This program manual for the Illinois Department of Human Services Division of Rehabilitation Services Older Blind Grant (OIB) was developed to help outline regulatory and contractual responsibilities of both the DRS OIB 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 OIB 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 community partners, as well as fellow and former DHS, DRS and BBS employees. This Program Manual is in no way intended to supersede contract requirements.
The purpose of the Older Blind Program is to provide services for individuals age 55 or older whose severe visual impairment makes competitive employment difficult to obtain but for whom independent living goals are feasible (described in Sec. 34 CFR 367.3(b)).
Grantees are to provide the following services;
- Service to help correct blindness, such as: outreach services
- The provision of services and equipment to assist an older individual who is blind to become more mobile and more self-sufficient;
- Mobility training, Braille instruction, and other services and equipment to help an older individual who is blind adjust to blindness;
- Guide services, reader services, and transportation;
- Any other appropriate service designed to assist an older individual who is blind in coping with daily living activities, including supportive services and rehabilitation teaching services;
- Independent Living skills training, information and referral services, peer counseling, and individual advocacy training.
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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:
2 CFR Part 200 The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.
7-OB - Refers to an annual report of OIB Grant activity required by RSA.
34 CFR 367 Code of Federal Regulations. Independent Living Services for Older Individuals Who Are Blind
Allocable Costs- Costs allocable to a particular cost objective if the goods or services involved are chargeable or assignable to such cost objective in accordance with relative benefits received or other equitable relationship. Costs allocable to a specific Program may not be shifted to other Programs in order to meet deficiencies caused by overruns or other fund considerations, to avoid restrictions imposed by law or by the terms of an Agreement, or for other reasons of convenience.
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.
Community organization covers a series of activities at the community level aimed at bringing about desired improvement in the social well-being of individuals, groups, organizations, and neighborhoods. It is synonymous with community work, community development and community mobilization.
Central Repository Vault (CRV) - The CRV provides an online repository for documents required by the State from Grantees.
Catalog of Federal Domestic Assistance (CFDA) means the database, accessible at http://www.cfda.gov, that helps the federal government track all programs it has domestically funded. (44 Ill. Admin. Code 7000.30)
Close-out Report means a report from the Grantee allowing the Grantor to determine whether all applicable administrative actions and required work have been completed, and therefore closeout actions can commence.
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 grantee which is conducted by the Designated State Entity to assess compliance with the standards and assurances set forth in federal and State rules, and contract terms and conditions.
Conflict of Interest means a situation that arises when a person in a position of authority over an organization, such as an officer, director or manager, may benefit financially from a decision he or she could make in that capacity, including indirect benefits such as to family members or businesses with which the person is closely associated
Contract - Uniform Grant Agreements are often referred to as "contracts." See Uniform Grant Agreement for definition.
Community Service Agreement Tracking System (CSA) - refers to the State computer system that tracks grant applications and awards.
Cost Allocation Plan means the documentation identifying, accumulating and allocating or developing billing rates based on the allowable costs of services provided by the State or local government on a centralized basis to its departments and agencies. The costs of these services may be allocated or billed to users.
Department of Human Services (DHS, IDHS) - The Illinois Department of Human Services
Direct Costs means costs that can be identified specifically with a particular final cost objective, such as a State, federal or federal pass-through award or a particular sponsored project, an instructional activity, or any other institutional activity, or that can be directly assigned to such activities relatively easily with a high degree of accuracy.
Disallowed Costs means charges to a State, federal or federal pass-through award determined by the awarding agency or pass-through entity to be unallowable, in accordance with the applicable State or federal statutes or regulations, or the terms and conditions of the State, federal or federal pass-through award.
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
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Federal Award Identification Number (FAIN)- The unique identifying number assigned to all federal financing awards.
Federal Employer Identification Number (FEIN) - This unique, nine-digit number is used by the IRS to identify a business operating in the United States.
Federal Funding Accountability and Transparency Act (FFATA)
Federal Office of Management and Budget of the Executive Office of the President. (OMB)
Federal System for Award Management (SAM) is the Federal repository into which an entity must provide information required for the conduct of business as a recipient. 2 CFR 25 Appendix A (1)(C)(1).
Financial Assistance For grants and Cooperative Agreements, "Financial Assistance" means assistance that non-federal entities receive or administer in the form of: grants; Cooperative Agreements; non-cash contributions or donations of property, including donated surplus property; direct appropriations; food commodities; and other financial assistance, except Cooperative Agreements. For auditing purposes and for purposes of publication in the CFDA, "Financial Assistance" also includes assistance that non-federal entities receive or administer in the form of loans, loan guarantees, interest subsidies and insurance. "Financial Assistance" does not include amounts received as reimbursement for services rendered to individuals.
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 grantee being reviewed did not demonstrate minimum compliance with applicable standards and assurances set forth in federal and State law, and contract terms and conditions.
Fixed-Rate means an indirect cost rate that has the same characteristics as a predetermined rate, except that the difference between the estimated costs and the actual costs of the period covered by the rate is carried forward as an adjustment to the rate computation of a subsequent period. See UR appendix VII, subsection B Fixed-Rate is in contrast to fee for-service, 44 Ill. Admin. Code Part 7000.30.
Generally Accepted Accounting Principles (GAAP) means accounting standards issued by the Government Accounting Standards Board and the Financial Accounting Standards Board.
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
Grant Funds means the Financial Assistance made available to Grantee through this Agreement.
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.
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).
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.
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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.
Net Revenue means an entity's total revenue less its operating expenses, interest paid, depreciation, and taxes. Net Revenue is synonymous with Profit.
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.
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.
Prior Approval or Prior Written Approval means an authorization by one party, provided in writing to another party, to proceed in a specified manner.
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Profit means an entity's total revenue less its operating expenses, interest paid, depreciation, and taxes. Profit is synonymous with Net Revenue.
Program means the services to be provided pursuant to this Agreement.
Program Costs means all Allowable Costs incurred by Grantee and the value of the contributions made by third parties in accomplishing the objectives of the Award during the Term of this Agreement.
Program Income means gross income received by the awardee directly generated by a supported activity or earned only as a result of the federal award during the period of performance, except as provided in UR section 200.307(f) or Section 7000.120(c)(4) of this Part, as applicable (also see the definition of period of performance). Program income includes, but is not limited to, income from: fees for services performed; the use or rental of real or personal property acquired under State, federal or federal pass-through entity awards; the sale of commodities or items fabricated under a State, federal or federal pass-through entity award; license fees and royalties on patents and copyrights; and principal and interest on loans made with State, federal or federal pass-through entity award funds. Interest earned on advances of State, federal or federal pass-through entity award funds is not program income. Except as otherwise provided in State or federal statutes, regulations, or the terms and conditions of the federal award, program income does not include rebates, credits, discounts or interest earned on any rebates, credits or discounts.
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 OIB services throughout the United States.
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
State means the State of Illinois.
Unallowable Costs means a cost specified by law or regulation, federal cost principles, or the terms and conditions of an award that may not be reimbursed under a Grant or Cooperative Agreement.
Uniform Grant Agreement (UGA) - The UGA is the formal contract between a State Grantor Agency and a Grantee.
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/page.aspx?item=95348
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.
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Calendar of Important Dates (based on State fiscal year)
- Beginning of the State Fiscal Year (SFY)
- June/Final MERs and CTR's due to the OIB Project Officer
- Fourth Quarter PFRs and PPRs for the prior State fiscal year due to the OIB Project Officer
- Final Closeout report due to OIB Project Officer
- July MERs and CTR's due to the OIB Project Officer
- August MER's and CTR's due to the OIB Project Officer
- End of the Federal Fiscal Year (FFY)
- Start of the Federal Fiscal Year
- September MERs and CTR's due to the OIB Project Officer
- First Quarter SFY PFR's and PPR's due to the OIB Project Officer
- 7-OB Report Due to Project Officer
- October MER's and CTR's due to the OIB Project Officer
- November MER's and CTR's due to the OIB Project Officer
- December MER's due to the OIB Project Officer
- Second quarter SFY PFR's and PPR's due to the OIB Project Officer
- January MERs and CTRs due to the OIB Project Officer
- February MERs and CTRs due to the OIB Project Officer
- Last day to request formal amendments for the current contract year
- March MERs and CTRs due to the OIB Project Officer
- Third quarter SFY PFR's and PPR's due to the OIB Project Officer
- April MER's and CTR's due to the OIB Project Officer
- Last day to request contract budget modifications for the current contract year
- May MER's and CTR's due to the OIB Project Officer
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Rules and Regulations
Title 34, Part 370 -Independent Living Services for Older Individuals who are Blind - Section 367.1 to Section 367.42.
30 ILCS 708/ Grant Accountability and Transparency Act
Program and Financial Reporting Requirements:
- Time Period for Required Periodic Financial Reports. Reports must be submitted no later than 15 calendar days after the quarter ends.
- Time Period for Close-out Reports. Grantee shall submit a Close-out Report no later than 15 calendar days after this Agreement's end of the period of performance or termination.
- Time Period for Required Periodic Performance Reports. Grantee shall submit Performance Reports to Grantor no later than 15 calendar days after the quarter ends.
- Time Period for Close-out Performance Reports. Grantee agrees to submit a Close-out Performance Report, no later than 15 calendar days after this Agreement's end of the period of performance or termination.
Additional payment terms (if applicable)
A. Monthly Reporting
The Older Blind Program requires monthly reports from Grantees; including the Monthly Expenditure Report, and the Customer Tracking 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 CTR includes customer demographic and service-related information. The CTR includes customer demographic and service-related information.
See the "Calendar of Important Dates" in this document for required dates for MER and CTR submission to OIB. MERs and CTR's are submitted by Grantees to OIB Project Officer by the 15th day of the month following the month being reported.
Once received by the Project Officer the MER, PFR and CTR are reviewed for completeness and accuracy. The Project Officer 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 OIB Project Officer 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 OIB staff will work with the Grantee to develop and implement. As specified in the contract, additional reporting may be required by the Project Officer (as representative of the awarding State agency) to meet this end. Additionally, payments may be withheld pending resolution of billing issues.
Once the OIB Project Officer 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.
B. Quarterly Reporting
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 OIB Project Officer. 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 OIB Project Officer to assess progress towards meeting contract deliverables. If a lack of progress is indicated, the OIB Project Officer 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 Grantees 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 OIB Program. PPRs are due to the OIB Project Officer 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.
United States Department of Education Office of Special Education and Rehabilitation Services Administration requires completion of the annual 7-OB Report. RSA uses this form to meet the specific data collection requirements of Chapter 2 of Title VII of the Rehabilitation Act, as amended by the Workforce Innovation and Opportunity Act (WIOA) and implementing regulations at 34 CFR Part 367. This report is due to the project officer by October 30th of the appropriate year.
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."
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- 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 OIB Project Officer, acting as the Designated State Entity designee, will conduct an on-site Compliance Review of all Grantees for the Older Blind Program to align its monitoring activities with the priorities established by the Rehabilitation Services Administration (RSA) Commissioner.
The DRS OIB Project Officer reviews reports submitted by Grantees, including: MERs, PFRs, PPRs, and Customer Tracking Reports. 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 Grantees as outlined in legislation listed above. If discrepancies are noted, Grantees are contacted by the DRS OIB Project Officer who then works with the identified Grantee to seek an understanding of what is being reported and why, and to correct any inconsistencies. Repeated instances of discrepant reporting could lead OIB Project Officer to determine that the on-site compliance review process should be initiated with the Grantee, and/or a Corrective Action Plan be developed and implemented.
Grants and Contracts
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;
- 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 OIB Project Officer. 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 OIB Project Officer 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 OIB 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 review and act on the NOSA. 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 OIB units will review all pre-qualification and application/risk assessment materials submitted by applicants. The OIB Project Officer works with management to develop deliverables, performance measures and program standards for that year's Uniform Grant Agreement that are consistent with current service requirements for Older Individual who are Blind Grant outlined in 34 CFR 367. 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 OIB 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 OIB 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. "Non-compliance with GATA requirements could result in implementation of the Grantee Compliance Enforcement System and placement on the Illinois Stop Pay List."
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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 the OIB Project Officer 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. FY## GATA Budget Information
- 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 OIB 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 OIB 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 OIB 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 OIB 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 OIB Project Officer reviews and acts on the Grantee Budget.
- Once the DRS OIB 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 OIB Project Officer finalize the Grantee Budget.
- If rejected, the budget is returned to the Grantee and the approval process restarts.
- Once the Budget is fully approved, the DRS Contract Unit will publish the Formal Amendment and email the DRS OIB 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 prior to April 1 of the contract period. Modifications MUST be requested prior to June 1 of the contract period.
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