Early Intervention CSA Attachment O

I. INTRODUCTION

This document serves as an attachment to the Department of Human Services (DHS) Community Services Agreement and sets forth supplemental contractual obligations between Child and Family Connections (CFCs) and DHS. The attachment provides contractual requirements beyond and in addition to those in the Agreement and is intended to deal with the programmatic areas of the Bureau of Early Intervention.

II. APPLICABLE RULES

The Provider agrees to be knowledgeable of and comply with all applicable state and federal statues and administrative rules guidelines and executive orders applicable to the provision of services under this agreement, including, but not necessarily limited to the following:

Federal Rules

  1. Individuals with Disabilities Education Act (IDEA) (20 U.S.C. 1400 et. seq.), Title I, Part C and 34 CFR 303
  2. Medicaid provisions of Title XIX of the Social Security Act (42 U.S.C §§ 396 et seq.) and its rules, 42 CFR 430 et seq.
  3. Family Education Rights and Privacy Act (FERPA) (20 U.S.C. 9g) and 34 CFR 99
  4. Health Insurance Portability and Privacy Act (HIPPA) (Public Law 104-191, Title II, §§ 262(a), 100stat. 2024).
  5. 7 CFR 246: Special Supplemental Nutrition Program for Women, Infants and Children
  6. 7 CFR 247: Distribution and Use of Commodity Supplemental Food Program Commodities
  7. 7 CFR 248: WIC Farmer's Market Nutrition Program
  8. 7 CFR 249: Senior Farmer's Market Nutrition Program
  9. 42 CFR 430 et seq.: Medicaid provisions of Title XIX of the Social Security Act and its  rules
  10. 42 CFR 431.300 - 431.307: Medicaid provisions of Title XIX of the Social Security Act and its rules, specifically provisions regarding "Safeguarding Information on Applicants and Recipients"
  11. 42 CFR Part 50, Subpart B: Policies of General Applicability, Sterilization of  Persons in Federally Assisted Family Planning Projects
  12. 42 CFR Part 50, Subpart C: Policies of General Applicability, Abortions and Related Medical Services in Federally Assisted Programs of the Public Health Service
  13. 42 CFR 54.1 et seq.: U.S. Department of Health and Human Services provisions regarding Charitable Choice
  14. 45 CFR Part 16: Procedures of the Departmental Grant Appeals Board
  15. 45 CFR Part 59 SubPart A: Regulations for Title X Family Planning Services
  16. 45 CFR 74 and 45 CFR 75: U.S. Department of Health and Human Services provisions regarding Administration of Grants
  17. 45 CFR Part 96: Substance Abuse Prevention and Treatment Block Grant (SAPT) regulations
  18. 45 CFR Part 96: Tobacco regulations for SAPT (SYNAR Amendment)
  19. 45 CFR 260: General Temporary Assistance for Needy Families (TANF) Provisions

Federal Statutes

  1. 7 U.S. Code 3007: Farm Security and Rural Investment act
  2. 20 U.S. Code 1431: Individuals with Disabilities Education Act, Part C
  3. 20 U.S. Code 6301: Safe and Drug Free Schools and Communities Act, Title IV
  4. 22 U.S. Code 7102 et seq.: Victims of Trafficking and Violence Protection Act
  5. 42 U.S. Code 290aa et seq.: Public Health Service Act
  6. 42 U.S. Code 300 et seq.: Block Grant Regarding Mental Health and Substance Abuse
  7. 42 U.S. Code 701 et seq.: Maternal and Child Health Services Block Grant
  8. 42 U.S. Coe 1786: Special Supplemental Nutrition Program For Women, Infants and Children
  9. 42 U.S. Code 5101 et seq.: Child Abuse Prevention and Treatment Act of 1996
  10. 42 U.S. Code 5601 et seq.: Juvenile Justice and Delinquency Prevention Act
  11. 42 U.S. Code 10401 et seq.: Family Violence Prevention and Services Act
  12. 42 U.S. Code 12501 et seq.: National and Community Service Act of 1990 as amended by the National and Community Service Trust Act of 1993
  13. 42 U.S. Code 13701 et seq.: Violent Crime Control and Law Enforcement Act of 1994
  14. 42 U.S. Code Chapter 6A, Subchapter VIII, Section 300: Population Research and Voluntary Family Planning Programs
  15. 42 U.S. Code Chapter 7, Subchapter V, Section 701: Authorization of Appropriations

Executive Orders

(http://www2.illinois.gov/gov/Pages/ExecOrders.aspx)

Administrative Orders

Administrative Order #1: (http://www.illinois.gov/publicincludes/statehome/gov/documents/AO-2010-1.pdf)

Illinois Emergency Budget Act of Fiscal Year 2011 SB3660 Enrolled

(http://www.ilga.gov/legislation/96/SB/09600SB3660enr.htm)

Illinois Administrative Code:

(http://www.ilga.gov/commission/jcar/admincode/titles.html)

ILL Constitution (1970 act. 1, sec. 17, Fair Employment Practices)

(http://www.ilga.gov/commission/lrb/con1.htm)

SAMS (Section 11) - Expenditure Authority

(http://www.apps.ioc.state.il.us/ioc-pdf/SAMSManualMaster.pdf) (pg. 392)

SAMS Procedure 15.20.95 - Contract Signatures

(http://www.apps.ioc.state.il.us/ioc-pdf/SAMSManualMaster.pdf) (pg. 665)

State Rules

Early Intervention Services Systems Act, 325 ILSC 20/1 et seq., and 59 Ill. Admin. Code 500.

State Rules: Title 77 Illinois Administrative Code

  1. Part 630: Maternal and Child Health Services Code
  2. Part 635: Family Planning Services Code
  3. Part 672: WIC Vendor Management Code
  4. Part 2030: Award and Monitoring of Funds
  5. Part 2200: School Based/Linked Health Centers

State Rules: Title 89 Illinois Administrative Code

  1. Part 130.200: Administration of Social Service Programs, Domestic Violence Shelter and Service Programs
  2. Part 310: Delivery of Youth Services Funded by the Department of Human Services
  3. Part 313: Community Services
  4. Part 334: Administration and Funding of Community-Based Services to Youth
  5. Part 500: Early Intervention Program
  6. Part 501: Partner Abuse Intervention
  7. Part 504: Universal Newborn Hearing Screening Program
  8. Part 507: Audit Requirements of DHS
  9. Part 509: Fiscal/Administrative Recordkeeping and Requirements
  10. Part 511: Grants and Grant Funds Recovery

State Statutes

  1. 5 ILCS 420/1-101 et seq: Illinois Governmental Ethics Act
  2. 5 ILCS 430 et seq: State Officials and Employees Ethics Act
  3. 20 ILCS 405/405-300 Civil Administrative Code of Illinois
  4. 20 ILCS 505/17: Children and Family Services Act
  5. 20 ILCS 710: Illinois Commission on Volunteerism and Community Services Act
  6. 20 ILCS 1305: Department of Human Services Act
  7. 20 ILCS 1310: Domestic Violence Shelters Act
  8. 20 ILCS 1330: Diabetes Initiative Act
  9. 20 ILCS 2310/55.05: Civil Admin. Code of Illinois
  10. 30 ILCS 105/9.04: State Finance Act
  11. 30 ILCS 105/15a: State Finance Act
  12. 30 ILCS 50/1-1 et seq: Illinois Procurement Code
  13. 30 ILCS 435/15: Human Services provider Bond Reserve Payment Act
  14. 30 ILCS 500/1-15.60: Illinois Procurement Code
  15. 30 ILCS 500/20-80: Illinois Procurement Code
  16. 30 ILCS 540/1 et seq: State Prompt Payment Act
  17. 30 ILCS 575/0.01 et seq: Business Enterprise Program for Minorities, Females and Persons with Disabilities
  18. 30 ILCS 590/1 et seq: State Agency Employees Child Care Services Act
  19. 30 ILCS 705/1: Illinois Grant Funds Recovery Act
  20. 225 ILCS 10: Child Care Act of 1969
  21. 225 ILCS 460/1: Solicitation for Charity Act
  22. 305 ILCS 5/9-1, 12-4.5 through 12-4.7, and 12-13: Illinois Public Aid Code
  23. 325 ILCS 5: Abused and Neglected Child Reporting Act
  24. 325 ILCS 20: Early Intervention Services System Act
  25. 410 ILCS 212: Illinois Family Case Management Act
  26. 410 ILCS 213: Hearing Screening for Newborns Act
  27. 410 ILCS 250: Developmental Disabilities Prevention Act
  28. 410 ILCS 255: WIC Vendor Management Act
  29. 410 ILCS 505: Autopsy Act
  30. 415 ILCS 20/3: Illinois Solid Waste Management Act
  31. 705 ILCS 405: Illinois Juvenile Court Act
  32. 705 ILCS 5/3-12-7: Unified Code of Corrections
  33. 720 ILCS 5/33E-9 Criminal Code
  34. 730 ILCS 110/16.1: Unified Code of Corrections, Probation and Probation Officers Act
  35. 750 ILCS 30: Emancipation of Minors Act
  36. 750 ILCS 60/227: Illinois Domestic Violence Act of 1986
  37. 760 ILCS 55/1: Charitable Trust Act
  38. 805 ILCS 5: Business Corporation Act

Note on Provider Audit Requirements

The State General Revenue Funds disbursed through the Department of Human Services, Division of Community Health and Prevention, are usually Maintenance of Effort (MOE) or Temporary Assistance for Needy Families (TANF) matching funds. Therefore, these funds are generally treated as FEDERAL FUNDS at the end of the fiscal year. Such treatment of State General Revenue Funds as Federal Funds may cause the Provider to fall under the audit requirements of OMB Circular A-133. This knowledge can be used to avoid unnecessary additional costs when requesting year-end fiscal audits. The Provider is therefore advised to notify their independent auditor (CPA) of this possibility.

III. PROGRAM SERVICES

Program services are listed separately in the Bureau of Early Intervention Child and Family Connections program manual, found at www.dhs.state.il.us/ei

IV. PROGRAM PLAN AND DELIVERABLES

Not Applicable

V. PAYMENT

The Department will utilize one of the funding methods outlined below.

  1. Fee for Service - A program for which the payments are made on the basis of a rate, unit cost or allowable cost incurred and are based on a statement or bill as required by the Department. Payments made as a fee-for-service are not subject to the Illinois Grant Funds Recovery Act (30 ILCS 705/1 et. seq.)
  2. Grants - A program that receives all or part of the funding in advance of the actual delivery of services. This includes prorated prospective payments and payments made by the Department on an estimated basis or any other basis when the Department does not know the actual amount earned by the Provider. This does not include advance payments made under the authority of the Illinois Finance Act (30 ILCS 105/9.05). All funds paid as a grant are subject to the Illinois Grant Funds Recover Act (30 ILCS 705/1 et. seq.)
    1. Eligible Expenditures v. Program Revenue - This method compares the eligible expenditures to the total Department revenues by program. An independent audit and associated supplemental revenue and expense schedule may be required from the Provider. Eligible expenditure will be determined based on 89 Ill Admin Code 509.20. Allowable/Unallowable Costs and specific program requirements, if applicable.
    2. Eligible Services Delivered v. Services Projected - This method compares the actual eligible services delivered to the services projected in the contract or agreement. If the services were based on a rate or unit of cost methodology, the number of eligible service units delivered times the rate or unit is compared to the total of all grant payments for that service.
  3. Methods - Payments to the Provider will be made monthly based on one-third of a quarterly award amount and rounded to the nearest $100.00. The final payment may be greater or lesser than the previous payments due to rounding.

    The Department will compare the amount of the prospective payments made to date with the documented expenditures provided to the Department by the Provider. In the event the documented services provided by the Provider do not justify the level of award being provided to the Provider, future payments may be withheld or reduced until such time as the services documentation provided by the Provider equals the amounts previously provided to the Provider. Failure of the Provider to provide timely documentation may result in a reduction to the total award.

    The final payment from the Department under this Agreement shall be made upon the Department's determination that all requirements under this Agreement have been completed, which determination shall not be unreasonably withheld. Such final payment will be subject to adjustment after the completion of a review of the Provider's records as provided in the Agreement.

    Exceptions to the standard contract provision as stated above are provided under Special Conditions, Section VIII.

VI. ELIGIBILITY CRITERIA

All services funded by DHS/Bureau of Early Intervention must meet stated eligibility conditions in the Child and Family Connections Program Manual and as dictated in Ill. Admin Code 500 which are both located at: www.dhs.state.il.us/ei

VII. REPORTING REQUIREMENTS

The Provider shall use the following methodology to document the use of these funds:

  1. The Provider shall provide summary documentation by line item actual expenditures incurred for the purchase of goods and services necessary for conducting program activities.
  2. The Provider shall use generally accepted accounting practices to record expenditures and revenues as set forth in 89 Ill. Admin. Code 509 - Fiscal/Administrative Recordkeeping and Requirements.
  3. Expenditure documentation shall be submitted to the Department on a quarterly basis, within one-month after the end of each calendar quarter, as specified below.
    Quarter Period Covered Due Date
    1 July 1, 2011 - September 30, 2011 November 1, 2011
    2 October 1, 2011 - December 31, 2011 February 1, 2012
    3 January 1, 2012 - March 31, 2012 May 1, 2012
    4 April 1, 2012 - June 30, 2012 August 1, 2012
  4. The Provider shall submit expenditure documentation to the following address:


  1. Mail

    Illinois Department of Human Services
    Division of Community Health and Prevention
    Fiscal Support Services
    815-823 East Monroe Street
    Springfield, IL  62701

  2. Fax

    217-524-2491  ATTN:  EI Expenditure Documentation

VIII. SPECIAL CONDITIONS

The Department will make monthly payments to the provider based upon quarterly award amounts that are determined using the following six factors as set forth below: The Grant Recovery Act (30 ILCS 705/1 et. seq.) applies to all payments made under this contract.

  1. Service Coordination Payments

    The amount earned for service coordination determine the quarterly base award amount and will be set based on the average number of children with active IFSPs at the end of each month for a given period. Quarterly base award amounts will be based on six-month average caseloads as follows:

    Service Period

    Data Period

    July 1, 2011 - September 30, 2011

    October 2010 - March 2011

    October 1, 2011 - December 31, 2011

    January 2011 - June 2011

    January 1, 2012 - March 31, 2012

    April 2011 - September 2011

    April 1, 2012 - June 30, 2012

    July 2011 - December 2011


    The average caseload will be divided by 43 to determine the number of funded service coordinators for the quarter. $58,710 is allocated for each service coordinator position to cover the coordinator and related administrative and supporting costs. The resulting annualized base funding will be divided by four to determine the quarterly base award amount.
  2. Incentive Payments

    Incentive payments, will be granted as a percentage of the quarterly base award amount to agencies ranking in the top 12 in any of the measures, as follows:

    1. A 1% incentive will be granted for having one of the 12 highest percentage of service plans (IFSPs) initiated before a child's first birthday over the designated six-month period. (See service coordination payment data period above.)
    2. A 1% incentive will be granted for having one of the 12 highest rates of IFSPs completed within 45 days over the designated six-month period. (See service coordination payment data period above.)
    3. A 1% incentive will be granted for having one of the 12 highest rates of closures at age 3 being either special education eligible or receiving a referral to other appropriate services if they are found ineligible for special education over the designated six-month period. (See service coordination payment data period above.)
    4. A 1% incentive will be granted for having one of the 12 highest rates of transition meetings for Special Education recorded for children who leave Early Intervention at 30-months of age or older, excluding terminations for death, moves out of state and because the plan of care was complete prior to age 3, during the designated six-month period. (See service coordination payment data period above.)
    5. A 1% incentive will be granted for having one of the 12 highest average participation rates for children under age 1 over the designated six-month period. (See service coordination payment data period above.) Under 1 participation rates are calculated by dividing the number of active IFSPs under age 1 by the number of live births in that area in the most recent year for which data is available from the Illinois Department of Public Health.
    6. A 1% incentive will be granted for having one of the 12 lowest percentages of program terminations prior to IFSP for family reasons over the designated six-month period. (See service coordination payment data period above.)
    7. A 1% incentive will be granted for having one of the 12 lowest percentages of program terminations from an active IFSP for family reasons over the designated six-month period. (See service coordination payment data period above.)
    8. A 1% incentive will be granted for having one of the 12 lowest percentages of cases over 2 1/2 year of age, over the designated six-month period. (See service coordination payment data period above.)
    9. A 1% incentive will be granted for having one of the 12 lowest average number of days between referral and initial IFSP over the designated six-month period. (See service coordination payment data period above.)
    10. A 1% incentive will be granted for having one of the 12 highest percentages of service occurrences delivered in natural settings over the designated six-month period. (See service coordination payment data period above.) Occurrences are measured as all services reported to the Central Billing Office, including those paid by insurance. Natural environment is defined as services delivered in the home, child care settings, or other settings. It primarily excludes services delivered at provider facilities or in early intervention classes or programs.
  3. Penalty Adjustments

    Penalty adjustments will be subtracted from quarterly base award amounts for failure to meet basic performance levels in the five areas set forth before. Multiple failures to meet penalty floors may result in the transfer of cases to other CFCs or consideration of rebidding of the CFCs contract.  Reporting periods are established based on Section A-Service Coordination Payments.

    1. A penalty will be assessed against the following quarterly payment in an amount equal to the value of the number of FTE service coordinators that were below an 82% staffing level based on the average staffing levels over the previous quarterly reporting period.
    2. A 1% reduction will be made to the quarterly base payment if the proportion of cases in intake over 45 days exceeds 5% over the most recently completed quarter. A 2% reduction will be assessed if the percent over 45 days exceeds 7.5%.
    3. A 1% reduction will be made to the quarterly base payment if less than 85% of children with open service plans have their services authorized predominately in a natural setting (home or day care and other community settings) on the last day of each quarterly data period as outlined in VIII (A) above.
    4. A 1% reduction will be made to the quarterly base payment if the average age of children entering the system with new initial IFSPs for the designated six-month period exceeds 630 days. (See service coordination payment data period above.) A 2% reduction will be made if the average exceeds 640 days.
  4. Local Interagency Council Coordination

    Quarterly award amounts will include funds for Local Interagency Council Coordination, as set forth in the Child and Family Connections Manual. A minimum grant of $19,000 will be made for basic coordination activities. An additional $3,000 is granted for each local council within the CFC's service area. One-fourth of this funding will be included with each quarterly award amount.

  5. Parent Liaison Activities

    Quarterly award amounts will include funds for Parent Liaison activities, as set forth in the Child and Family Connections Manual. A minimum annual grant will be made of $19,000. CFCs whose previous calendar year's average caseload was above 400 but less than 900, will receive grants of $38,000. CFCs whose previous calendar year's average caseload was above 900 but less than 1,500 will receive grants of $57,000. CFCs whose previous calendar year's average caseload is over 1,500 will receive grants of $76,000. One-fourth of this funding will be included with each quarterly award amount.

  6. Developmental Pediatrics Consultation

    Quarterly award amounts will include funds to purchase specialized consultation in developmental pediatrics. An annual grant will be made based on the average caseload (open service plans) during the previous calendar year times $88.90 per case (open service plan), or $25,000, whichever is larger. One-fourth of this funding will be included with each quarterly award amount.

  7. Social Emotional Consultation

    Quarterly award amounts will include funds to purchase Social/Emotional Infant Mental Health consultation. The annual grant will be based upon the average number of active cases (open service plans) during the previous calendar year. Agencies with average caseloads under 500 will receive $37,500. Those averaging over 500 active cases but less than 1,000 will receive $75,000. Agencies with an average active caseload over 1,000 would receive $100,000. Regardless of their caseload, each agency will also receive $3,000 to fund services related to this function. One-fourth of this funding will be included with each quarterly award amount.

IX. PROGRAM SERVICES

The Child and Family Connections (CFC) office will serve as the lead agency's regional intake and service coordination agency for Early Intervention and related services in its designated geographic area. The selected Vendors will provide services as defined in the Bureau of Early Intervention Child and Family Connections Procedure Manual at: www.dhs.state.il.us/ei as defined in 89 Ill. Admin. Code 500 and as described below, and agree to act in accordance with all state and federal statutes and administrative rules applicable to the provision of services. In its leadership role, the CFC shall engage in the following activities to support and maintain effective Early Intervention services, using forms and procedures as directed by DHS and as set forth in 89 Ill. Admin. Code 500, and the Procedure Manual:

  1. Participate in Child Find and Public Awareness activities in their area by disseminating information on referrals to the primary referral sources and working with the Local Interagency Council (LIC) to identify and coordinate Child Find activities.
  2. Designate a program manager who is employed by the CFC. The CFC manager will be responsible for hiring all Service Coordinators. All Service Coordination activities will be the responsibility of the CFC and cannot be subcontracted to another entity.
  3. Select, train and supervise qualified Service Coordinators, parent liaisons, local interagency council coordinators, social-emotional specialists, and support staff to carry out defined tasks.
  4. Provide services as defined in the Bureau of Early Intervention Child and Family Connections Procedure Manual including: Recordkeeping, Procedural Safeguards and Disputes, Social-Emotional Component, Pediatric Consultative Services, Referrals to CFCs, Intake, Early Intervention Eligibility Determination, Public and Private Insurance Use, Family Fee Determination, Individualized Family Services Plan, Transition, Transfer and Case Closure, Parent Reimbursements, Provider Recruitment, Parent Liaison Activities, and LIC Coordination. LICs must have active parent participation. The LIC meeting schedule should include meeting times and locations that are conducive to parent participation.
  5. Develop a compendium of resources for ineligible children and families as determined in accordance with 89 Admin. Code 500.45.
  6. Develop procedures to identify concerns regarding enrolled service providers and LICs in the service area.
  7. Maintain an ongoing relationship with all service providers and LICs in the service area.
  8. Participate in routine monitoring, data collection and reporting obligations, record or chart audits, complaint investigations, and consumer satisfaction surveys. The development and implementation of corrective action plans will be required in response to determination scoring and identification of noncompliance through monitoring and complaint resolution activities.
  9. Have a contract (s)/agreements in place for the provision of developmental pediatric consultation as defined in the Early Intervention Child and Family Connections manual and involving utilization review and quality assurance. The contract(s)/agreement(s) may be with an entity(s) that include a Developmental Pediatrician.
  10. Have a toll-free number and Internet access.
  11. Comply with the Health Insurance Portability and Privacy Act (HIPAA) and rules promulgated there under.
  12. Become an All Kids Application agent. For purposes of making referrals for final determinations of eligibility for All Kids benefits under the Children's Health Insurance Program Act and for medical assistance under Article V of the Illinois Public Aid Code, each CFC must enroll as an "All Kids Application agent" in order for the entity to complete the All Kids application as authorized under Section 22 of the Children's Health Insurance Program Act. As an All Kids agent, implement the All Kids Program as directed by the Bureau of Early Intervention.
  13. Provide adequate accessible space/facilities to store permanent child records, house staff, and hold meetings. The space/facilities should be HIPAA compliant, with adequate space for privacy/security.
  14. Purchase/maintain required equipment based upon Department billing office specifications.