. Grantees must submit monthly invoices in a format prescribed by Grantor. Invoices must include all allowable incurred costs for the first and each subsequent month of operations until the end of the Award term. Invoices must be submitted no later than 15 days following the end of any respective monthly invoice period, or as indicated in their UGA Exhibit F - Payments. As practicable, Grantor shall process payment within 30 calendar days after receipt of the invoice, unless the State awarding agency reasonably believes the request to be improper.
  3. Grantees may be required to submit supporting documentation for their requests at the request of and in a manner prescribed by the Grantor.

III. Working Capital Advance Method

  1. IDHS Grant Program Managers will advance working capital payments to the grantee to cover their estimated disbursement needs for an initial period not to exceed two months of grant expenses. Startup costs may be approved if determined by IDHS Grant Program Managers to be allowable.
  2. Grantees must submit monthly invoices for each of the one or two months covered by the Working Capital Advance in the format and method prescribed by the Grantor. Invoices must be submitted no later than 15 days following the end of any respective monthly invoice period, or as indicated in their UGA Exhibit F - Payments. Invoices must include only allowable incurred costs that have been paid by the grantee. For grant programs that have grantee matching requirements, allowable costs are only reimbursable when matching costs have also been incurred.
  3. Grantees may be required to submit supporting documentation for their requests at the request of and in a manner prescribed by the Grantor.
  4. Working Capital Advance Payments are limited to a single occurrence per grant term.
  5. Following the initial working capital advance payment, grantees will be paid via reimbursement method unless an IDHS Advance Payment Request Cash Budget Template is submitted for Advanced Payment Method.

Additional Advance Payments

Additional working capital advance payments may be considered on a case-by-case basis. Such requests must be made in writing, may require supporting documentation and must be approved by IDHS Executive Staff.

Note:  If you will be submitting the Advance Payment Request Cash Budget, it must be submitted with the application packet as a separate document.

The Monthly Invoice IL444-5257 Template must be used for all DMH programs and submitted no later than 15 days after the end of the month. All invoices shall be HIIPA compliant and encrypted utilizing DHS approved encryption software, and emailed to DMH at the email address:

Monthly Invoices and Quarterly PFR Email Address for General Grants: DHS.DMHQuarterlyReports@illinois.gov 

Monthly Invoices and Quarterly PFR Email Address for Williams Consent Decree: DHS.DMHWilliamsInvoices@Illinois.gov   

Monthly Invoices and Quarterly PFR Email Address for Colbert Consent Decree: DHS.Colbert.Invoices@illinois.gov   

Payment Incentives

The Department shall pay the Provider $5,000 for every Class Member transitioned to an independent community living setting that is above the projected number of transitions for each fiscal year identified in the grant agreement deliverables.

Penalties

If at any time during the grant agreement period the Department determines that the Provider has/is failing to provide the deliverables identified in the grant agreement, the Department reserves the right in its sole discretion to institute the following actions:

  1. The Department reserves the right in its sole discretion to provide notice of grant performance deficiencies and to work with the Provider to identify the reasons for the underperformance and provide direction on remedying the deficiencies within a reasonable time, with demonstrable progress and improvement within sixty (60) days of said notice.
  2. If the Provider fails to demonstrate improvement within 60 days of the notice of deficiencies, the Department reserves the right in its sole discretion to require a written Corrective Action Plan. The Corrective Action Plan must identify with specificity the actions and outcomes necessary to bring the Provider into compliance with the grant agreement deliverables and be approved by the Department. The Provider will have a maximum of sixty (60) days from the date of the approval of the Corrective Action Plan to achieve compliance with the grant agreement deliverables and remain in good standing with the Department.
  3. In the event the Provider fails to perform the actions and meet the outcomes contained in the Corrective Action Plan, the Department reserves the right in its sole discretion to adjust the budget of the Provider. This action includes, but is not limited to, reassigning one or more of the facilities (SMHRFs and/or NFs) and/or one or more of the Class Members currently served by Provider to another Comprehensive Program Provider. Reassignment of facilities or Class Members (i.e. a partial termination of the agreement) may be done at any time either as part of or after a Corrective Action Plan is agreed upon, in the event circumstances warrant such action to ensure transition targets are reached. Any such reassignments will include agreement and budget amendments to reflect the same, that will be proportional to the reduced anticipated transitions as a result of reassignment.
  4. If the Provider continues to underperform, in addition to all other termination rights identified in the grant agreement, the Department reserves the right to immediately terminate the grant agreement without penalty to the Department. This does not preclude the Department from terminating all or part of a grant for any other reason, as provided for in the grant agreements. In the event a grant agreement is terminated either in whole or in part, the Provider shall work cooperatively with the Department to transition Class Member records and data relevant to the Comprehensive Program grant services. This includes, but is not limited to case records, medical information, and service data for all Class Members supported and served by the grant agreement.

Amendments

The Department reserves the right to renegotiate terms and payments with the grantee based on changes to Sub-recipient budgets. This will be accomplished through amendments to the grant agreements.

Payment Forms

  1. Monthly Invoice IL444-5257
  2. Advance Payment Request Cash Budget Form (IL444-4985) Only if requesting an advance payment

Performance Measures

Data reported should, unless otherwise noted, be limited to quarterly data only, not cumulative. In addition to quarterly reporting via the Periodic Performance Report Template by Program, performance will also be monitored based on data entered in the IDHS-prescribed data management system.

PRTP Performance Measures:

The following performance measures must be reported to IDHS using the Periodic Performance Report Template by Program (PRTP) each quarter:

Outreach

  1. Number of Outreach staff currently employed by Provider.
  2. Number of unduplicated Class Members engaged in any Outreach activity (including attendance at a quarterly meeting) during this reporting period.
  3. Number of unduplicated Class Members interested in a follow up Outreach contact.
  4. Number of unduplicated Class Members interested in a follow up Outreach contact who had a follow up contact completed by an Outreach Worker within seven (7) days.
  5. Number of NFs or SMHRFs assigned to the provider.
  6. Number of NFs or SMHRFs where Outreach staff held a Community meeting/forum and/or Resident Advisory Council meeting during the quarter.

Care Management & Assessment

  1. Number of Care Management staff currently employed by Provider.
  2. Number of Care Management staff currently employed by Provider who meet Qualified Professional credentials (Master's Degree in Counseling, Social Work, Psychology, or other highly related field, supervised by an LPHA, RN or OT with oversight of the Care Manager's work).
  3. Number of Class Members during this quarter due to be seen within four weeks after transition to the community.
  4. Number of Class Members who received a weekly visit from the care manager for the first four weeks after their transition to the community.
  5. Number of Class Members during this quarter due to be seen within their second through eighteenth month after transition.
  6. Number of Class Members who received a monthly care manager's visit during their second through eighteenth month after transition.

SSS/SOAR

  1. Number of current SSS/SOAR staff currently employed or contracted by Provider.
  2. Number of current SSS/SOAR staff who have a bachelor's degree or who are certified as a CRSS.
  3. Number of current SSS/SOAR staff with a caseload of between 5 - 7 individuals.
  4. Number of Class Members newly identified as having no income (excluding those with an undocumented status) during the quarter.
  5. Number of Class Members newly identified as having no income (excluding those with an undocumented status) during the quarter who were assigned to the agency's Social Security Specialists (SSS).
  6. Number of Class Members who have pending SSI/SSDI applications not initiated by SSS.
  7. Number of Class Members who have pending SSI/SSDI application not initiated by SSS who are receiving assistance by the SSS.
  8. Number of initial SOAR applications completed and submitted by Grantee to SSA.
  9. Number of initial SOAR applications which received a determination status during the quarter.
  10. Number of initial SOAR applications with initial outcome information entered in SOAR-OAT (national database)
  11. Number of SOAR applications approved for benefits (SSI/SSDI) during the quarter.
  12. Number of SOAR applications denied benefits (SSI/SSDI) during the quarter.
  13. Number of denied SOAR applications for which a first appeal was submitted to SSA.
  14. Number of first appeals denied as of the end of the quarter.
  15. Number of denied SOAR applications for which a second appeal was submitted to SSA.

Transition Coordination

  1. Number of transition coordination staff currently employed or contracted by Provider.
  2. Number of Class Members transitioned (moved) from the NF or SMHRF to the community.
  3. Number of unduplicated Class Members accompanied to purchase basic household items/supplies.

Integrated Health Care: Nursing

  1. Number of nursing staff (RNs) currently employed or contracted by Provider.
  2. Number of unduplicated Class Members who had nursing assessments scheduled by RN.
  3. Number of unduplicated Class Members whose nursing assessments were completed by RN.
  4. Number of Class Members who had an unscheduled ER visit or hospitalization.
  5. Number of Class Members who had an unscheduled ER visit or hospitalization seen for a follow up visit by the RN within 7 days after discharge from the ER or hospital.

Integrated Health Care: General Health Care

  1. Number of unduplicated Class Members who transitioned to the community during this reporting period who attended a primary care appointment during the first 30 days after transition from the NF/SMHRF.

Integrated Health Care: Occupational Therapy

  1. Number of occupational therapists currently employed or contracted by Provider.
  2. Number of unduplicated Class Members referred for an OT assessment.
  3. Number of unduplicated Class Members scheduled for an OT assessment.
  4. Number of unduplicated Class Members whose OT assessments were completed.
  5. Number of unduplicated Class Members whose OT assessment was aborted by the clinician due to Class Member distress or other symptoms.

Medicaid Spenddown

  1. Number of unduplicated Class Members with a current spenddown as of the end of the quarter.
  2. Number of unduplicated Class Members with sufficient expenses incurred each month that can be applied to offset the monthly spenddown amount without grant assistance.
  3. Number of unduplicated Class Members for whom grant funds were used to meet their Medicaid spenddown.
  4. Number of unduplicated Class Members who lost Medicaid eligibility during the quarter due to an unmet spenddown.

Other Performance Measures:

The following performance measures will be monitored using data entered in the IDHS-prescribed data management system:

Outreach

  1. Number of unduplicated Class Members who expressed an interest in transition.
  2. Number of unduplicated Class Members who expressed an interest in transition for whom a Brief Screening Tool was completed.
  3. Number of unduplicated Class Members who were not recommended for transition after the completion of the Brief Screening Tool.
  4. Number of unduplicated Class Members who were not recommended for transition after the completion of the Brief Screening Tool and who were provided with the Not Recommended for Transition form with statement of goals, and were verbally and in writing informed of their Right to Appeal and the Appeals process.

Assessment

  1. Number of unduplicated Class Members referred from Outreach for Assessment and Service Planning.
  2. Number of unduplicated Class Members for whom a full Initial Assessment was completed.
  3. Number of unduplicated Class Members with a completed Assessment who were not recommended for transition (applies to any type of Assessment (Initial, Supplemental, Annual)).
  4. Number of Class Members not recommended to transition who were given the Not Recommended to Transition form with statement of goals and were verbally and in writing informed of their Right to Appeal and the Appeal process (applies to any type of Assessment (Initial, Supplemental, Annual)).
  5. Number of Annual Re-Assessments due.
  6. Number of Class Members who had annual Re-Assessment Completed.

Comprehensive Service Plans

  1. Number of Initial Comprehensive Service Plans due to be completed.
  2. Number of Initial Comprehensive Service Plans completed within 45 days after assessment was initiated.
  3. Number of Comprehensive Service Plan Updates due to be completed.
  4. Number of Comprehensive Service Plan Updates completed within 180 days of last Comprehensive Service Plan.
  5. Number of Comprehensive Service Plans for Transition due to be completed.
  6. Number of Comprehensive Service Plans for Transition completed within 14 days prior to Class Member's transition to the community.

Reportable Incident Reports

  1. Number of Reportable Incidents that occurred during this reporting period.
  2. Number of Reportable Incident Report forms submitted for all incidents within the required timeframe.

Transition Coordination

  1. Number of unduplicated Class Members recommended for transition during the quarter.
  2. Number of unduplicated Class Members recommended for transition during the quarter who were contacted by transition coordination staff.
  3. Number of unduplicated Class Members who refuse transition coordination activities after contact by transition coordination staff.
  4. Number of unduplicated Class Members engaged in a housing search during the following time frames:
    1. Within two weeks of initial contact;
    2. Between two weeks and two months after initial contact;
    3. Between two months and four months after initial contact; and
    4. More than four months after the initial contact.

23. Number of unduplicated Class Members engaged in housing search as of the end of the quarter.

Performance Standards

Performance Standards are the minimum expected grantee/subgrantee performance for each enumerated item. In addition to quarterly reporting via the Periodic Performance Report Template by Program, performance will also be monitored based on data entered in the IDHS-prescribed data management system.

PRTP Performance Standards:

The following performance standards will be calculated using data reported to IDHS using the Periodic Performance Report Template by Program (PRTP) each quarter:

Outreach

  1. 85% of unduplicated Class Members interested in a follow-up contact with an Outreach Worker were engaged by Outreach staff within 7 days of request.
  2. 95% of NFs or SMHRFs had a quarterly community meeting/forum or resident advisory council meeting.

Care Management & Assessment

  1. 100% of Care Management staff meet Qualified Professional credentials.
  2. 95% of Class Members due to be seen during the first four weeks after transition to the community received a weekly visit from the care manager.
  3. 95% of Class Members due to be seen during their second through eighteenth month after transition received a monthly care manager's visit.

SSS/SOAR

  1. 100% of SSS/SOAR staff have a bachelor's degree or are certified as a CRSS.
  2. 100% of SSS/SOAR staff have a caseload of between 5 - 7 individuals.
  3. 100% of Class Members newly identified as having no income (excluding those with an undocumented status) during the quarter were assigned to the agency's SSS.
  4. 85% of Class Members who have pending SSI/SSDI application not initiated by SSS are receiving assistance by the SSS/SOAR staff.
  5. 100% of initial SOAR applications which received a determination status during the quarter have initial outcome information entered in SOAR-OAT (national database).
  6. 95% of SSA applications denied had a first appeal submitted to SSA.
  7. 95% of SSA applications denied after the first appeal had a second appeal submitted to SSA.

Transition Coordination

13. 100% of Class Members transitioned from the NF or SMHRF are accompanied to purchase basic household items prior to transition.

Integrated Health Care: Nursing

  1. 90% of nursing assessments scheduled are completed by RN.
  2. 90% of Class Members who had an unscheduled ER visit or hospitalization have a follow up visit by the RN within 7 days after discharge from the ER or hospital.

Integrated Health Care: General Health Care

  1. 100% of unduplicated Class Members who transitioned to the community during this reporting period who attended a primary care appointment during the first 30 days after transition from the NF/SMHRF.

Integrated Health Care: Occupational Therapy

  1. 100% of the Class Members referred for an OT assessment have an assessment scheduled.
  2. 90% of scheduled OT assessments are completed.

Medicaid Spenddown

  1. 90% of Class Members with a current spenddown have sufficient expenses that can be applied to offset the monthly spenddown amount without grant assistance.
  2. No more than 10% of Class Members will lose Medicaid eligibility due to an unmet spenddown.

Other Performance Standards:

The following performance standards will be monitored using data entered in the IDHS-prescribed data management system:

Outreach

  1. 85% of unduplicated Class Members who expressed interest in transition had a Brief Screening Tool completed.
  2. 100% of unduplicated Class Members who were not recommended for transition after the completion of the Brief Screening Tool were provided with the Not Recommended for Transition form with statement of goals and were verbally and in writing informed of their Right to Appeal and the Appeals process.

Assessment

  1. 80% of unduplicated Class Members referred from Outreach for Assessment and Service Planning and residing in the NF/SMHRF (not discharged/transferred or deceased) had an Initial Assessment completed.
  2. 100% of Class Members not recommended to transition were given the Not Recommended to Transition form with statement of goals and were verbally and in writing informed of their Right to Appeal and the Appeal process.
  3. 80% of unduplicated Class Members due for Annual Re-Assessment had an Annual Re-Assessment completed.

Comprehensive Service Plans

  1. 80% of Initial Comprehensive Service Plans completed within 45 days after date assessment was initiated.
  2. 80% of Comprehensive Service Plan Updates due were completed within 180 days of last Comprehensive Service Plan.
  3. 90% of Comprehensive Service Plans for Transition completed within 14 days prior to transition.

Reportable Incident Reports

  1. 100% of Reportable Incident Reports submitted within the required timeframe (Level I-24 hours, Level II-48 hours, and Level III-72 hours).

Transition Coordination

  1. 100% of unduplicated Class Members recommended for transition during the quarter were contacted by transition coordination staff.

Program Contact

Name: Barb Roberson

Email Address: DHS.DMHGrantApp@illinois.gov

Applicant Eligibility

This non-competitive funding opportunity is limited to applicants that meet the following requirements. If these requirements are not met by deadlines listed in this opportunity an award will not be made:

  • The applicant has met the Prequalification and Mandatory Requirements listed in this funding opportunity.
  • This funding opportunity is limited to those who currently have an award for this program.
  • Applicant must comply with all applicable local (city, county) and state licensing, accreditation, and certification requirements, as of the due date of the application
  • More than one application per entity is permitted.
  • Applicants must be one of the following:
    • Government Organizations
    • Nonprofit Organizations
    • For-Profit Organizations

Applicants may be a public or private organization, for-profit or not-for-profit community-based agency, hospital system, Federally Qualified Health Centers (FQHCs), Healthcare for the Homeless Centers (HHCs), or Managed Care Organizations (MCOs)

Credentials/Documentation

Master's degrees in social work, Counseling and/or psychology

LPHA- Licensed Practitioner of Healing Arts

LCSW-Licensed Clinical Social Work

RN- Licensed Registered Nurses

Master's Degree- Occupational Therapist

Pre-Qualification

Applicant entities will not be eligible to apply for a grant award until they have prequalified through the Grant Accountability and Transparency Act (GATA) Grantee Portal. Registration and prequalification are required annually. During prequalification, verifications are performed including a check of federal Debarred and Suspended status on the Illinois Stop Payment List and good standing with the Secretary of State. An automated email notification is sent to the entity alerting them of "qualified" status or providing information about how to remediate a negative verification (e.g., inactive UEI, not in good standing with the Secretary of State). A federal Debarred and Suspended status cannot be remediated.

For assistance navigating government application prequalification procedures, refer to IDHS GATA Prequalification Assistance.

Applicants must be prequalified; therefore, applications from entities that have not prequalified prior to the due date of this application will NOT be reviewed and will NOT be considered for funding.

The following information is required to complete registration:

  • Organization's Unique Entity Identifier (UEI); For additional information on UEI, refer to Section Unique Entity Identifier and System for Award Management (SAM) below;
  • Organization's Federal Employer Identification Number (FEIN);
  • Organization type;
  • Illinois Secretary of State File ID (required for non-profits, for-profits and limited liability corporations);
  • Organization's name;
  • Organization's mailing address;
  • Organization's primary email address;
  • Organization's primary phone number;
  • Organization's fiscal year-end date

Unique Entity Identifier (UEI) and System for Award Management (SAM)

Each applicant is required to:

  • Be registered in SAM.gov before submitting its application. Provide a valid unique entity identifier in its application; if your organization does not yet have a UEI you must request one.
  • Continue to maintain an active SAM registration with current information at all times during which it has an active award, an application, or plan under consideration by the Department

The Department may not make an award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements. If an applicant has not fully complied with the requirements by the time the Department is ready to make an award, the Department may determine that the applicant is not qualified to receive an award and use that determination as a basis for making an award to another applicant.

Pre-Award Requirements

The pre-award process includes a financial and administrative risk assessment utilizing an Internal Controls Questionnaire (ICQ). The ICQ is completed for the organization. The Department may NOT issue a Notice of Award or a Grant Agreement to any applicant that does not have a submitted and approved FY 24 ICQ.

Applicants that have not completed an ICQ for the grant award year at the time of application will be contacted by the Department to complete this pre-award requirement.

This grantee pre-award requirement is mandated by Federal Uniform Guidance (2 CFR 200) and the Grant Accountability and Transparency Act (GATA). Grantees must complete these requirements prior to receiving a grant award from the State of Illinois.

The deadline to submit the ICQ is April 6, 2023, 12:00 PM Central Time.

Registration in CSA

The CSA Tracking System is the system the IDHS utilizes for approving budgets and issuing grant awards. It is strongly recommended that if an applicant entity is not already registered in the CSA Tracking System, they should begin the registration as soon as possible so they may submit a signed budget in CSA. While registration in CSA is not part of the prequalification process, successful applicants will NOT be issued an award without a fully approved budget in the CSA System.

State and Federal Laws and Regulations

The agency awarded funds through this funding opportunity must agree to comply with all applicable provisions of state and federal laws and regulations pertaining to nondiscrimination, sexual harassment and equal employment opportunity including, but not limited to: The Illinois Human Rights Act (775 ILCS 5/1-101 et seq.), The Public Works Employment Discrimination Act (775 ILCS 10/1 et seq.), The United States Civil Rights Act of 1964 (as amended) (42 USC 2000a-and 2000H-6), Section 504 of the Rehabilitation Act of 1973 (29 USC 794), The Americans with Disabilities Act of 1990 (42 USC 12101 et seq.), and The Age Discrimination Act (42 USC 6101 et seq.).

Indirect Cost Rate

Indirect Cost Requirements and Restrictions

In order to charge indirect costs to this grant, the applicant organization must have a Federal or State annually negotiated indirect cost rate agreement (NICRA) or must elect to use the De Minimis Rate.

Every organization that receives a state award must make an indirect cost rate proposal or election in the State of Illinois Grantee Portal, Centralized Indirect Cost Rate Election System, including organizations that are choosing not to claim payment for indirect costs.

Indirect Cost Rate Election:

  • Federally Negotiated Rate. Organizations that receive direct federal funding may have an indirect cost rate that was negotiated with the Federal Cognizant Agency. Illinois will accept the federally negotiated rate. The organization must provide a copy of the federal NICRA and submit an Indirect Cost Rate Proposal in the Crowe Activity Review System (CARS).
  • State Negotiated Rate. The organization must negotiate an indirect cost rate with the State of Illinois by completing an indirect cost rate proposal in the CARS system if they do not have a Federally Negotiated Rate and would like to negotiate a rate with the State of Illinois.
  • De Minimis Rate. An organization may elect a De Minimis rate of 10% of modified total direct cost (MTDC)**. Once established, the De Minimis rate may be used indefinitely. If programs elect to use the De Minimis rate, it is critical that program budgets accurately calculate the MTDC base. Please see the regulation below and note the exclusions to MTDC.

**2 CFR § 200.68 Modified Total Direct Cost (MTDC). MTDC means all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and subawards and subcontracts up to the first $25,000 of each subaward or subcontract (regardless of the period of performance of the subawards and subcontracts under the award). MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward and subcontract in excess of $25,000. Other items may only be excluded when necessary to avoid a serious inequity in the distribution of indirect costs, and with the approval of the cognizant agency for indirect costs.

  • No Rate: Grantees have discretion not to claim payment for indirect costs. Grantees that elect not to claim indirect costs cannot be reimbursed for indirect costs. The organization must record an election of "No Indirect Costs" into the Indirect Cost Rate Election System.
  • State Funded Universities/Institutions: Maximum reimbursement for indirect costs is restricted to 10% Off Campus and 20% On Campus with MTDC base.

Crowe Activity Review System (CARS). CARS will allow your organization to document your already established federally approved indirect cost rate or complete an indirect cost rate proposal (see State Negotiated Rate above). Submission requirements are located on page 2 of the Uniform Budget Template as well as 2 CFR 200 Appendices IV, V & VII.

Organizations which have not previously made an indirect cost rate election must submit an election (and indirect cost rate proposal, if necessary) immediately and no later than 3 months after receiving an award notification. If the organization elects to submit a Federally Negotiated Rate or a State Negotiated Rate, they will receive an invitation to submit their proposal in the CARS system.

Organizations that have previously established an indirect cost rate election and would like to continue with a Federal or State Negotiated Rate must submit a new indirect cost rate election immediately and no later than 6 months after the close of their organization's fiscal year.

Organizations that do not make a submission inside the CARS system within the required timeframes will not be allowed to claim indirect cost reimbursement.

For more information see:

Centralized Indirect Cost Rate User Manual (pdf)

GATA

Grant Fund Use Requirements

All applicants will use grant funds according to the guidelines, conditions, and parameters set forth in this funding notice and in compliance with federal statutes, regulations and the terms and conditions of any applicable federal awards.

Please refer to 2 CFR 200 - Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, PART 200 Subpart E - Cost Principles to determine the appropriateness of costs.

  • Allowable costs are those that are necessary and reasonable based on the activity(ies) contained in the Scope of Work, are justified in the Budget Narrative, and are allowable under Subpart E of 2 CFR 200. It is expected that administrative costs, both direct and indirect, will represent a small portion of the overall program budget. Any budget deemed to include inappropriate or excessive administrative costs will not be approved. Program budgets and narratives must detail how all proposed expenditures are necessary for program implementation.
  • Unallowable costs: Please refer to 2 CFR 200 - Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, PART 200 Subpart E - Cost Principles to determine the appropriateness of costs. In addition, and specific to this grant, the following costs will be unallowable without specific prior written approval from IDHS:
    • Entertainment costs, except where specific costs that might otherwise be considered entertainment have a programmatic purpose and are authorized in the approved budget (2 CFR 200.438)
    • Capital expenditures for general purpose equipment, including any vehicle regardless of cost, buildings, and land (2 CFR 200.439)
    • Capital expenditures for improvements to land, buildings, or equipment which materially increase their value or useful life (2 CFR 200.439)
    • Food, and other goods or services for personal use of the grantee's employees, contractors, or consultants of the grantee unless authorized as per diem under the State of Illinois Governor's Travel Control Board (2 CFR 200.445).
    • Deposits for items, services, or space
  • Simplified Acquisition Threshold: Potential grantees under this funding announcement may receive an award in excess of the Simplified Acquisition Threshold, currently $250,000 (Refer to 2 CFR 200 Section 200.88). Therefore, the grantee must be aware of the following regarding the Simplified Acquisition Threshold as it will be applicable to any qualifying subaward:
    • That the grantee agency, prior to making a subaward with a total amount of funds greater than the simplified acquisition threshold, is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. 2313);
    • That an applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that the awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM;
    • That the awarding agency will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under awards when completing the review of risk posed by applicants as described in §200.205 awarding agency review of risk posed by applicants.

Application Procedures

Address to Request Application Package

Application materials are provided throughout this announcement. Applications will be made available in user/printer friendly format and may be found on the FY24 Division of Mental Health web site. Additional copies may be obtained by contacting the Department at the email address below.

Each applicant must have access to the internet. The Division's web page will contain information regarding the materials necessary for submission.

Program Email Address: DHS.DMHGrantApp@illinois.gov 

Content and Form of Application Submission

Uniform Application for State Grant Assistance

The Uniform Application for State Grant Assistance is a three-page document used to formalize organization's request to apply for funding. Applicants must apply for the Consent Decree they are serving. A Suffix will need to be used when submitting your budget (under "NOFO Suffix" in CSA). A separate application must be submitted for each consent decree. The suffix for consent decrees are as follows:

  • Colbert Consent Decree: Suffix CCD
  • Williams Consent Decree: Suffix WCD

For example, if an applicant is serving both Colbert and Williams clients, two applications and two Project Narratives must be submitted, one associated with each Consent Decree for the program.

Page 1 of the application is pre-populated with the appropriate information. Applicants must not complete anything on Page 1. The correct application must be used.

Page 3 of the document requires the amount applying for the specific consent decree on each individual application, signature and the organization's authorized representative.

Application Submission Dates and Times

Intergovernmental Review

This funding opportunity is not subject to Executive Order 12372, Intergovernmental Review of Federal Programs

Funding Restrictions

The applicant must develop a budget consistent with program requirements. Proposed budgets must be sufficiently detailed and justified to be approved by IDHS.

Application Submission

  1. To be considered for award, application materials will only be accepted electronically. Applications must be in the possession of the DMH email address DHS.DMHGrantApp@illinois.gov.
  2. IDHS cannot guarantee a start date of July 1, 2023, if application submissions are received after the due date referenced in the Program Summary above.
  3. Emails into this box are electronically date and time stamped upon arrival. For your records, please keep a copy of your email submission with the date and time it was submitted, along with the email address to which it was sent. The email of the original sender of the application will be used for official communication between the Department and the applicant organization for matters regarding this application.
  4. If an applicant experiences technical difficulties, an email must be sent to DHS.DMHGrantApp@illinois.gov  prior to the submission deadline. If State systems are deemed to be working properly, it is the applicant's responsibility to ensure their application materials arrive at the appropriate email address before the submission deadline date and time.
  5. IDHS/DMH is under no obligation to review applications that do not comply with the above requirements.
  6. Applicants will receive an email to notify them that the application was received. The email reply will be sent to the original sender of the application materials.
  7. The subject line of the email MUST state:
    • Entity Name;
    • Program 850 Comprehensive Class Member Transition Program
    • CCD or WCD (Choose One)

Budget Requirements

The applicant must develop a budget consistent with program requirements. Proposed budgets must be sufficiently detailed and justified to be approved by IDHS.

Deadline for submission of the budget, in the CSA Tracking System, is the same as the application deadline.

  • The CSA Tracking System is where the IDHS requires all applicants to enter their GATA Budget information. It is also where IDHS staff will review and take action on the proposed budget. The CSA Tracking system requires that you have different credentials than what you have for the Illinois GATA Grantee Portal. Please follow the directions below to sign the proposed budget.
  • A separate budget and budget narrative need to be completed, electronically signed, and submitted in the CSA tracking system with the status as "GATA Budget signed and submitted to program review", for each Consent Decree for which you are currently providing services. Under the "NOFO Suffix" Column in CSA you must include the suffix listed above. A copy is not to be submitted along with the application packet.
  • There is space when preparing the budget on each line item for the budget narrative. For each line in the budget the applicant will describe why each expenditure is necessary for program implementation and how the amount was determined. Please include cost allocations as necessary. The Budget narrative (including MTDC base exclusions as appropriate) must clearly identify indirect costs, direct program costs, direct administrative costs, and describe how the specified resources and personnel have been allocated for the tasks and activities within each line item. See instructions for the CSA Tracking System and Budget Information. The budget should be prepared to reflect 12 months.
  • A Budget Template and Instructions can be used as a tool to assist in determining expenses; however, the final budget must be completed in the CSA Tracking System. The pdf budget or paper copy will not be accepted. Applicants will NOT be issued an award without the applicant's fully approved budget in the CSA System.

Subrecipient budget(s)

  • If applicant is planning to use a subrecipient, a pdf copy of the subrecipient budget must be submitted as a separate pdf document with the application packet. Subrecipient budgets must be submitted for each application submitted as outlined above.
  • Subrecipient budgets shall be submitted on the IDHS/DMH Budget template (GOMBGATU-3002-(R-02-17).

Grantee Conflict of Interest Disclosures

Every grantee and subrecipient must disclose in writing any actual or potential Conflict of Interest as part of the grant application packet using the Grantee Conflict of Interest Disclosure Form IL444-5205.

Grantee Conflicts of Interest include, but are not limited to:

  1. Grantee has an employee, board member, trustee, or immediate family member who:
    1. Holds an elected or appointed office in Illinois.
    2. Holds a seat in the Illinois General Assembly.
    3. Is an officer or employee of any State board, commission, authority, or holds an elected or appointed position or is employed in any of the offices or agencies of State government.
  2. Grantee has a financial interest, including ownership of stocks or bonds, in a firm which is a vendor or contractor.
  3. Grantee has outstanding financial commitments to any vendor or contractor.
  4. Grantee has a close personal relationship. such as a spouse, dependent child, or member of the technical advisor's household, that may compromise or impair the fairness and impartiality of the technical advisor and grants officer during the solicitation development, proposal evaluation, award selection process, and management of an award.
  5. Grantee has any negotiation of employment with current or potential sub-recipient or vendor.

Additional examples of Grantee Conflicts of Interest can be found in the Grant Accountability and Transparency Act (GATA) Website Resource Library.

Simplified Acquisition Threshold - Federal Awards

Potential grantees under this funding announcement may receive an award in excess of the Simplified Acquisition Threshold, currently $250,000 (Refer to 2 CFR 200 Section 200.88). Therefore, the grantee is subject to Simplified Acquisition Threshold. Refer to Section "Preapplication Coordination", "Grant Fund Use Requirements".

Project Narrative

A Project Narrative is required to support the Uniform Application for State Grant Assistance (GA) for non-competitive grants. The purpose of the Project Narrative is to describe the organization's program activities and design for implementing and administering the program for the upcoming State Fiscal Year (SFY). This Project Narrative will include information that is specific to your organization's proposed program services and be considered part of your grant agreement. Submission of this Project Narrative is required to fulfill contractual obligations.

Mandatory Submissions

Award Procedures

Applicants agree to provide program services as described throughout this Funding Opportunity.

Start Date: Applicants must be in a position to begin offering services on July 1, 2023.

  • Technology: Agencies awarded funds through this funding notice should have a computer that meets the following minimum specifications for the purpose of utilizing any required IDHS web-based reporting system and the receipt/submission of electronic program and fiscal information:
    • Internet access, preferably high-speed
    • Email capability
    • Microsoft Excel
    • Microsoft Word
    • Adobe Reader

The purchase of this technology would be an allowable expenditure under the grant and may be budgeted for as part of this application.

  • Site Visits: The applicant agrees to participate in site visits/quality reviews as requested by the Department.
  • COVID Policies and Procedures: Provider organizations shall have written COVID policies and procedures that align with current guidelines put forth by the local Health Department, the Illinois Department of Public Health and/or the Center for Disease Control.
  • Sectarian Issue: Provider organizations may not expend federal or state funds for sectarian instruction, worship, prayer, or to proselytize. If the Provider organization is a faith-based or a religious organization that offers such activities, these activities shall be voluntary for the individuals receiving services and offered separately from the program.
  • Hiring and Employment Policy: It is the policy of the Department to encourage cultural diversity in the work environment and to promote employment opportunities through its programs. The Department philosophy is that the program workforce should appropriately reflect the populations to be served, with special attention given to hiring individuals indigenous to those communities. Consistent with Department policy, whenever a position becomes available, funded programs are encouraged to consider TANF clients for employment, contingent upon their qualifications in the areas of education and work experience.
  • Publication of Studies, Reports or other Program Products: The applicant agrees that products produced for the Department under this award, including, but not limited to research reports, data, analyses, and policy recommendations are the property of the Department and will not be published or distributed except as prescribed by the Department.

Agreement Terms

IDHS anticipates that the term of the agreement resulting from this Program Grant Opportunity will be July 1, 2023, continuing through June 30, 2024, and will require the mutual consent of both parties, be dependent upon the Grantee's performance and adherence to program requirements and the availability of funds. IDHS may withdraw this opportunity at any time prior to the actual time a fully executed agreement is filed with the State of Illinois Comptroller's Office.

Post Award Requirements of Applicant

If the State share of any State award may include more than the requirements applicable reflected in 2 CFR 200, Appendix XII - Award Term and Condition for Recipient Integrity and Performance Matters then the recipient of the grant, during that period of time must maintain the currency of information reported to the System for Award Management (SAM) that is made available in the designated integrity and performance system (currently the Federal Awardee Performance and Integrity Information System (FAPIIS)) about civil, criminal, or administrative proceedings described in paragraph 2 of this award term and condition. This is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available.

State Award Notices

Applicants will receive a Notice of State Award (NOSA) via the Illinois GATA Grantee Portal. It is important to keep contact information in the Illinois GATA Grantee Portal updated since the main contact is the person notifications are sent to. The NOSA shall include:

  1. Grant award amount
  2. The terms and conditions of the award
  3. Specific conditions, if any, assigned to the applicant based on the Fiscal and Administrative Risk Assessment (ICQ).

Note: The Department cannot issue a NOSA until the successful applicant has an approved budget entered into CSA.

The NOSA must be accepted by the grants officer (or equivalent). This effectively accepts the state award amount and all conditions set forth within the notice. This accepted NOSA is the document authorizing the Department to proceed with issuing a grant.

The NOSA is not an authorization to begin performance (to the extent that it allows charging to State awards of pre-award costs at the non- State entity's own risk).

Other Information

IDHS reserves the right to request additional information. Applicants are expected to provide the additional information within a reasonable time. Failure to provide the information could result in the rejection of the application. Providing the requested information does not obligate IDHS to provide funding nor should an agency draw any conclusions about the department's intentions to fund or not fund the application.

Administrative and National Policy Requirements

The agency awarded funds shall provide services as set forth in the IDHS grant agreement and shall act in accordance with all state and federal statutes and administrative rules applicable to the provision of the services.

The agency awarded funds through this Funding Opportunity must further agree to comply with all applicable provisions of state and federal laws and regulations pertaining to nondiscrimination, sexual harassment and equal employment opportunity including, but not limited to: The Illinois Human Rights Act (775 ILCS 5/1-101 et seq.), The Public Works Employment Discrimination Act (775 ILCS 10/1 et seq.), The United States Civil Rights Act of 1964 (as amended) (42 USC 2000a-and 2000H-6), Section 504 of the Rehabilitation Act of 1973 (29 USC 794), The Americans with Disabilities Act of 1990 (42 USC 12101 et seq.), and The Age Discrimination Act (42 USC 6101 et seq.). Additional terms and conditions may apply.

Renewals

This program will be awarded as a 12-month term agreement. This is the first renewal of two. Renewals are at the sole discretion of IDHS and are contingent on meeting the following criteria:

  1. Applicant has performed satisfactorily during the most recent past funding period.
  2. All required reports have been submitted on time, unless a written exception has been provided by the Division.
  3. No outstanding issues are present (i.e. in good standing with all pre-qualification requirements); and
  4. Funding for the budget year has been appropriated in the state's approved fiscal year budget.

Formula and Matching Requirements

Cost Sharing or Matching:

Grantees are not required to participate in cost sharing or provide match.

Uses and Restrictions

  • This funding opportunity is considered a new application.
  • The release of this funding opportunity does not obligate the Illinois Department of Human Services to make an award.
  • This opportunity is considered a grant agreement and is a non-competitive application for funding. It is not a guarantee of funding.
  • This award utilizes State appropriated funds.
  • Serves as Maintenance of Effort to the Federal Substance Abuse and Mental Health Services Administration Community Mental Health Block Grant

Funding Restrictions

The applicant must develop a budget consistent with program requirements. IDHS/DMH is not obligated to reimburse applicants for expenses or services incurred prior to the complete and final execution of the grant agreement and filing with the Illinois Office of the Comptroller.

Allowable Costs

All applicants will use grant funds according to the guidelines, conditions, and parameters set forth in this funding notice and in compliance with federal statutes, regulations and the terms and conditions of any applicable federal awards.

Reports

Upon execution of the grant agreement, reporting shall be in accordance with the requirements set forth in the Uniform Grant Agreement and related Exhibits which includes, but is not limited to the following:

  1. Time Period for Required Periodic Financial Reports. Unless a different reporting requirement is specified in Exhibit E, Grantee shall submit financial reports to Grantor pursuant to Paragraph 10.1 and reports must be submitted no later than 30 days after the quarter ends.
  2. Time Period for Close-out Reports. Grantee shall submit a Close-out Report pursuant to Paragraph 10.2 and no later than 30 days after this Agreement's end of the period of performance or termination.
  3. Time Period for Required Periodic Performance Reports. Unless a different reporting requirement is specified in Exhibit E, Grantee shall submit Performance Reports to Grantor pursuant to Paragraph 11.1 and such reports must be submitted no later than 30 days after the quarter ends.
  4. Time Period for Close-out Performance Reports. Grantee agrees to submit a Close-out Performance Report, pursuant to Paragraph 11.2 and no later than 30 days after this Agreement's end of the period of performance or termination.

Grantee shall submit a quarterly Periodic Financial Report (GOMBGATU-4002 (N-08-17)) to the appropriate email address. Reported expenses should be consistent with the approved annual grant budget. Any expenditure variances require prior Grantor approval in accordance with Article VI of the Uniform Grant Agreement to be reimbursable.

PFR Email Address for General Grants: DHS.DMHQuarterlyReports@illinois.gov

PFR Email Address for Williams Consent Decree: DHS.DMHWilliamsInvoices@Illinois.gov  

PFR Email Address for Colbert Consent Decree: DHS.Colbert.Invoices@illinois.gov

DMH reporting templates and detailed instructions for submitting reports can be found in the Provider section of the DHS website.

The Grantee shall submit quarterly Periodic Performance Report (GOMBGATU-4001 (N-08-17)) and the Periodic Performance Report Template by Program (PRTP) to the appropriate email address below. Reporting templates and instructions for submitting reports can be found in the Provider section of the IDHS website.

PPR and PRTP Email Address for All Grants: DHS.DMHQuarterlyReports@illinois.gov

The Grantee shall also submit all required information regarding program activity into the IDHS-prescribed data management system as work is completed, following program policy. This information must be reported accurately in the IDHS-prescribed data management system no later than the 30th day after the end of the reporting period.