Resending Msg to DMH Grantees - RE: Compliance with the Grant Accountability & Transparency (GATA), FY19 2ndQtr Rpts and CSA Budget Amendments


DMH would again like to remind grant providers compliance with the Grant Accountability and Transparency (GATA) rules is becoming increasingly more important. DMH Region Operations would like to remind grantees that the deadline for submission of all FY19 contract 2nd quarter reports is 2/01/2019. (Please review attached "Message to DMH Grantees") Missing any quarterly report deadline may prompt a stop payment. Please submit to avoid this measure.

A statewide problem has been identified with the 4002-PFR quarterly report. It appears there is a script error in the 4002-PFR form and some versions of Adobe. Anyone who hasn't updated their Adobe will not experience any problem and the form will auto calculate as it is intended. Some providers who have updated their Adobe will notice after saving a completed 4002-PFR, then opening the saved 4002-PFR file, some of the data in the auto calculated fields will contain zeros or contain miscalculated numbers.


"The 4002-PFR form was created to be used with Adobe X and is not backwards compatible; however, the 4002-PFR will work with X and newer versions of Adobe. The new Adobe "Xd" version is available for free and download at the link below. The Adobe Reader DC free version should work as well; however, we recommend using X or Xd. Of course the form works with the paid version of Acrobat Pro as well."

If you are experiencing the 4002-PFR Script Error problem and you cannot update to Adobe Xd because you are not operating Windows 10, please follow the 4002-PFR submission process below:

  1. Open up the 4002-PFR form (located on the DHS Grants Billing and Reporting page:
  2. Complete all of the required information on the form along with the required provider signature (DO NOT SAVE THE FILE)
  3. Print the signed completed 4002-PFR form
  4. Scan the signed completed 4002-PFR form to yourself
  5. Save the scanned signed completed 4002-PFR form with the appropriate file name
  6. Attach the saved scanned 4002-PFR to the submission email, along with the required 4001-PPR and PRTP Excel reports and send to the mailbox

Due to the fact that some providers are not able to update to the suggested Adobe fix, DMH is accepting a completed signed scanned copy of the 4002-PFR as the official submitted 4002-PFR until a resolution to the script error is discovered for all providers.

Let me your DMH Program Contact know if you have any questions or need further clarification regarding the 4002-PFR script error.

No FY19 Budget Changes After 3/31/19: Grantees are strongly encouraged to review their approved budget line items for each grant before February 28th, 2019, and determine if you anticipate changes in your planned spending for the FY19 4th Quarter. If so and the change is more than 10% of any line item or $1,000 (whichever is greater), you will need to discuss with your program contact prior to any spending that deviates from the approved budget. The Budget Revision Template is attached. If requested changes are approved by DMH, you will be asked to submit your revised budget in CSA and a formal amendment will be executed. DMH does not have the authority to pay for spending that is not within the approved budget parameters. Your quarterly periodic financial reports are compared with your approved budget and payments are adjusted accordingly to be made only for those line items and amounts that are within the approved budget. Change requests will not be considered after 3/31/19.

DHS Stop Pay List Tracking System Now Operational: In compliance with GATA DHS is required to place grantees on the DHS and State Stop Payment Lists for grantees who are considered to be non-compliant with the requirements of the Uniform Grant Agreement. Items of non-compliance include but are not limited to non/late submission of periodic financial or performance reports, year-end reports, corrective action plans for special conditions, as well as failure to maintain the elements of good standing status. An entry of a grantee on the DHS and State Stop Payment Lists will cause all payments for all of the grantee's grant agreements with all State agencies to cease. Notifications that such action may be taken by DHS/DMH will be sent to the Executive Director named in the DHS CSA system. Please ensure that your contact information is current so that any issues can be rectified immediately and potential stopped payments prevented.

We hope that this information helps us avoid any issues with budgets and payments so that we can focus on what is most important - serving our clients. Thank you for the vital services you provide for our clients every day.


Dan Wasmer, MS

Deputy Director Region Services

IDHS, Division of Mental Health

773-908-6267 (cell)

773-794-4141 (FAX)