TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.10 PURPOSE
Section 103.10 Purpose
In accordance with the Community
Services Act [405 ILCS 30], this Part establishes the Department's policies and
procedures which are necessary to fund community agencies and programs which
are eligible to receive grant-in-aid funding.
(Source: Amended at 17 Ill. Reg. 10282, effective July 1, 1993)
 | TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.11 DEFINITIONS
Section 103.11 Definitions
For the purpose of this Part,
the following terms are defined:
"Accreditation." A process establishing that a
program complies with nationally recognized standards of care as set by one of
the following:
1997 Hospital Accreditation Standards (Joint Commission on
Accreditation of Healthcare Organizations (JCAHO), One Renaissance Boulevard,
Oakbrook Terrace, Illinois 60181, 1996);
1997 Standards for Behavioral Health Care (Joint Commission
on Accreditation of Healthcare Organizations (JCAHO), One Renaissance
Boulevard, Oakbrook Terrace, Illinois 60181, 1996);
1996 Comprehensive Accreditation Manual for Health Care
Networks (Joint Commission on Accreditation of Healthcare Organizations
(JCAHO), One Renaissance Boulevard, Oakbrook Terrace, Illinois 60181, 1996);
Council on Accreditation 1997 Standards for Behavioral Health
Care Services and Community Support and Education Services (Council on
Accreditation of Services for Families and Children (COA), 120 Wall Street,
11th Floor, New York, New York 10005, 1996);
Outcome Based Performance Measures (The Council, 100 West
Road, Suite 406, Towson, Maryland 21204, 1993);
Standards Manual and Interpretive Guidelines for Behavioral
Health (Commission on Accreditation of Rehabilitation Facilities (CARF), 4891
East Grant Road, Tucson, Arizona 85711, 1996);
Standards Manual and Interpretive Guidelines for Employment
and Community Support Services (Commission on Accreditation of Rehabilitation
Facilities (CARF), 4891 East Grant Road, Tucson, Arizona 85711, 1996); or
Education Standards (National Accreditation Council for
Agencies Serving the Blind and Visually Handicapped, 15 West 65th Street, New
York, New York 10023, 1994).
"Agency plan." A part of the grant agreement which
identifies the services to be provided, the target population and the
geographic areas to be served. It identifies how the services will be financed
and through what budget items and funding sources.
"Authorized agency representative." The
administrative head of an agency appointed by the agency's governing body with
overall responsibility for fiscal and programmatic management.
"Code." The Mental Health and Developmental
Disabilities Code [405 ILCS 5].
"Community agency" or "agency." Local
government or not-for-profit corporation under contract with the Department to
provide services.
"Confidentiality Act." The Mental Health and
Developmental Disabilities Confidentiality Act [740 ILCS 110].
"Control." For a not-for-profit corporation,
control is indicated if current members of the governing body (or staff) of the
agency comprise 50 percent or more of the governing body of the controlled
entity or the governing body of the agency can select 50 percent or more of the
controlled entity, or any combination of seats and selection that results in
influencing 50 percent or more of the seats of the controlled entity. For a
for-profit corporation, control is indicated if the agency owns or controls, by
options or trust, 50 percent or more of the voting stock of the corporation, or
has control over the selection of over 50 percent of the governing body of the
for-profit corporation, or the hiring of its management. For a partnership,
control is being a general partner in a limited partnership, or being a partner
with more than 50 percent of the invested equity in a general partnership. For
a sole proprietorship, control exists if the proprietor is a full or part-time
employee of the grantee.
"Controlled entity." Any corporation, partnership
or sole proprietorship that is controlled by the agency's governing body.
"Day mode." An administrative designation
quantifying service activities which are delivered during any substantial and
regularly scheduled portion of a specific 24-hour time period.
"Days." Calendar days unless otherwise specified.
"Department." The Department of Human Services.
"Deemed status." If an agency has been accredited
by an approved accrediting body as identified in the definition of
"accreditation" in this Section, the Department shall deem the agency
to be in compliance with specific Sections of this Part. Deemed status,
however, may be nullified by a finding by the Department that the agency is in substantial
non-compliance with one or more of the designated Sections.
"Event mode." An administrative designation
quantifying service activities which are delivered in short, time-limited
segments.
"Fair market value." The prevailing rate at which
similar business is contracted in the agency's community, including the
following specific criteria:
Fair market rent means up to plus 10 percent from the average
of two estimates of appropriate rental costs from two local appraisers, which
the agency is responsible for securing. If the appropriate rental cost is
unclear, the Department and the agency shall establish a fair and appropriate
fee.
Fair market fees for personnel means, whenever possible, the
like prevailing rates in the community on a per day or per hour basis.
"Geographic service area." A geographic division
for the purpose of providing locally-operated networks of services. The
Department's programs are funded through a structure of service areas.
"Governing body." The policy-making authority of
an agency which establishes policies concerning the agency's operation and the
welfare of individuals; provides for the agency's administration by appointing
an authorized agency representative to implement its policies, and exercises
general oversight of the agency's operation, its fiscal affairs and
programmatic content to implement the agency's mission.
"Grant agreement." When fully executed, the
obligating instrument providing the basis for Departmental financial
participation in grant-in-aid programs, and which formalizes the contractual
relationship between the Department and the agency indicating the amount of
Department funds which will be paid to the agency for the provision of services
as described in the grant agreement and the agency plan.
"Individual" or "individuals." A person
or persons who receives or receive mental health or developmental disability
services.
"Lapse." Grant funds not expensed at the
expiration of the grant agreement, due to allowable expenses not meeting
revenue for Department grant funds awarded, by program.
"Lapse notice." A notification that the Department
has determined potential lapsed funds, when the Department revenue by program
exceeds allowable expense, by Department-funded program.
"Linkage." Person-to-person contact to assure that
the supports and services needed by the individual and specified in the
individual services plan are obtained. The qualified mental retardation
professional, qualified mental health professional or staff under their
supervision shall be responsible for assuring linkage.
"Medicaid." Medical assistance issued by the
Illinois Department of Public Aid under the provisions of Title XIX of the
Social Security Act (42 U.S.C.A. 1396 et seq. (1996)), for eligible recipients
including Aid to the Aged, Blind and Disabled (AABD), Temporary Assistance to
Needy Families (TANF), Medical Assistance No Grant (MANG), Refugee Repatriate
Program (RRP) recipients, as well as Title XIX eligible Department of Children
and Family Services (DCFS) wards.
"Network of services." A network which is
developed and maintained by service providers, community residents (including
consumers and consumer representatives), mental health authorities and the
Department (including State-operated facilities), and which is planned,
organized and coordinated for the delivery of mental disabilities services.
Such a network will emphasize continuity, accessibility, appropriateness and
comprehensiveness.
"Operating fund." A term inclusive of funds an
agency may have in its accounting records, except those in a capital fund(s).
"Performance indicator." A qualitative and/or
quantitative measure that can be included: in the assessment of how well the
mental health and developmental disabilities service system is functioning; in
evaluating both outcomes and system processes; and in assessing all levels of
the system, including the system as a whole, the geographic service area, the
agency, the State-operated facility, and the individual receiving mental health
or developmental disabilities services.
"Preliminary evaluation." The use of a system to
evaluate the physical, social, developmental, behavioral and psychosocial
aspects of an individual.
"Redistribution." A change in the distribution of
the agency's total award between two or more individual program awards,
involving an intra-agency transfer of funds; therefore, the increases to
individual programs are always balanced by the decreases to other programs, but
not changing the agency total.
"Reduction." A decrease in the level of funding to
a program currently receiving grant funds as well as a decrease to the agency
total.
"Residential mode." An administrative designation
quantifying service activities which are delivered in a specified living
environment.
"Secretary." The Secretary of the Department of
Human Services or his or her designee.
"Services" or "mental health or developmental
disability services." Any treatment or habilitation events or products as
contracted for through the grant agreement and as specified in the agency plan.
"Supplemental." For a program currently receiving
grant funds, a supplemental represents an increase to both the individual
program award and the agency total. For a new program, a supplemental
represents both the addition of a specific program award, and an increase to
the agency total.
"Umbrella agencies." Those organizations which
have overall legal, administrative, planning, and funding responsibility for
delivery of services in more than one geographic service area.
(Source: Amended at 21 Ill. Reg. 8282, effective June 25, 1997)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.15 INCORPORATION BY REFERENCE
Section 103.15 Incorporation
by reference
Any rules of any agency of the
United States or of a nationally-recognized organization or association that
are incorporated by reference in this Part are incorporated as of the date
specified and do not include any later amendments or editions.
(Source: Added at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.20 GEOGRAPHIC SERVICE AREA
Section 103.20 Geographic
service area
Agency plans shall be developed,
presented, and reviewed in the context of the needs and resources within the
geographic service area(s) to be served. The objectives stated in the plan
shall be integrated into the development of the objectives of a community-based
delivery system which is serving individuals through services or a network of
services.
a) The agency shall define and describe the specific geographic
area to be served by each program. Agencies are required to provide services
in the grant-funded programs, up to the program's capacity and capability, for
individuals in the target group who need such services.
b) All persons requesting services from any Department-funded
agency shall receive a preliminary evaluation and be provided with immediate
crisis intervention, if needed, regardless of their home area. The agency
receiving the request for services shall, if funded for these services, provide
the services. If the agency is not funded to provide these services, an
immediate referral shall be made to an agency nearby which is funded to provide
such services. The agency receiving the referral shall, then, provide the
services as requested. Pursuant to the individual's consent in accordance with
the Confidentiality Act, linkage to the individual's home area must be
undertaken with an agency most suitable for responding to the individual's
treatment and training needs.
c) Agencies receiving federal Community Mental Health Services
(CMHS) Block Grant funds (42 U.S.C.A. 300x et seq. (1996), Subpart I and III,
Part B, Title XIX, Public Health Services Act, 45 CFR 96 (1996)) through State
financing shall assure that individuals admitted to Department facilities are
screened and determined appropriate for that level of care or provide other treatment
alternatives within the local community.
(Source: Amended at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.25 AGENCY GOVERNANCE (REPEALED)
Section 103.25 Agency
governance (Repealed)
(Source: Repealed at 24 Ill. Reg. 18160, effective November 30, 2000)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.30 CONFLICT OF INTEREST (REPEALED)
Section 103.30 Conflict of
interest (Repealed)
(Source: Repealed at 24 Ill. Reg. 18160, effective November 30, 2000)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.40 COMMUNITY OPERATION OF PROGRAMS (REPEALED)
Section 103.40 Community
operation of programs (Repealed)
(Source: Repealed at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.50 GENERAL PROGRAM REQUIREMENTS
Section 103.50 General
program requirements
Agencies funded by the
Department shall meet the following general program requirements for all funded
services:
a) Service setting
Services shall be provided in the setting most appropriate to
the needs of the individual. This may include the individual's home, the
agency, or the community. All settings shall be used innovatively in order to
reach the target populations.
b) Recordkeeping
1) Cumulative case records including an individualized service
plan shall be maintained for each person.
2) The individualized service plan shall state the goals for each
individual. The individual shall be afforded the opportunity and encouraged to
participate in goal/objective selection. Goals/objectives shall include
timeframes specified by the agency's professional staff, in consultation with
the individual and relevant collaterals.
"Individualized
service plan", as used herein, refers to and is equivalent to
"individual treatment plan" and "individual habilitation
plan".
c) Behavior management and human rights review
Each agency is required to establish or ensure a process for
the periodic review of behavior intervention and human rights issues involved
in the individual's treatment and/or habilitation. Agencies required to have
behavior intervention and human rights review policies and procedures under
licensure or certification standards shall continue to comply with those
standards.
d) Abuse and neglect
Each agency shall have and use a process for reporting and
handling instances of abuse and neglect in accordance with applicable
standards, regulations and laws.
e) Admission to programming
1) Grant agencies shall not discriminate in the admission to and
provision of needed services to individuals on the basis of race, color, sex,
religion, national origin, ancestry, or disability.
2) Admission policies and procedures shall be set forth in writing
and be available for review.
f) Compliance with life safety standards and requirements
All program facilities shall be in compliance with applicable
State licensure requirements and local ordinances with regard to fire,
building, zoning, sanitation, health, and safety requirements.
g) Personnel requirements
1) A licensed physician (MD or DO) shall assume medical and legal
responsibility for medical services offered in any program, including
prescription of medications.
2) All services shall be provided by appropriately trained staff,
operating under the supervision of qualified clinical professionals.
h) Mandated services
1) Mandated services shall be provided according to the
requirements as stated in the Department's rules at 59 Ill. Adm. Code 125,
Recipient Discharge/Linkage/Aftercare.
2) The Department shall monitor the provision of mandated
follow-up monitoring services as outlined in 59 Ill. Adm. Code 125.
i) Utilization review
Utilization review is the ongoing review of services
delivered, their intensity and their duration, to determine adherence to
generally accepted guidelines or standards regarding the individual's
assessment, eligibility for service and appropriateness of services rendered.
Agencies shall engage in a utilization review process for all program services.
j) Compliance with 89 Ill. Adm. Code 509
Each agency shall comply with the Department of Human
Services Fiscal/Administrative Recordkeeping and Requirements (89 Ill. Adm.
Code 509).
(Source: Amended at 24 Ill. Reg. 18160, effective November 30, 2000)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.60 FISCAL MANAGEMENT (REPEALED)
Section 103.60 Fiscal
management (Repealed)
(Source: Repealed at 24 Ill. Reg. 18160, effective November 30, 2000)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.65 PROGRAMS ELIGIBLE FOR GRANTS
Section 103.65 Programs
eligible for grants
a) Mental health services
The following services, and others that may not be listed
herein, are eligible for State support in whole, or in part, by the Department
for the provision of community-based mental health services for eligible
clients.
1) Outpatient mental health services;
2) Screening, assessment and support services (SASS);
3) Community integrated living arrangements (CILA);
4) Day mental health services; or
5) Residential mental health services.
b) Developmental disabilities services
The following services, and others that may not be listed
herein, are eligible for State support in whole, or in part, by the Department
for the provision of community-based developmental disabilities services for
eligible clients.
1) Diagnosis and evaluation;
2) Client and family support;
3) Epilepsy services;
4) Developmental training;
5) Vocational development;
6) Early intervention;
7) Regular work;
8) Supported employment;
9) Community integrated living arrangements (CILA);
10) Case coordination;
11) Pre-admission screening;
12) Group day respite services;
13) Limited use programs;
A) Dental services;
B) Leisure time services;
C) Additional support for residential respite services;
D) Demonstration projects;
E) Program start-up;
F) Administration; or
G) Transportation.
(Source: Amended at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.70 SPECIAL ORGANIZATIONAL STRUCTURES
Section 103.70 Special
organizational structures
a) Comprehensive community mental health centers
1) As a part of the Public Health Services Act, Title XIX, Part B
(42 U.S.C.A. 300x (1996)) the CMHS Block Grant funds services provided to
persons with mental illness by comprehensive community mental health centers.
2) Comprehensive community mental health centers receiving CMHS
funds shall provide specialized outpatient services, 24-hour a day emergency
care, day treatment or other partial hospitalization, screening to determine
the appropriateness of admissions to State mental health facilities and consultation
and education services. Agencies receiving block grant funds shall also provide
services to individuals residing in a defined geographic area, with special
attention to persons with severe and persistent mental illness, regardless of
ability to pay, current or past health condition, or any other factor. These
services shall be available and accessible promptly and in a manner which
preserves human dignity and assures continuity and high quality care.
3) CMHS Block Grant funds shall not be used to: provide inpatient
services; purchase or improve land, purchase, construct or permanently improve
(other than minor remodeling) any building or other facility, or purchase major
medical equipment; satisfy any requirements for the expenditures of non-federal
funds as a condition for the receipt of federal funds; provide financial
assistance to any entity other than a public or nonprofit private entity; or
make cash payments to intended individuals.
b) Community mental health (708) boards
1) As required by the Community Mental Health Act [405 ILCS 20],
community mental health boards (708) shall develop and submit a comprehensive
plan for mental health and developmental disabilities programs in their
geographic area by October 1 of each year for the ensuing 12-month and 3-year
periods. Such plans shall be submitted annually for the ensuing 12 months to
the Department.
2) When there is more than one 708 board within the geographic
service area, the Department encourages the development of a single plan and a
single delivery system for the entire geographic service area.
3) Pursuant to Section 3e(h) of the Community Mental Health Act,
the Department will not make grant awards without consideration to the review
and comments submitted by the 708 boards.
4) Programs operated by a 708 board are eligible for grant
funding for no more than two fiscal years and must fully meet the requirements
of this Part.
5) The Department will not participate in the costs of a 708
board which are attributable to the administration of local funds, duties and
responsibilities. However, the Department may participate in the administrative
costs of a 708 board which are directly attributable to the cost of
administering Departmental duties and responsibilities.
6) Authorized agency representatives and staff of agencies
funded by both 708 boards and the Department may not serve concurrently as a
member or as staff of the 708 board. Individual exceptions to this provision
must be justified in writing and require the written approval of the Secretary.
Reasons for exceptions may include but are not necessarily limited to rural
areas with limited numbers of mental health professionals.
c) Public health departments
1) County, multiple county, and municipal public health
departments established by either referendum or resolution have the option to
provide mental health and developmental disabilities services (see the
Department of Public Health's rules at 77 Ill. Adm. Code 615 (Local Health
Departments Program Standards Code)). Those public health departments which opt
to provide these services are eligible agencies for grant funds, whether they
provide services directly or by contract with existing providers of services (either
within or outside the geographic service area).
2) Administrative costs of non-Department funded programs within
a public health department are not eligible for funding by the Department.
3) A mental health and developmental disabilities services
advisory committee must be appointed by the health department board.
4) Department-funded local health departments shall be in
compliance with 77 Ill. Adm. Code 615.
d) Umbrella agencies
A plan for providing community input to the operation of units
of the umbrella agency shall be developed for use by the umbrella agency. This
plan shall be available for review by Department staff.
(Source: Amended at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.80 MONITORING AND EVALUATION
Section 103.80 Monitoring
and evaluation
The agency shall agree to
participate in a monitoring and evaluation system as described in the grant
agreement.
a) Evaluation methodologies
Agencies shall develop evaluation methodologies that address
the issues of the effective and efficient use of program resources; for
example, quality assurance, utilization review, and professional services
review organization. The agency shall also provide documentation of the
implementation of these evaluation methodologies and demonstrate how the
information gained through evaluation efforts is used in the planning process.
The Department shall review and provide consultation in this evaluation effort.
b) Monitoring
Monitoring is the review of the agency's compliance with
contractual obligations, applicable administrative rules and legislation and
insuring that Departmental funds are spent appropriately for services as
specified in the grant agreement. Monitoring may include desk review and site
review of agency performance.
c) Performance indicators
Performance indicators shall be established for each agency
as a part of the annual grant negotiation process. Performance indicator data
shall be routinely distributed to the agency as part of the monitoring process.
Previous data on performance indicators shall be included in this distribution
to allow for analysis of change in functioning over time.
(Source: Amended at 17 Ill. Reg. 10282, effective July 1, 1993)
SUBPART B: OPERATIONAL PROCEDURES
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.90 FISCAL REQUIREMENTS (REPEALED)
Section 103.90 Fiscal
requirements (Repealed)
(Source: Repealed at 24 Ill. Reg. 18160, effective November 30, 2000)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.95 GRANT NEGOTIATION PROCESS
Section 103.95 Grant
negotiation process
A number of factors enter into
the grant negotiation process, including, but not limited to:
a) A review of program expenses for the budget year and the past
year;
b) Whether the agency provided the level of services budgeted for
in prior years;
c) Number of individuals to be served;
d) Characteristics of individuals to be served (such as, disability
or severity);
e) Cost per unit of service;
f) Other funding sources (such as, other State agencies, local
governmental units, third party payors or individual fees);
g) Services proposed to be funded versus those outlined in the
Department's annual plan;
h) The agency's current financial status;
i) The agency's ability to meet its own established goals;
j) Impact of recent Department audit findings or independent
audit report conditions on the agency's operation;
k) Maintenance of effort needs; and
l) Performance indicators.
(Source: Added at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.100 ACCOUNTING REQUIREMENTS (REPEALED)
Section 103.100 Accounting
requirements (Repealed)
(Source: Repealed at 24 Ill. Reg. 18160, effective November 30, 2000)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.110 ALLOWABLE/NON-ALLOWABLE EXPENSES (REPEALED)
Section 103.110
Allowable/non-allowable expenses (Repealed)
(Source: Repealed at 24 Ill. Reg. 18160, effective November 30, 2000)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.120 AUDITS
Section 103.120 Audits
a) Each agency receiving a grant from the Department shall have
an annual independent audit as of the close of its fiscal year. This audit
shall be performed in accordance with Section 89 Ill. Adm. Code 507.
(Source: Amended at 22 Ill. Reg. 22390, effective December 8, 1998)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.130 DEPARTMENT REVIEW AND HEARING PROCESS
Section 103.130 Department
review and hearing process
In order to assure that agencies
have input and recourse to fiscal and programmatic decisions which directly
affect them, a Department review and hearing process is established and
available to each Department-funded agency:
a) Grant award re-evaluation process
1) An agency may request a review of the following decisions of
the Department concerning an award of funds:
A) Differences or changes in the elements considered in the
funding negotiations with the Department as specified in Section 103.90; or
B) Decisions which countermand previous commitments made to the
agency.
2) The request shall be submitted in writing to the associate
director of the appropriate program division within 45 days after the date of
an executed or amended grant agreement and shall include the basis for the
request.
3) Program division staff shall review the request and may
request the agency to submit additional material. The program division staff
shall render a written decision with 45 days after the date of the receipt of
the request or of the additional material. The decision shall be mailed to the
agency within 15 days after the completion of the review.
4) Program division staff may meet with the agency
representatives for purposes of clarifying issues, seeking additional
information, or attempting to resolve the matter.
b) Grant award hearing process
1) Agencies may submit a written request to the Department for a
formal hearing only when resolution of the issues specified in subsection (a)
of this Section is not in accordance with this Part.
2) A hearing may be requested by an agency not later than 30 days
after the postmark date of the letter from the Department's program divisions
informing the agency of the outcome of the review. The written request for a
formal hearing must state specifically how the outcome was not in accordance
with this Part.
3) Notice of hearing proceedings shall be in accordance with
Section 10-25 of the Illinois Administrative Procedure Act [5 ILCS 100/10-25].
4) The hearing shall be conducted by a Department hearing
committee, appointed by the Secretary, and composed of an agency representative
selected from a roster of authorized agency representatives and who is not
objectionable to the appealing agency, the associate director for the
applicable program division or his or her designee(s) and the Associate
Director of Administrative Services or his or her designee, who shall chair the
committee.
A) At the hearing, Department staff shall present written and oral
evidence concerning the Department's decision. The agency may then present
written or oral evidence.
B) The Department shall have the burden of proving that its
decision was made in accordance with this Part.
C) The hearing officer shall uphold the Department's decision if
he or she finds that the decision was supported by substantial evidence.
Substantial evidence is such evidence as a reasonable person can accept as
adequate to support a conclusion.
5) The hearing shall be held not later than 45 days after receipt
of the agency's request.
6) The finding(s) and decision of the hearing committee shall be
made not later than 10 working days following the conclusion of the hearing
proceedings and shall be sent to the agency via certified mail.
c) Secretary's review
1) If the agency is not satisfied with the committee's decision,
it may request a review of the decision by the Secretary or his or her
designee. Such request shall be made in writing to the Secretary within 20
days after receipt of the decision.
2) After receiving the request for review, the Secretary or his
or her designee shall review the committee's decision and copies of all
documents considered at the hearing. Within 20 working days after receipt of
the request for review, the Secretary or his or her designee shall issue a
written decision upholding, revising or modifying the committee's decision.
Copies of the decision shall be sent to the Department and the agency.
3) The Secretary's or designee's decision shall constitute a
final administrative decision, which is appealable in accordance with the
Administrative Review Law [735 ILCS 5/Art. III].
d) Grant issue resolution process – for adjustments during the
year.
1) Issues other than those directly related to the annual grant
award process and not an exception to this Part are to be resolved within the
Department's existing program division structure.
2) An agency may request a review related to a specific issue once
an impasse has been reached in its negotiations with that program division
level of the Department to which it relates on a regular basis.
3) If the program division and the agency are unable to resolve
the issue, the agency may submit a written request to the Secretary for
review. The agency shall send a copy of this request to the relevant program
division. The Secretary shall not act on a review request unless the program
division review process previously described has been exhausted.
e) The Department and the agency shall comply with all timeframes
for submission of information, response to submission of information, notice,
review or hearing as outlined in this Section regarding audits. The agency may
appeal the Department's failure to respond to timelines as outlined in this
Section.
(Source: Amended at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.140 BUDGET APPLICATION (REPEALED)
Section 103.140 Budget
application (Repealed)
(Source: Repealed at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.150 AGENCY PLAN
Section 103.150 Agency plan
a) The agency shall submit an agency continuation application
prior to the beginning of the fiscal year. The purpose of the continuation
application is to provide documentation of service and service contracting in
order to permit continuation of grant payment into the new fiscal year. A
complete agency plan shall be submitted after the beginning of the fiscal year.
b) All agencies are required to submit their data on forms
prescribed by the Department.
c) Hereafter, in this Section and other Sections of this Part,
" agency plan" shall refer to the currently approved program service
and funding plan.
d) The agency plan when fully executed as part of the grant
agreement, serves as the formal statement of mutual expectations between the
Department and the agency regarding contracted levels of service, costs and
funding levels. The agency plan is a combination service plan and budget. It
identifies what services will be provided, to what target group and the
geographical area to be served. In addition, it identifies how the services
will be financed, and through what budget items and funding sources. It becomes
formalized documentation of the agreement between the Department and the agency
through mutual execution of the grant agreement.
e) An agency not funded by the Department or whose funding has
been canceled pursuant to Section 103.190(e) shall submit verification of
status as a not-for-profit organization, a complete agency plan on forms
prescribed by the Department and shall execute a signed grant agreement prior
to commencement of funding.
(Source: Amended at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.160 GRANT AGREEMENT AND ADDENDA
Section 103.160 Grant
agreement and addenda
a) Definition of grant agreement
When fully executed, the grant agreement is the obligating
instrument providing the basis for the Departmental financial participation in
grant-in-aid programs, and which formalizes the contractual relationship
between the Department and the agency, indicating the amount of Department
funds which will be paid to the agency for the provision of services as
described in the grant agreement and the agency plan.
b) Contents of grant agreement
The grant agreement shall specify the general services to be
provided, the general terms and conditions of the agreement and may specify
additional terms and conditions for specific services provided by the agency.
c) Preparation responsibilities
The Department is responsible for preparing the grant
agreement, designating the appropriate addenda, and forwarding it to the
agency. The agency shall sign the grant agreement and return it to the
Department. The Department agent's signature shall be affixed thereby approving
the grant agreement. An approved and executed copy shall be returned to the
agency.
d) Provisions of the grant agreement
Provisions, as referenced in the grant agreement when
applicable, and as described below become part of the grant agreement.
1) Non-discrimination
A) The agency agrees to comply with Title VI of the Civil Rights
Act of 1964 (42 U.S.C.A. 2000d (1996)) and all requirements imposed by or
pursuant to the regulation of the U.S. Department of Health and Human Services
(45 CFR 80 (1996)) issued pursuant to that Title, to the end that, in
accordance with Title VI of that Act and the regulation, no person in the
United States shall, on the grounds of sex, race, color, or national origin be
excluded from participation in, be denied the benefits of, or be otherwise
subjected to discrimination under any program or activity for which the grantee
receives federal or State financial assistance from the grantor. Grantee hereby
gives assurance that it will immediately take any measures necessary to
effectuate this grant agreement.
B) The agency agrees to comply with Title VII of the Civil Rights
Act of 1964 (42 U.S.C.A. 2000e (1996)) and not discriminate in the hiring or
employment of staff on the basis of race, color, national origin, age,
disability or sex.
C) The agency agrees to comply with the Americans With
Disabilities Act of 1990 (42 U.S.C. 12101-12213 (1996) and 47 U.S.C. 225 and
611 (1996)) and all requirements imposed by or pursuant to the regulations of
the U.S. Department of Health and Human Services issued pursuant to that
statute, to the end that no otherwise qualified individual shall be
discriminated against on the basis of handicap in the provision of services.
2) Drug-free workplace
The agency agrees to comply with the Drug-Free Workplace Act
[30 ILCS 580]. Agency employees are prohibited from the unlawful manufacture,
dispensing, possession or use of a controlled substance or alcohol in the
workplace while performing their duties.
3) Mandated follow-up monitoring services
A) The agency shall comply with Section 15 of the Mental Health
and Developmental Disabilities Administrative Act and the Department's rules at
59 Ill. Adm. Code 125 (Recipient Discharge/Linkage/Aftercare), which requires
mandatory follow-up monitoring services to individuals placed in licensed
nursing homes, sheltered care homes and homes for the aged in accordance with
the Nursing Home Care Act [210 ILCS 45], and this Part.
B) The agency shall comply with the provisions of 59 Ill. Adm.
Code 101.80 (Conflict of interest) in relation to its activities with licensed
long-term care facilities. In essence, no employee of the agency shall serve as
an employee or consultant either paid or unpaid to any licensed facility in the
State of Illinois. Additionally, the agency itself shall not be in a financial
relationship with a licensed facility in such a way which results in, or
appears to result in, a conflict of interest with its monitoring functions
under the grant. This shall include, at the very least, a situation where the
agency is purchasing or receiving services from the same facility it monitors
under this grant. The Secretary may issue approvals for exceptions which have
been requested in writing to this subsection under circumstances including but
not necessarily limited to those where the only developmental disabilities or
mental health expertise available in a rural area is part of a current grant or
of a governmental agency.
C) The Department shall monitor the agency's performance of the
mandated follow-up monitoring function and maintain final responsibility for
the provision of this service if the grant agreement is violated.
4) Adjustments addendum
This addendum is used for corrections, a redistribution, a
supplemental award or a reduction in award.
(Source: Amended at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.165 ACCREDITATION (REPEALED)
Section 103.165
Accreditation (Repealed)
(Source: Repealed at 24 Ill. Reg. 18160, effective November 30, 2000)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.170 AGENCY PLAN COMPLIANCE
Section 103.170 Agency plan
compliance
a) The principles and procedures in subsections (c) through (e)
of this Section do not replace any of the Departmental accountability standards
and procedures currently in effect; rather, they are intended to clarify
responsibilities for assuring compliance with all Departmental policy as it
relates to the agency plan.
b) Principles
1) All agencies are accountable for the performance levels
specified in their agency plans. Variances between the agency plan and an
agency's actual performance as submitted to the reporting system shall be
reviewed by the Department staff. Services shall be reported as event mode,
day mode, residential mode services or other mutually negotiated measurements.
An agency must be able to explain these variances to the Department's request.
2) The analysis of financial and statistical variances is not, in
itself, an exercise in quality assessment. Variances are principally
quantitative measures which should be used as an administrative guide in
reviewing program performance.
3) The delivery of human services is not always predictably
quantifiable in precise terms; variances, therefore, are not always meaningful
measures.
4) All negative variances of 15% or greater in contracted units
of service (direct service staff hours, direct service individual (client)
hours, and days of care) shall be reviewed. Documentation shall be provided to
the Department by the agency identifying the variance, the reason for the
variance and action which the agency shall take to correct the variance.
5) The variance levels described in subsection (b) (4) of this
Section are not intended to define an acceptable level of service but serve
only as a "management flag" identifying the point beyond which formal
documentation is required for Department review.
6) In applying these principles, it is important for the mutual
expectations between the Department and the agency to be clearly established
and for discussions regarding these expectations to be ongoing.
c) Procedures for Department review
1) During the grant year, events occur that may result in
variations between the agency plan and the agency's actual performance, either
statistically or financially. These variances in performance may be either
temporary or permanent.
A) A temporary variance is a difference between the agency plan
and actual performance that is caused by a short-lived event or circumstance
that will not adversely impact a program's ability to perform as outlined in
the agency plan, except in the short term. Best estimates of the program's
future financial and service activity would indicate the correctness of staying
with the current agency plan rather than changing it to meet the unusual and
temporary circumstances. In other words, the causes of temporary variance are,
by their nature, not sufficient reason to change the approved agency plan.
B) A permanent variance is a difference between the agency plan
and actual performance that is caused by an event or circumstances that
significantly alter expectations about the future financial or service activity
in terms of a program's ability to perform as outlined in the approved agency
plan. The causes of a permanent variance are such that a new agency plan will
have to be negotiated between the agency and the Department.
2) It is the Department's responsibility to exercise a review
function for all funded agencies assuring accountability for the service levels
and costs established in all agency plans. To effectively perform this role,
all statistical and financial variances from agency plans shall be reviewed
semiannually (at a minimum). In addition, the Department may schedule site
visits to agencies as part of this review process.
d) Identifying statistical variances
1) As administrative guide in conducting reviews, Department
staff will focus on the following measures which are based on service
projections included in the agency plan. These measures indicate the total
units of service delivered by a program:
A) Either direct service staff hours, direct service individual
(client) hours or total program participant hours, or as appropriate, total
individual days of service.
B) For all programs with a variance in one of the above measures,
written explanations are required if the variance exceeds minus 15%. For any
variance identified in this manner, documentation is required at least
semiannually. (Explanations, however, must addresses the variance for each
month within the period.)
2) Variances requiring documentation
Those statistical variances which require documentation are
identified in reports generated from the Department's reporting system.
Variances will be determined according to the service modality of the program.
e) Audits
Documentation of variances and the records of renegotiated
agency plans form the basis for any after-the-fact review of an agency's
relationship with the Department.
(Source: Amended at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.180 PREREQUISITES FOR DISBURSEMENT OF FUNDS
Section 103.180
Prerequisites for disbursement of funds
a) Agencies are required to submit a continuation application for
the forthcoming year prior to commencement of the fiscal year, within
timeframes as established by and using forms prescribed by the Department.
b) Agencies are further required to submit a full agency plan for
the Department's review and approval within timeframes as established by and
using forms prescribed by the Department.
(Source: Amended at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.190 INTERRUPTION OF DISBURSEMENT AND GRANT CANCELLATION (REPEALED)
Section 103.190 Interruption
of disbursement and grant cancellation (Repealed)
(Source: Repealed at 24 Ill. Reg. 18160, effective November 30, 2000)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.200 REVENUE/EXPENSE REPORTS (REPEALED)
Section 103.200
Revenue/expense reports (Repealed)
(Source: Repealed at 17 Ill. Reg. 10282, effective July 1, 1993)
| TITLE 59: MENTAL HEALTH
CHAPTER I: DEPARTMENT OF HUMAN SERVICES
PART 103
GRANTS
SECTION 103.210 REALLOCATION
Section 103.210 Reallocation
Reallocation of funds
Agencies may transfer funds
between programs within the agency plan guidelines distributed by the
Department. Agencies desiring to reallocate funds in excess of agency plan
guidelines must request this reallocation in writing prior to the expiration of
the grant agreement. Authorization to transfer these funds within the agency
plan guidelines distributed by the Department will be allowable, with
justification, unless the Department indicates to the contrary within 30 days
after notification. The agency must request this reallocation by registered
mail prior to the end of the fiscal year.
(Source: Amended at 24 Ill. Reg. 18160, effective November 30, 2000)
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