This program manual for the Illinois Department of Human Services Division of Rehabilitation Services Independent Living Unit (ILU) was developed to help outline regulatory and contractual responsibilities of both the DRS ILU and its Grantees. This is meant to be a dynamic document; regularly being added to or corrected as policies change or processes are improved or eliminated. It will be reviewed at least annually by the ILU Manager and the Project Officer, and revised as necessary. This document was developed using: training materials; State and federal internet resources; State and federal regulations; and experience handed down from partner Centers for Independent Living, as well as fellow and former DHS, DRS and ILU employees. This Program Manual is in no way intended to supersede contract requirements.
The Independent Living movement first gained prominence in the 1970's with the passage of the Rehabilitation Act of 1973. "The Act" established federal rules and funding requirements for the development and operation of Independent Living services programs by Centers for Independent Living (CILs) located throughout the United States. The purpose of these programs is to "work to support community living and independence for people with disabilities across the nation based on the belief that all people can live with dignity, make their own choices, and participate fully in society. These programs provide tools, resources, and supports for integrating people with disabilities fully into their communities to promote equal opportunities, self-determination, and respect (ACL website)."
There are nearly 500 CILs nationwide, with 22 located within the State of Illinois. CILs are consumer-controlled, community-based, cross-disability, nonresidential private non-profit agencies that are designed and operated within a local community by individuals with disabilities and provide an array of Independent Living (IL) services. At a minimum, Centers are required to provide the following five IL core services:
- Information and referral;
- Independent living skills training;
- Peer counseling;
- Individual and systems advocacy; and
- Transition services that include:
- services that facilitate transition from nursing homes and other institutions back into the community,
- aid those at risk of entering institutions, and
- facilitate transition of youth to postsecondary life.
Centers also may provide, among other services: psychological counseling, assistance in securing housing or shelter, personal assistance services, transportation referral and assistance, physical therapy, mobility training, rehabilitation technology, recreation, and other services necessary to improve the ability of individuals with significant disabilities to function independently in the family or community and/or to continue in employment.
Key provisions of the Act also include responsibilities of: the Designated State Entity (DSE), provisions for the Statewide Independent Living Council (SILC), requirements for State Plans for Independent Living (SPIL), and Center for Independent Living standards and assurances. To receive funding, states must each develop and submit a State Plan for Independent Living (SPIL), which is a three-year plan for providing Independent Living services within the state. The Statewide Independent Living Council (SILC) is an independent entity responsible for developing, monitoring, reviewing and evaluating the implementation of the SPIL. The Designated State Entity has an ex-officio seat on the Council.
The Designated State Entity (DSE) is the agency that on behalf of the State, receives, accounts for and disburses via grants, State funding and federal funding received under Subpart B of the Act. The DSE is identified in the SPIL. For Illinois, the IDHS Division of Rehabilitation Services has been identified as the DSE. As the DSE's designee, the DRS ILU ensures both federal and State funds are expended properly by: requiring monthly, quarterly, and annual reporting from the CILs; by conducting regular onsite Compliance Reviews and desk reviews of the CILs; and by providing technical assistance for and ongoing monitoring of contracts entered into by CILs to obtain State and federal grant funding.
Initially, the Rehabilitation Act of 1973 designated the United States Department of Education, as the federal agency assigned to carry out the requirements of the Act. The US DOE established the Rehabilitation Services Administration (RSA) to oversee CIL funding and compliance with the Act. In July 2014, the Workforce Innovation and Opportunity Act (WIOA) was signed into law, transferring administration of federal Independent Living programs from the RSA to the US Department of Health and Human Services, Administration for Community Living.
Acronyms, Abbreviations and Definitions
The following is a list of acronyms, abbreviations and terms used throughout this document, and/or common to Independent Living programs; and a brief definition of each:
704 - Refers to either Section 704 of the Rehabilitation Act, or an annual report of CIL activity formerly required by the RSA called the 704 Annual Performance Report.
722 - Refers to Section 722 of the Rehabilitation Act, which addresses Title VII Part C funding for states in which federal funding exceeds state funding of CILs. Section 722 state DSEs do not administer federal funding to Grantees under Part C of the Rehabilitation Act. Illinois is a Section 722 state, even though State funding exceeds federal funding.
723 - Refers to Section 723 of the Rehabilitation Act, which addresses Title VII Part C funding for states in which state funding exceeds federal funding of CILs. Section 723 state DSEs may apply to ACL to administer federal funding to Grantees under Part C of the Rehabilitation Act. Even though in Illinois State funding exceeds federal funding, Illinois has chosen not to apply to be a Section 723 state.
725 - Refers to Section 725 of the Rehabilitation Act, which addresses standards and assurances for CILs
Administration for Community Living (ACL) - A unit within of the US Department of Health and Human Services (USDHHS). The ACL manages the funding and implementation of IL services throughout the US. The ACL website is a significant source of information on the provision of and the federal regulations surrounding the provision of IL services. The ACL assumed this responsibility from the US Department of Education Rehabilitation Services Administration (RSA) with the passage of the Workforce Innovation and Opportunity Act of 2014.
Administration for Community Living Center for Independent Living Program Performance Report (ACL CIL PPR) - The ACL CIL PPR is submitted annually by Centers for Independent Living to ACL via the ACL Reporting system. This document replaces the RSA 704 Annual Performance Report. The DRS Independent Living Unit requires copies of this document from all reporting CILs in Illinois.
Administration for Community Living Reporting (ACLR) - ACLR is an online reporting system provided by the ACL to CILs to complete annual reporting requirements. https://reporting-pilot.acl.gov
Advocacy - Advocacy can take the form of both individual and systems advocacy. Individual advocacy involves pleading an individual's cause or speaking or writing in support of an individual. Individual advocacy may include representation before public and/or private entities or organizations, government agencies (whether state, local or federal) or in a court of law (whether state or federal) on the behalf of oneself, another individual, or a group of individuals. Systems advocacy means reducing barriers to community participation through: public education and media engagement; utilizing the legal/judicial process; engaging in legislative advocacy; and/or influencing administrative or regulatory entities.
CARS - In reference to the ICQ, the State of Illinois has contracted with outside agency Crowe-Horwath to manage ICQ negotiations. Crowe-Horwath utilizes the Crowe Activity Review System (CARS). CARS may also refer to the Consolidated Accounting and Reporting System, which is the Illinois Department of Human Services' integrated accounting and financial information system.
Center for Independent Living (Center, CIL) - A consumer-controlled, community based, cross-disability, nonresidential, private not-for-profit agency for individuals with significant disabilities (regardless of age or income) that:
- is designed and operated within a local community by a majority of individuals with disabilities;
- provides an array of independent living services as defined in section 7(18) of the Rehabilitation Act of 1973, including, at a minimum, independent living core services; and
- complies with the standards set out in Section 725(b) of the Act, complies with the assurances in section 725(c) of the Act, and complies with 45 CFR 1329.5.
Center Highlights - success stories, Center achievements, and photographs submitted by Centers to be used in the Independent Living Annual Report.
Central Repository Vault (CRV) - The CRV provides an online repository for documents required by the State from Grantees. https://vault.dhs.illinois.gov/crvsecure/crv
Code of Federal Regulations (CFR) - The CFR is the codification of the general and permanent rules and regulations (sometimes called administrative law) published in the Federal Register by the executive departments and agencies of the federal government of the United States. https://www.ecfr.gov
Compliance Review - an on-site review of a Center for Independent Living which is conducted by the Designated State Entity to assess compliance with the standards and assurances set forth in federal and State law, and contract terms and conditions.
Consolidated Year-End Financial Report (CYEFR) - A required report prepared by the Grantee each year, that lists the expenditures for each State federal pass-through grant during the period covered by the organization's financial statements.
Consumer - a person with a disability or their family member who; has requested, been referred for, is receiving or has received any services provided by a Center for Independent Living.
Consumer Control - the vesting of power and authority by a Center for Independent Living or other eligible agency to a group of individuals with disabilities. With respect to an individual, consumer control means that the individual with a disability asserts control over: his or her personal life choices.
Contract - Uniform Grant Agreements are often referred to as "contracts." See Uniform Grant Agreement for definition.
Cross-disability - that services are available to a range of individuals with significant disabilities and their eligibility for such services does not require a specific disability in order to access independent living services.
Community Service Agreement Tracking System (CSA) - refers to the State computer system that tracks grant applications and awards.
Designated State Entity (DSE) - the agency designated in the State Plan for Independent Living (SPIL) that acts on behalf of the State of Illinois to provide the functions described in Title VII, Chapter 1 of the Rehabilitation Act of 1973, as amended (20 U.S.C. 701-796).
Department of Human Services (DHS, IDHS) - The Illinois Department of Human Services
Division of Rehabilitation Services (DRS) - A division of the Illinois Department of Human Services.
DUNS Number - The Data Universal Number System (DUNS) number is a unique nine-character number that identifies your organization. It is a tool of the federal government to track how federal money is distributed. If your organization does not have a DUNS number, use the Dun & Bradstreet (D&B) online registration to receive one free of charge. https://www.dnb.com/duns-number.html
Federal Employer Identification Number (FEIN) - This unique, nine-digit number is used by the IRS to identify a business operating in the United States.
Final Reconciliation Cover Sheet - A Final Reconciliation is the final financial closeout of the award. Grantee information, total approved budget amount, year-to-date expenditure, and unexpended balance information is captured via this form.
Finding - the outcome of a compliance review that reflects the Center for Independent Living being reviewed did not demonstrate minimum compliance with applicable standards and assurances set forth in federal and State law, and contract terms and conditions.
Grant Accountability and Transparency Act (GATA) - GATA is an Illinois act regulating the administration of and ensuring the uniformity of State grants. http://ilga.gov/legislation/ilcs/ilcs3.asp?ActID=3559&ChapterID=7
Grant Accountability and Transparency Unit (GATU) - A unit of the Governor's Office of Management and Budget that is tasked with administering GATA. https://www2.illinois.gov/sites/GATA/Pages/default.aspx
Governor's Office of Management and Budget (GOMB) - The Governor's Office of Management and Budget prepares the Governor's annual State budget and advises the Governor on the availability of revenues and the allocation of those resources to agency programs.
General Revenue Fund (GRF) - Funding received at the State level (typically via taxation) and may be utilized for any purpose are often referred to as "GRF" funds.
Independent Living (IL) - The belief that all people can live with dignity, make their own choices, and participate fully in society.
Independent Living Core Services - the minimum services an organization must provide to be considered a CIL. These services are: information and referral services; independent living skills training; peer counseling, including cross-disability peer counseling; individual and system advocacy; and transitional services. Transition services include services that: facilitate the transition of individuals with significant disabilities from nursing homes and other institutions to home and community-based residences, with the requisite supports and services; provide assistance to individuals with significant disabilities who are at risk of entering institutions so that the individuals may remain in the community; and facilitate the transition of youth who are individuals with significant disabilities.
Independent Living Services - those services, in addition to the independent living core services, provided by a CIL which IDHS will take into consideration when approving funding or continued funding for a CIL.
Indirect Cost Rate (ICR) - The ICR is a percentage and/or portion of the overall grant budget to cover costs incurred for common or joint objectives that cannot be readily identified with a particular final cost objective (i.e., a particular award, service or direct activity).
Independent Living Unit (ILU) - The ILU is a unit of the DHS Division of Rehabilitation Services that serves, in part, to execute the responsibilities of the State as the Designated State Entity.
Independent Living Unit Quarterly Report - this form is submitted quarterly, at the completion of the State fiscal quarter, to the ILU. It collects information on funding, Center and consumer demographics and services provided over the past State fiscal quarter. Data collected is also used for annual reporting based on the State fiscal year.
Individual with a Disability - an individual who: has a physical, mental, cognitive, or sensory impairment that substantially limits one or more of the individual's major life activities; has a record of having such an impairment; or is regarded as having such an impairment.
Information and Referral (I&R) - I&R is one of the five core services provided by CILs.
Internal Controls Questionnaire (ICQ) - The ICQ is also known as the Fiscal and Administrative Risks Questionnaire. Grantees must complete the ICQ before formally applying for a grant through DHS.
Monthly Expenditure Report (MER) - The MER is a report that is submitted monthly by Grantees documenting and categorizing grant expenditures. The release of grant funds is based on expenditures reported on the MER.
Notice of State Award (NOSA) - The Notice of State Award is the formal offer of the grant to the Grantee. It may exactly mirror what the Grantee proposed in their application or it may have different or additional requirements or different funding amounts. Should any risks have been revealed by the ICQ or Programmatic Risk Assessment, it will also have requirements that address these risks. Note: The approved NOSA does not constitute an IDHS Grant award (contract). That formal process will begin after the approved NOSA has been returned.
Observation - a practice within a Center observed during an on-site compliance review which does not rise to the level of a finding but would improve the provision of the independent living program if changes were made to that practice.
Part B Funding - the funding provided to states through the United States Department of Health and Human Services - Administration for Community Living, under the provisions of Title VII - Part B of the Rehabilitation Act of 1973, as amended (29 U.S.C. 701-796i) to support and enhance independent living services within a state.
Part C Funding - the funding provided directly to qualifying CILs through the United States Department of Health and Human Services - Administration for Community Living, under the provisions of Title VII - Part C of the Rehabilitation Act of 1973, as amended (29 U.S.C. 701-796i) to establish new CILs, branch offices, and to support, expand and enhance independent living services to existing CILs within a state.
Periodic Financial Report (PFR) - The Periodic Financial Report (PFR) is a standard, uniform statewide financial reporting format used by all State agencies in Illinois to collect financial information from recipients of State grant awards. Unless statutorily exempt as documented in the Catalog of State Financial Assistance and the Uniform Grant Agreement (UGA), all grant awards are subject to periodic financial reporting.
Periodic Performance Report (PPR) - The Periodic Performance Report (PPR) is a standard, uniform statewide performance progress reporting format used by all State agencies in Illinois to collect performance information from recipients of State grant awards. Unless statutorily exempt as documented in the Catalog of State Financial Assistance and the Grant Agreement (UGA), all grant awards are subject to periodic performance reporting. It replaces the former RSA Quarterly 704 Performance Report.
Programmatic Risk Assessment (PRA) - The PRA is an assessment completed by Grantees; one for each grant application completed. The PRA is similar to the ICQ but focuses primarily on identifying any programmatic issues that could keep the Grantee from fulfilling grant requirements.
Recommendation - The outcome of either a finding or an observation during a compliance review is then followed by a "recommendation." Recommendations are suggestions from the IDHS DRS on: ways to correct the findings; respond to observations; or ways to improve practices in general.
Rehabilitation Act of 1973 (Act) - for this Part, the Rehabilitation Act of 1973 is federal legislation that establishes rules and funding requirements for the development and operation of independent living services programs by Centers for independent living. https://www2.ed.gov/policy/speced/leg/rehab/rehabilitation-act-of-1973-amended-by-wioa.pdf
Rehabilitation Services Administration (RSA) - a unit of the US Department of Education which was the primary agency responsible for managing the funding and implementation of IL services throughout the United States. This responsibility was transferred in 2014 to the US Department of Health and Human Services - Administration for Community Living.
SAM CAGE Code - SAM refers to the federal System for Awards Management. CAGE stands for Commercial and Government Entity. A SAM CAGE code is a five-character ID number used extensively within the federal government. The CAGE Code supports a variety of mechanized systems throughout the government and provides a standardized method of identifying a given legal entity at a specific location.
Secretary of State Certificate of Good Standing - The Illinois Secretary of State determines whether a corporation is in good standing (and therefore authorized to do business within the state) based upon compliance with State law; including annual reporting requirements the Secretary of State has for corporations. The Secretary issues Certificates of Good Standing to corporations for use as evidence of this status. https://www.cyberdriveillinois.com/departments/business_services/corp.html
Statewide Independent Living Council (SILC) - the mandated council established pursuant to the Rehabilitation Act of 1973, as amended (29 U.S.C. 701-796i), and the Disabled Persons Rehabilitation Act [20 ILCS 2405/12a] and governed by IDHS Administrative Rules at 89 Ill. Adm. Code 515. The Statewide Independent Living Council of Illinois, formed in 1993, is a not-for-profit statewide planning organization. The Council is made up of 18 voting members who are appointed by the Governor and the majority of the voting members must consist of individuals with disabilities who are not employed by a Center for Independent Living or a State agency. Its mission is to provide leadership, research, planning and education required to support Independent Living services in Illinois. SILC's existence and its functions are mandated under the Act. https://silcofillinois.org
State Plan for Independent Living (State Plan, SPIL) - the plan required under section 704 of Title VII of the Rehabilitation Act, that is jointly developed by the Statewide Independent Living Council (SILC) and the directors of the CILs, after receiving public input from individuals with disabilities and other stakeholders throughout the State. The State Plan outlines the services, goals, and objectives of the statewide independent living program as well as outlining independent living services throughout the State and is the basis for receipt of Part B and Part C funds received from ACL. https://silcofillinois.org/state-plan-for-independent-living
Title VII - Title VII is the portion of the Rehabilitation Act of 1973 that addresses Independent Living Services and Centers for Independent Living. Chapter 1, Parts A, B and C are pertinent to the Independent Living Unit. Sections 701 through 727 are located within Chapter 1.
Uniform Grant Agreement (UGA) - The UGA is the formal contract between a State Grantor Agency and a Grantee. For the purpose of this document, it refers to contracts between DRS and Grantees which include each Illinois CIL, and SILC.
Uniform Grant Budget - The Uniform Grant Budget is a component of the Uniform Grant Agreement. It is used to apply to individual State of Illinois discretionary grant programs. Applicants should submit budgets based upon the total estimated costs for the project including all funding sources. The applicant organization should refer to 2 CFR 200, "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards" and the Uniform Grant Budget Manual for guidance. https://www.dhs.state.il.us/OneNetLibrary/27896/documents/Contracts/FY18-GATA-Budgets/DHSBudgetTrainingManual_Revision_3_28_18.pdf
Workforce Innovation and Opportunity Act (WIOA) - The Workforce Innovation and Opportunity Act of 2014 is a United States public law that replaced the previous Workforce Investment Act of 1998 (WIA) as the primary federal workforce development legislation to bring about increased coordination among federal workforce development and related programs. WIOA is designed to strengthen and improve our nation's public workforce system and help get Americans, including youth and those with significant barriers to employment, into high-quality jobs and careers and help employers hire and retain skilled workers.
Calendar of Important Dates (based on State fiscal year)
* Beginning of the State Fiscal Year (SFY)
- June/Final PFRs and MERs due to the ILU
- Fourth Quarter PPRs for the prior State fiscal year due to the ILU
- Fourth Quarter ILU Quarterly Report due to the ILU
- Final Reconciliation due to ILU
* July PFRs and MERs due to the ILU
* August PFRs and MERs due to the ILU
* End of the Federal Fiscal Year (FFY)
* Start of the Federal Fiscal Year
- September PFRs and MERs due to the ILU
- First Quarter SFY PPRs due to the ILU
- First Quarter ILU Quarterly Report due to the ILU
- Non-Part C CILs: Information for the combined Annual ACL CIL Program Performance Report due to the ILU.
- October PFRs and MERs due to the ILU
* The ILU, SILC and non-Part C funded CILs draft Annual ACL CIL PPR due
* November PFRs and MERs due to the ILU
- Part C CILs must submit their Annual ACL CIL PPR to the ACL via the ACL Reporting website.
- Part C CILs must submit a copy of their Annual ACL CIL PPR to the DRS ILU
- The ILU, SILC and non-Part C funded CILs must submit their combined Annual ACL CIL PPR to the ACL via the ACL Reporting website.
- December PFRs and MERs due to the ILU
- Second quarter SFY PPRs due to the ILU
- Second Quarter ILU Quarterly Report due to the ILU
* January PFRs and MERs due to the ILU
* February PFRs and MERs due to the ILU
* Last day to request formal amendments for the current contract year
- March PFRs and MERs due to the ILU
- Third quarter SFY PPRs due to the ILU
- Third Quarter ILU Quarterly Report due to the ILU
* April PFRs and MERs due to the ILU
* Last day to request contract budget modifications for the current contract year
* May PFRs and MERs due to the ILU
* End of State Fiscal Year
Rules and Regulations
As indicated previously, Independent Living program services are guided by the federal Rehabilitation Act of 1973. Title VII is the portion of the Rehabilitation Act that addresses "Independent Living Services and Centers for Independent Living." Within Title VII, Chapter 1 addresses "Individuals with Significant Disabilities." Parts A, B and C are parts of Chapter 1; as are Sections 701 through 727. All of these pieces under Title VII Chapter 1 are pertinent to the functioning of the DRS ILU.
Federal agencies are authorized to make rules and regulations based on legislation. These rules and regulations, once developed, are first published in the Federal Register. The rules are then arranged within the Federal Register via a system called the Code of Federal Regulations. The CFR is structured into 50 subject matter titles. Agencies are assigned chapters within these titles. The titles are broken down into chapters, parts, sections and paragraphs. For example, 42 CFR 260.11(a)(1) would be read as "title 42, part 260, section 11, paragraph (a)(1)." For the purpose of the DRS ILU, the following CFRs are most often referred to:
- 2 CFR 200 - - "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards;"
- 45 CFR 1329 - "State Independent Living Services and Centers for Independent Living;" and
- 45 CFR 75 - "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for HHS Awards."
The Americans with Disabilities Act of 1990 (42 U.S.C. § 12101) is a civil rights law that prohibits discrimination based on disability. It affords similar protections against discrimination to Americans with disabilities as the Civil Rights Act of 1964, which made discrimination based on race, religion, sex, national origin, and other characteristics illegal. In addition, unlike the Civil Rights Act, the ADA also requires covered employers to provide reasonable accommodations to employees with disabilities and imposes accessibility requirements on public accommodations. The ADA has great relevance to independent living programs.
Additional federal legislation that impacts the provision of independent living services in Illinois includes: The Workforce Innovation and Opportunity Act (https://www.govinfo.gov/content/pkg/PLAW-113publ128/pdf/PLAW-113publ128.pdf), and the Assistive Technology Act (https://www.govinfo.gov/content/pkg/STATUTE-118/pdf/STATUTE-118-Pg1707.pdf).
The Joint Committee on Administrative Rules is a bipartisan legislative oversight committee authorized to conduct systematic reviews of administrative rules developed by State agencies. Two purposes of JCAR are: to ensure that the General Assembly is adequately informed of how laws are implemented through agency rulemaking; and to facilitate public understanding of rules and regulations. JCAR maintains the State's database for the Illinois Administrative Code. The following codes are most relevant to the ILU operations:
- Title 89 ("Social Services"), Chapter IV ("Department of Human Services"), Subchapter H ("Miscellaneous Programs"), Part 886 ("Centers for Independent Living") outlines rules for: funding CILs, the purpose of funding CILs, and Compliance Reviews of the CILs by the ILU.
- Title 89, Chapter IV, Subchapter a ("General Program Provisions"), Parts 505 through 546 provide general rules of the Division of Rehabilitation Services.
- Title 44 ("Government Contracts, Grantmaking, Procurement and Property Management"), Subtitle F ("Grantmaking"), Chapter I ("Governor's Office of Management and Budget"), Part 7000 ("Grant Accountability and Transparency Act").
The Grant Accountability and Transparency Act (30 ILCS 708) is legislation that increases accountability and transparency in the use of grant funds while reducing the administrative burden on both State agencies and Grantees through adoption of the federal grant guidance and regulations codified at 2 CFR Part 200 (Uniform Requirements). Pursuant to the Act, the Grant Accountability and Transparency Unit was established in the Governor's Office of Management and Budget. GATU is charged with implementation of the Act in coordination with State grant-making agencies and Grantees. The purpose of GATA is to provide for the development of a coordinated, non-redundant process for the provision of effective and efficient oversight of the selection and monitoring of grant recipients, ensuring quality programs, limiting fraud, waste and abuse, and defining the purpose, scope, applicability and responsibilities in the life cycle of a grant (GOMB website). The Illinois Grants Funds Recovery Act (30 ILCS 705) also establishes requirements for the disbursement and recovery of grant funds. DRS administers grants to Grantees based on these requirements. http://ilga.gov/legislation/ilcs/ilcs3.asp?ActID=3559&ChapterID=7 and http://www.ilga.gov/legislation/ilcs/ilcs3.asp?ActID=558&ChapterID=7
The Illinois Accessibility Code (IAC) (Title 71, Chapter 1, Subchapter b, Part 400) is referenced by the ILU while conducting Compliance Reviews with individual CILs. This Code is intended to resolve areas of difference between: the federal accessibility standards; Americans with Disabilities Act Accessibility Guidelines which are applicable to buildings and facilities covered by the Americans with Disabilities Act; and the Illinois accessibility standards which are applicable to buildings and facilities in the State of Illinois covered by the Environmental Barriers Act. The drafters of this Code compared and adopted the stricter of State or federal accessible design standards. The Illinois Office of the Attorney General created the IAC Site Inspection Checklist, which is a tool based on the IAC standards. The DRS ILU Compliance Review Accessibility Observation Screening Tool was developed for use during Compliance Reviews and is based on the IAC Checklist.
The Illinois Rehabilitation of Persons with Disabilities Act (20 ILCS 2405) provides for rehabilitation, habilitation and other services to persons with one or more disabilities, their families and the community. Section 12a of the Act specifically relates to Centers for Independent Living, the Statewide Independent Living Council, and the State Plan for Independent Living. http://www.ilga.gov/legislation/ilcs/ilcs3.asp?ActID=333&ChapterID=5
The Disabilities Services Act of 2003 (20 ILCS/2407) outlines regulations surrounding the Money Follows the Person and Rapid Reintegration programs. http://www.ilga.gov/legislation/ilcs/ilcs5.asp?ActID=2541&ChapterID=5
Under the Rehabilitation Act Part B and 45 CFR 1329.12, the DHS Division of Rehabilitation Services serving as the Designated State Entity is responsible for receiving, accounting for, and disbursing funds received by the State from the federal government to the CILs for implementation of IL programs. The DSE is also to provide administrative support for programs under Part B. Additionally, the DSE is to keep records and afford access to records to the ACL with respect to the IL programs. Therefore, in order to meet these requirements and provide necessary oversight, DRS Grantees are to provide the division with various periodic financial and programmatic reports.
The Independent Living Unit Manager and Project Officer review reporting processes every year prior to the development of grant agreements to determine completeness, effectiveness, and compliance with State and federal regulations. Reporting requirements are documented in the Uniform Grant Agreement in Exhibit C.
The Independent Living Unit requires monthly reports from Grantees; including the Monthly Expenditure Report, and the Periodic Financial Report. The MER is the mechanism in place for Grantees to submit claims for reimbursement of grant related expenditures to DRS. The MER details expenditures by budget line for the previous month. The Periodic Financial Report is a standard, uniform statewide financial reporting format used by all State agencies in Illinois to collect financial information from recipients of State grant awards. The PFR is to be submitted in conjunction with the MER.
See the "Calendar of Important Dates" in this document for required dates for MER and PFR submission to the ILU. Typically, MERs and PFRs are submitted by Grantees to the ILU by the 15th day of the month following the month being reported. A final PFR shall be required at the completion of the grant term. For final PFRs, the reporting period end date shall be the end date of the project / grant award
Once received by the ILU, both the MER and the PFR are reviewed for completeness and accuracy. The ILU also works to ensure the expenditures being reported are for the purposes and objectives set forth in the terms and conditions of the State issued contract and/or Federal award. If non-allowable items, or other questions regarding expenses arise or errors are found, the ILU Manager is notified and a request for a revised report and the reason for the request is sent to the Center. If contract modifications or amendments are required, the ILU staff will work with the Grantee to develop and implement. As specified in the contract, additional reporting may be required by the ILU (as representative of the awarding State agency) to meet this end. Additionally, payments may be withheld pending resolution of billing issues.
Once the ILU approves the expenditures submitted on the MER and PFR by the Grantee, the Unit will forward these reports to the DRS Fiscal Unit for final review and approval of payment. DRS Fiscal will subsequently request payment be issued to the Grantee by the Office of the Illinois Comptroller.
Types of Payment
- Fixed Rate - A program for which the payments are made on the basis of a rate, unit cost or allowable cost incurred and is based on a statement or bill as required by the Department. Payments made as a fee-for-service are not subject to the Illinois Grants Funds Recovery Act (30 ILCS 705/1 et. seq.).
- Expenditure-Driven Program - A program for which payments are made based on an expenditure report from the provider reflecting the actual expenditures incurred for the costs associated with carrying out the specified requirements in the Contractual Agreement. Expenses are subject to restrictions for allowability or non-allowability due to the nature of the program.
Payments made to the Provider are based upon services, deliverables/milestones, performances measures and standards as specified in the Uniform Grant Agreement. Billings, with substantial documentation, are submitted by the Provider upon completion of service. The Provider must accurately complete and submit billings in a timely manner. The Provider understands that incorrect billings or portions of billings may not be processed in the current monthly cycle and may be returned to the Provider for correction.
The Provider must submit accurate reports (service or cost, as specified by the Department). Payments may be suspended if reports are not received in the proper format or timely as specified in the Program Manuals.
The Periodic Performance Report is a standard, uniform statewide performance progress reporting format used by all State agencies in Illinois to collect performance information from recipients of State grant awards. The PPR is based on existing federal forms and meets State and federal requirements under GATA. The PPR is to be submitted by the Grantee to the respective Grantor; in this case the ILU. The PPR captures information from the Grantee related to deliverables, performance measures, performance standards, and allows for explanations by the Grantee if grant performance is or is not on track. As indicated on the PPR, responses to Sections 14 - 22 may be provided in a separate format to provide enough information to thoroughly answer the required questions. These reports are reviewed for completeness and accuracy by the ILU Project Officer and the ILU Manager to assess progress towards meeting contract deliverables. If a lack of progress is indicated, the ILU Manager will discuss with the Grantee Executive Director, or his or her designee. Conversely, Grantees exceeding performance requirements will be contacted to discuss how to share experiences, processes, etc. with other Grantees. Those CILs demonstrating difficulties producing accurate reports are identified and offered technical assistance.
See the "Calendar of Important Dates" in this document for required dates for PPR submission to the ILU. Typically, PPRs are due to the ILU by the 15th of the month following the end of the State fiscal quarter (e.g., October 15th for July - September/SFY First Quarter reporting). A final PPR shall be required at the completion of the grant award. For final PPRs, the reporting period end date shall be the end date of the project/grant period.
The ILU Quarterly Report was designed based on the old RSA Quarterly 704 Report. Its purpose is to collect demographic data from each Grantee (e.g. number of active consumers, types of services rendered). The ILU Project Officer and Program Manager review the data collected as a function of contract monitoring to ensure program deliverables are being met. Additionally, data may be shared with Center directors to address overall trends, identified service needs, etc. The ILU Quarterly Report is submitted quarterly, based on the State fiscal year. Submission dates can be found in the "Calendar of Important Dates" located in the ILU Program Manual.
The USDHHS Administration for Community Living requires completion of the annual ACL CIL Program Performance Report. This report replaced the RSA 704 in 2016. The ACL CIL PPR is submitted electronically via the web-based ACL Reporting system.
Centers receiving federal Part C funding must submit the ACL CIL PPR directly to the ACL, and email copies to the ILU for completion of desk reviews, data collection activities and for their records.
Centers not receiving Part C funding, but receiving Part B funding, must provide a completed ACL CIL PPR to the ILU. The ILU and SILC will work together to compile this information, along with additional information representing the activities of the ILU and the SILC, into a single ACL CIL PPR. The ILU and SILC will then submit this ACL CIL PPR electronically to ACL via the ACL Reporting system.
See the "Calendar of Important Dates" for required dates for ACL CIL PPR information to ACL, and to the ILU and SILC respectively. Under the terms of the Grant Funds Recovery Act (30 ILCS 705/4.1), Grantor agencies may withhold or suspend the distribution of grant funds for failure to file reports in a timely manner.
At the close out of the contract period, Grantees are to complete the Final Reconciliation Cover Sheet. This form captures: Grantee information, total approved budget amounts, year-to-date expenditures and unexpended balances. A Final Reconciliation Coversheet will be provided to Grantees by the DRS ILU Project Officer prior to the end of the contract period and will be due to the ILU on the submission date indicated in the "Calendar of Important Dates." Training and technical assistance on the completion of the form will be provided by the DRS ILU Project Officer. A Final Reconciliation Coversheet will only be accepted by email to the DRS ILU Project Officer.
The Consolidated Year-End Financial Report is a required report prepared by the Grantee each year, that lists the expenditures for each State federal pass-through grant during the period covered by the organization's financial statements. The report will also list all other program and activities of the organization by the source of funding as direct federal funding or other. The CYEFR is used to assist in the facilitation of tracing grant expenditures reported in a Grantee's audited financial statements, reconcile Grantee's reported expenditures to State agency records and make reconciliations from periodic reporting and year end reporting. All Grantees are required to complete and submit a CYEFR through the GATA Grantee Portal provided by the Governor's Office of Management and Budget's Grant Accountability and Transparency Unit. Per the GATU website: "CYEFRs are due 30 days after completion but no later than six months after the end of the non-federal entity's fiscal year-end."
- Under the terms of the Grant Funds Recovery Act (30 ILCS 705/4.1), Grantor agencies may withhold or suspend the distribution of grant funds for failure to file reports in a timely manner.
- Under section 12.2 of the Uniform Grant Agreement, "The Grantee (in compliance with 2 CFR 200.336) shall make books, records, related papers, supporting documentation and personnel relevant to this Agreement available to authorized Grantor representatives, the Illinois Auditor General, Illinois Attorney General, any Executive Inspector General, the Grantor's Inspector General, Federal authorities, any person identified in 2 CFR 200.336, and any other person as may be authorized by the Grantor (including auditors), by the State of Illinois or by Federal statute. The Grantee shall cooperate fully in any such audit or inquiry."
The IDHS DRS ILU, acting as the Designated State Entity designee, will conduct an on-site Compliance Review of all Centers for Independent Living to: verify compliance with the standards and assurances in Section 725 of the Act, as well as other applicable State and federal statutes; verify compliance with State grant contract terms and conditions; and to ascertain whether the DSE should renew, modify, or terminate funding agreements with the CIL. In addition to the information provided below, the on-site Compliance Review process is also outlined in Title 89, Section 886 of the Illinois Administrative Code.
The frequency of which on-site Compliance Reviews will be conducted will be based on State and federal regulations related to grant administration. Currently, the ILU conducts on-site Compliance Reviews with each center every three years. The on-site review will be completed using a team of reviewers which is selected and established by the DRS ILU and the Center being reviewed. Upon completion of the Compliance Review, a written report of findings, observations, recommendations and compliance rating will be prepared by the review team and then sent to the executive director, or his or her designee, of the Center reviewed.
Compliance ratings include: full compliance, noncompliance, and unacceptable noncompliance. A finding of full compliance reflects that the Center is compliant with all areas reviewed by the review team. If a Center receives a rating of noncompliance, a corrective action process is implemented. If a center fails to correct identified findings through the corrective action process; or the findings are determined to be of such significance that a finding of noncompliance would be inappropriate, and that immediate action is necessary on the part of the DSE, a finding of unacceptable noncompliance may be made. The subsequent impact of each of these findings, and the process for a Center Grantee to appeal said findings, can be found in Section 886.70 of the Illinois Administrative Code.
The DRS ILU Project Officer and the ILU manager review reports submitted by Grantees, including: MERs, PFRs, PPRs, ACL CIL PPRs, Final Reconciliations, ILU Quarterly Reports, and Center Highlights. Reports are regularly compared to one another to ensure accuracy of data reporting, and compliance with contract requirements as well as State and federal requirements for Centers as outlined in legislation listed above. If discrepancies are noted, Centers are contacted by the DRS ILU Project Officer and/or the ILU Manager who then works with the identified Center to seek an understanding of what is being reported and why, and to correct any inconsistencies. Repeated instances of discrepant reporting could lead the ILU to determine that the on-site compliance review process should be initiated with the Center, and/or a Corrective Action Plan be developed and implemented.
Grants and Contracts
Centers for Independent Living receive ongoing State and/or federal funding from DHS (acting as the Designated State Entity, with the DRS ILU as its designee). Funding includes State funding via General Revenue Funds and may include federal funding received by the State and distributed to Centers; including funds received under Title VII Part B of the Rehabilitation Act. Centers may also receive funding under Title VII Part C of the Rehabilitation Act. In Illinois, Part C funding is provided by the USDHHS ACL directly to the Center Grantees as per Part C Section 722 of the Act. Illinois has the option of applying to ACL to administer Part C funding to Grantees under Section 723 but has chosen not to do so.
Per the ACL website: "A population-based formula determines the total funding available for discretionary grants to Centers in each state. Subject to the availability of appropriations, the ACL is required to provide continuation funding to existing centers at the same level of funding they received the prior fiscal year and to provide them with a cost-of-living increase. Funding for new centers in a state is awarded on a competitive basis, based on the state's State Plan for Independent Living and the availability of sufficient additional funds within the state."
Additionally, Centers work to obtain additional funding from local governments, via charitable donations, program income, investment income, and other resources.
Grant Accountability and Transparency Act is an Illinois act regulating the administration of and ensuring the uniformity of State grants across State agencies. It is based on federal guidance found in 2 CFR 200; and therefore, confirms that all of Illinois' State grants will follow federal rules. The Grant Accountability and Transparency Unit is a unit of the Governor's Office of Management and Budget and is tasked with administering GATA. The GATA website is http://grants.illinois.gov/.
Life Cycle of a Grant
Below are the steps in the Life Cycle of a Grant as a result of Illinois' Grant Accountability and Transparency Act:
- Application/Risk Assessment
- Grant Agreement/Execution
- Monitoring and Management
- Closeout, Audit and Audit Resolution
All applicants must be qualified to do business with the State of Illinois. This process can be started via the Grantee Portal on the GATA website. To be qualified for a grant award, an applicant must:
- Have a valid DUNS number;
- Have a current SAM.gov account with associated SAM CAGE code;
- Have a valid FEIN;
- Not be on the Federal Excluded Parties List;
- Be in Good Standing with the Illinois Secretary of State, as applicable;
- Not be on the Illinois Stop Payment list;
- Not be on the Department of Healthcare and Family Services Provider Sanctions list.
Applicants must complete an Internal Controls Questionnaire to assess fiscal and administrative risk. The ICQ is completed once, annually per Grantee. All State agencies utilize the results of the ICQ. The applicant can access the ICQ from the Grantee Portal on the GATA website. ICQ responses are reviewed by the ILU Manager. Contract specific conditions may be developed based on the outcome of the review, and corrective action plans may be required of the Grantee.
Applicants must register in the Community Service Agreement Tracking System, in which a majority of the grant making process takes place. Applicants must also register in the Central Repository Vault System, and store requested information in the CRV if they have not already done so.
Applicants will be asked to:
- download, sign and return a Uniform Application for State Grant Agreement. This application collects applicant demographics, identifies project start and end dates, and estimates funding. Applications are available at the DHS website.
- complete a Programmatic Risk Assessment for each grant award. The grant-specific Programmatic Risk Assessment is administered by DHS via its website. The ILU Manager develops questions for the program-specific portion of the PRA, and subsequently reviews and grades Grantee PRA submissions. Contract specific conditions may be developed based on the outcome of the review, and corrective action plans may be required of the Grantee.
- submit a completed Uniform Grant Budget Template via the CSA system. Instructions on completing the Budget Template are found in the CSA system. It is imperative that expenses are appropriately allocated across all grant budgets.
- participate in the Centralized Indirect Cost Rate system. Applicants will receive an invitation to the CARS system operated for GATA by Crowe-Horwath. The CARS system is where they will complete their request for an indirect cost rate or declare they are not claiming indirect costs. All applicants must make an election or negotiate a rate in CARS to be able to claim reimbursement for indirect costs. Indirect costs may be disallowed if an election or rate is not recorded in CARS. Also, the determination of the ICR will impact the budget. If the ICR has not been determined by the time a grant application and budget is completed, the Grantee may expect that the budget will need to be re-calculated and re-submitted.
- complete the Notification of State Awards. The Notice of State Award will make the formal offer of the grant to the applicant. It may exactly mirror what the applicant proposed in their application or it may have different or additional requirements or different funding amounts. Should any risks have been revealed by the ICQ or Programmatic Risk Assessment, it will have requirements that address these risks. Applicants will want to work with DRS Fiscal and ILU staff to understand the changes. The NOSA is a required pre-award notification of the terms and conditions of an award. The purpose of the NOSA is to inform the recipient so an educated decision can be made prior to entering into a grant agreement. IDHS staff will electronically transmit the NOSA to the award recipient through the Grantee Portal. The applicant is to sign and return the NOSA to the ILU. Note: The approved NOSA does not constitute an IDHS Grant award (contract). That formal process will begin after the approved NOSA has been returned.
Both DRS Fiscal and IL units will review all pre-qualification and application/risk assessment materials submitted by applicants. The ILU Program Manager works with his or her immediate supervisor and with the ILU Project Officer to develop deliverables, performance measures and program standards for that year's Uniform Grant Agreement that are consistent with current service requirements for Centers for Independent Living outlined in State and federal regulations, as well as requirements outlined in the three-year State Plan for Independent Living developed by the governor-appointed Statewide Independent Living Council. Input from grantees is solicited via meetings with the Illinois Network of Centers for Independent Living. Deliverables are then reviewed with grantees via presentation at Illinois Network of Centers for Independent Living meetings and via email. Once the Uniform Grant Agreement is internally approved by DHS, it will be published in the CSA system and the applicant will be notified. The applicant will be asked to send the completed signature page of the UGA to the DHS Office of Contract Administration and the ILU via email. The term "contract" is also used to identify the UGA.
Monitoring and Management
Please see prior sections on Reporting and Monitoring. Both sections outline the steps Grantees and the DRS ILU take in ensuring that reporting and monitoring activities are conducted according to State and federal regulations, and that contract terms and conditions are met.
Closeout, Audit and Audit Resolution
Please see section on Reporting related to Final Reconciliation and Consolidated Year- End Financial Reporting. In addition, audit requirements can be found in the GATA Resource Library on the GATA website. As it relates to Centers for Independent Living in Illinois (from the GATA website):
- if a Center expends "less than $750,000 during the non-federal entity's fiscal year in Federal awards (federal pass-through and direct federal funds) from all sources" the Center is "exempt from Single Audit requirements."
- "Non-Federal entities (subrecipients and Grantees) not required to have an audit conducted must submit a Consolidated Year-End Financial Report."
- "Non-compliance with GATA requirements could result in implementation of the Grantee Compliance Enforcement System and placement on the Illinois Stop Pay List."
Amendments and Modifications
An amendment is required when there is a change in the contract being requested by the Grantee. These changes can include:
- extending the contract beyond the original expiration date;
- revising the services purchased;
- changing specific contract provisions;
- increasing or decreasing the estimated funding amount;
- making line item transfers to an existing contract budget (see below).
The provider must contact IDHS to discuss the proposed changes and to determine if an amendment is necessary. The provider will prepare the amendment and supporting documentation for IDHS approval. Line item transfers to existing budget contracts may not require a formal amendment, but instead may be made via a modification to the existing contract depending on the amount being moved. To determine whether a formal amendment or a modification is required for the change being requested, please use the following guide:
Steps to Determine if a Formal Amendment is Needed:
- Does the action increase the total value of the contract?
- If yes: A Formal Amendment with a revised budget must be completed in the CSA tracking system.
- If no: Does, the line item transfer total exceed the allowable variance of the greater of either:
- ten percent (10%) of the Budget line item, or
- one thousand dollars ($1,000) of the Budget line item? (Your DRS ILU Project Officer can provide Grantees with a copy of the DRS Amendment Threshold Calculator to assist them in this determination)
- If yes: A Formal Amendment with a revised budget must be completed in the CSA tracking system.
- If no: While the Division's approval is not required, it is strongly recommended that the Grantee notify the DRS ILU Project Officer of the change to avoid future billing complications.
Steps to Complete a Formal Amendment with a Revised Budget in the CSA Tracking System:
- Determine the need for a Formal Amendment.
- Email the DRS ILU Project Officer, indicating a Formal Amendment is required because the line item transfer exceeds the allowable variance.
- The DRS Contract Unit initiates the Formal Amendment process in the CSA tracking system.
- The DRS Contract Unit informs the DRS ILU Project Officer the Formal Amendment is ready for the Grantee to adjust their budget and submit for approval.
- Grantee submits budget for approval.
- The DRS ILU Project Officer reviews and acts on the Grantee Budget.
- Once the DRS ILU Project Officer approves the Budget, an email must be sent to the DRS Contract Unit.
- The DRS Fiscal Unit reviews and acts on the Grantee Budget.
- If approved, the DRS Fiscal Unit will request the DRS ILU Project Officer finalize the Grantee Budget.
- If rejected, the budget is returned to the Grantee and the approval process restarts.
- Once the Budget if fully approved, the DRS Contract Unit will publish the Formal Amendment and email the DRS ILU Project Officer that the contract is ready to be downloaded, signed and returned to the DHS Office of Contract Administration by the Grantee.
* All amendments MUST be requested no later than April 1 of the contract period. Modifications MUST be requested no later than June 1 of the contract period.
Independent Living (IL) Services - Individuals with a severe physical, mental, cognitive, or sensory impairment whose ability to function independently in the family or community or whose ability to obtain, maintain, or advance in employment is substantially limited and for whom the delivery of IL services will improve the ability to function, continue functioning, or move toward functioning independently in the family or community or to continue in employment.
Assistive Technology - Individual of any age, race, or ethnicity- who has a disability; and who is or would be enabled by an assistive technology device or an assistive technology service to minimize deterioration in functioning, to maintain a level of functioning, or to achieve a greater level of functioning in any major life activity.
Background Checks: Health Care Worker Background Check Act - The Provider certifies that it is in compliance with all requirements and regulations issued pursuant to the Health Care Worker Background Check Act (225 ILCS 46). The Health Care Worker Background Check Act applies to all individuals employed or retained by a health care employer as home health care aides, nurse aides, personal care assistants, private duty nurse aides, day training personnel, or an individual working in any similar health-related occupation where he or she provides direct care. (225 ILCS 46/10). It is the responsibility of the provider to determine if this act applies to the provider.
Nurse Aide Registry: The Provider shall not employ an individual in any capacity until the Provider has inquired of the Department of Public Health as to information in the Nurse Aide Registry concerning the individual. If the Registry reflects the existence or contains information that substantiates a finding of physical or sexual abuse or egregious neglect against an applicant, the Provider shall not employ him or her in any capacity.
Abuse and Neglect: Providers are mandated reporters. If the person is enrolled in a program or lives in a setting funded, licensed or certified by DHS or lives in a private home, call the Adult Protective Services Hotline 1-866-800-1409 (Voice) 1-888-206-1327 (TTY) or if the person with disabilities is enrolled in a program or lives in a setting funded, licensed or certified by Department of Public Health (DPH) (e.g. a nursing home), and the abuse/neglect occurs when service is being provided, call the DPH Nursing Home Hotline: 1-800-252-2893.
Mandatory Meetings and Training: DRS may designate any meeting or training it deems necessary as mandatory for Provider attendance. Providers will be given notification of such meetings or trainings via registered mail. Such meetings or trainings will be offered free of charge. Providers must support their own travel, per diem and lodging expenses. Reasonable accommodations will be made upon request 14 days prior to the meeting or training.
Data: The Provider must provide DRS with any and all data as specified in specific Program Manuals as well as other applicable rules. Data will be submitted in a timely manner in a format prescribed by DRS.
Monitoring: Reference DRS Program Manuals for monitoring requirements. All manuals are available by contacting the Provider's DRS Project Officer.
Funding Reserve: Reductions in Amounts Payable: The amount(s) payable, or estimated amount(s) payable, to vendor/provider under the agreement and this attachment may be subject to a reduction as necessary or advisable, based upon actual or projected budgetary considerations, at the sole discretion of the Illinois Department of Human Services.
Providers providing services to individuals who are Deaf, Hard of Hearing or DeafBlind must adhere to the following:
- Sign Language Interpreter Services: Interpreters must be appropriately licensed in accordance with the Interpreter for the Deaf Act of 2007. A Listing of Licensed interpreters can be found at https://www2.illinois.gov/idhhc/licensure/pages/directoryhome.aspx. Proficiency Levels indicating License requirements for various environments can be found at http://www.ilga.gov/commission/jcar/admincode/068/068015150000900R.html
- Telecommunication Services: When appropriate, Providers will use Telecommunication Relay Services when communicating with Deaf, Hard of Hearing or DeafBlind people. Dial 711 and you will be connected to a TRS operator. Give the operator the number of the person you are calling. This communication takes place via text. Others use Video Relay Services (VRS) which utilizes a sign language interpreter to call people who use Video Phones. Callers dial the 10-digit video phone number and are automatically connected to a communication assistant who will interpret the conversation.
- Other Communication Services: Other appropriate methods of communication must be used as requested by the customer and may include: CART (Communication Access Realtime Translation (CART) or an Assistive Listening Device (ALD).
Other special conditions may be added at the discretion of the Division of Rehabilitation Services