Section 400.10  Purpose

 

The Illinois Council on Developmental Disabilities (Council) receives funds under the Basic State Grant Program through the Developmental Disabilities Assistance and Bill of Rights Act of 2000 (42 USC 6000).  Pursuant to that Act, the Council develops a State Plan that sets forth the advocacy, capacity building and systemic change activities related to the priorities in the Act that will be implemented by the Council.  Priorities generally include, but are not limited to, education, housing, employment, transportation, child care, recreation, health, early intervention and other community supports that affect the quality of life of individuals with developmental disabilities.  This Part explains the State Plan activities, grants and other administrative requirements.

 

Section 400.20  Definitions

 

As used in this Part:

 

"Act" means the Developmental Disabilities Assistance and Bill of Rights Act of 2000 (42 USC 6000) that is the federal enabling and funding statute for the Council.

 

"Council" means the Illinois Council on Developmental Disabilities.

 

"Developmental Disability" means a severe, chronic disability of an individual that:

 

is attributable to a mental or physical impairment or combination of mental and physical impairments;

 

is manifested before the person attains age 22;

 

is likely to continue indefinitely;

 

results in substantial functional limitations in 3 or more of the following areas of major life activity:

 

self care;

 

receptive and expressive language;

 

learning;

 

mobility;

 

self direction;

 

capacity for independent living; or

 

economic self sufficiency; and

 

reflects the person's need for a combination and sequence of special, interdisciplinary or generic services, individualized supports, or other forms of assistance that are of lifelong or extended duration and are individually planned and coordinated. Infants and young children birth to age 9, inclusive, who have a substantial developmental delay or specific congenital or acquired condition, may be considered to have a developmental disability without meeting 3 or more of the areas of major life activity if the individual without services and supports has a high probability of meeting those criteria later in life.

 

"Director" means the Director of the Illinois Council on Developmental Disabilities.

 

"Executive Committee" means the Executive Committee of the Council, which is comprised of 7 Council members, 3 of whom are elected annually by the membership at-large and 3 of whom are appointed by the chairperson of the Council.  The chairperson of the Council is a member of the Executive Committee.

 

"Grant" means an investment made by the Council to implement the State Plan performance targets or goals through a variety of activities whose primary purpose is to advance the mission of the Council and the purposes of the Act. 

 

Grants may be awarded through a competitive process as explained in this Part;  

 

Grants may be awarded on a non-competitive basis when the project requires the specialized knowledge, capacity, and experience of a potential grantee, and the emerging nature of the project precludes the Council from going through a timely development, review and selection process due to the emerging nature of the project; and

 

Grants as awarded by the Council are not subject to the provisions or requirements of the Illinois Procurement Code (see 30 ILCS 500/1-10).

 

"Grant Agreement" means a prescribed form containing the provisions governing the grant award between the Council and the grantee.  The grant agreement must contain signatures of the involved parties certifying agreement to the contract.

 

"Grantee" means the agency, individual or organization that is the recipient of Council grant funds to address performance targets or goals in the State Plan.

 

"Performance Targets" means, for purposes of the Council's State Plan, the advocacy, systems change or capacity building activities the Council is committed to achieving at the conclusion of the time period for the State Plan.

 

"Priorities" means the areas of importance in the Act, including, but not limited to, quality assurance, education, early intervention, child care, health, employment, housing, transportation, recreation and other community supports that affect the quality of life of individuals with developmental disabilities.

 

"Project Period" means the length of time the project is funded by the Council.

 

"Proposal" means the application a prospective grantee submits to the Council for funding consideration.

 

"Proposer" means an applicant for Council grant fund opportunities.

 

"State Plan"  means the plan required by the Act that is developed by the Council and approved by the United States Department of Health and Human Services (HHS), Administration on Developmental Disabilities. 

 

Section 400.30   State Plan Implementation

 

The Council, through its members, staff, consultants, contractors, subcontractors and grantees, conducts or supports programs, projects and activities that carry out its overall responsibilities under the Act.  The State Plan is developed by the Council and approved by the Council's federal funding authority, HHS-Administration on Developmental Disabilities.  The Council implements the State Plan by conducting initiatives that support advocacy, capacity building and systemic change activities, including, but not limited to:

 

a)         Outreach activities to identify individuals with developmental disabilities and their families to assist them to obtain community services, individualized supports or other forms of assistance. 

 

b)         Training for people with developmental disabilities, their families, personnel and volunteers on obtaining or providing community services, individualized supports or other forms of assistance. 

 

c)         Technical assistance to assist the private and public sectors in achieving and contributing to a consumer and family directed system of community services.

 

d)         Supporting and educating communities, businesses and organizations to respond positively to individuals with developmental disabilities and their families.

 

e)         Coordinating with other councils, committees and programs addressing similar issues to benefit people with developmental disabilities.

 

f)         Barrier elimination and system design and redesign to promote access and use of community services by people with developmental disabilities.

 

g)         Coalition development and citizen participation activities that educate the public about the capabilities, preferences and needs of people with developmental disabilities to enhance the policy agenda of the Council.

 

h)         Supporting and conducting studies, gathering information and developing model policies and other information, and making recommendations directly to federal and State policymakers, including members of Congress, the Illinois General Assembly and the Governor.

 

i)          Demonstrating new approaches to services and supports generally on a time limited basis to show new approaches to serving individuals with developmental disabilities as part of an overall strategy for systemic change.

 

j)          Other activities that may support the overall mission of the Council, as identified in the Act.

 

Section 400.40  Purpose of Grants

 

To implement the activities described in Section 400.30, the Council may award grants to qualifying agencies, individuals and organizations.  All funding decisions are made by the Council or by the Executive Committee, as provided in this Part and the Council's bylaws.  In general, the Council uses an outcome-based framework in developing the State Plan and funding opportunities and in the development, review, selection, implementation and monitoring of grants.  The purpose of grants, how to apply for grants, information considered in the review and selection process, procedures used to make the awards, post-award monitoring, and other requirements are explained in this Part.

 

Section 400.50  Form of Application

 

a)         When funds are available to the Council, the Council shall seek to award the funds consistent with the purposes of the Act, the State Plan, and this Part.

 

b)         The Council provides notice to the public of the availability of these funding opportunities (i.e., with the exception of non-competitive grants) through, but not limited to, the Council's mailing list, website and other State and local agency websites.

 

c)         The Council will prescribe the form and substance, establish the response date, and impose any funding limitations for proposals.

 

d)         All communications relating to the availability of grant funds, the application form, or the process defined in Section 400.60 shall be sent to the Investment Coordinator, Illinois Council on Developmental Disabilities, 830 South Spring Street, Springfield, Illinois 62704.

 

Section 400.60  Review and Selection Process

 

a)         Council staff shall initially review all proposals to identify any history of compliance issues with previous or current grant agreement terms, previous performance in programmatic or fiscal areas, and other indicators relevant to evaluating the applicant's ability to successfully complete the project.

 

b)         Proposals are reviewed, by teams comprised of Council members and staff and may include other experts in the field of developmental disabilities (e.g., experts who possess knowledge about the subject matter at hand that would be helpful for the team to reach a decision) who make recommendations for awards to the Council or the Executive Committee, as described in Section 400.40.

 

c)         Awards shall be made in accordance with the following criteria, which are equally weighted:

 

1)         The performance targets or goals are clear and demonstrate that the project will assist the Council in meeting its State Plan performance target;

 

2)         The proposal's implementation plan is clear and will lead to the achievement of the project's performance targets;

 

3)         The proposal sufficiently demonstrates that the applicant has the commitment, capacity and expertise sufficient to achieve the project's performance targets; and

 

4)         The cost or budget to achieve the project's performance targets appears reasonable in view of the proposed goals of the project.

 

d)         The Council reserves the following rights regarding the funding of grants.

 

1)         Negotiate and adjust funding levels during the review process;

 

2)         Not fund any applications it receives (e.g., proposals do not adequately address all criteria in subsection (c), or the Council needs to further clarify and refine its performance target or goals in the funding opportunity); or

 

3)         Not fund any applications it receives because circumstances have changed (e.g., the purpose of the funding opportunity no longer addresses federal or State policy or a situation has evolved  that makes an award inconsistent with the purposes of the Act, State law, or regulations).

 

e)         All proposers will be advised in writing of the Council's award decisions as soon as practicable, but not later than two weeks from the date of the Council's action on the team's recommendations.

 

f)         Any agencies, individuals or organization who failed to receive a grant award may appeal that decision. 

 

Section 400.65  Appeals

 

Any agency, individual or organization who failed to receive a grant award may appeal that decision only on the grounds of fraud or conflict of interest.  In cases of an agency, individual or organization who received notice of suspension or termination that was based on failure to comply with the terms and conditions of a grant, an agency, individual or organization may appeal that decision.  Appeals cannot be made in cases where the Council has had a partial or total loss of federal funding or the General Assembly fails to appropriate or otherwise make available funds to the Council.

 

a)         A written request for appeal that includes a clear, concise documentation of fraud or conflict of interest must be received by the chairperson of the Council within 30 calendar days after the denial or written notice;

 

b)         Within 90 days after receipt of the appeal, the Executive Committee shall convene a meeting and review the documentation submitted by the agency, individual, or organization.  Any Executive Committee member who was involved during the development, review or selection process will recuse him or herself from participation in reviewing the appeal.  Any Executive Committee member who is affiliated with the individual, agency, or organization requesting the appeal will recuse him or herself.  The Executive Committee will decide:

 

1)         No fraud or conflict of interest occurred;

 

2)         Fraud or conflict of interest is evident and the original action should be overturned; or

 

3)         There is evidence that the action to suspend or terminate should be overturned.

 

c)         The decision of the Executive Committee is final.  The Executive Committee will advise the agency, individual, or organization of their decision in writing within 10 calendar days after their decision.  The Executive Committee will notify the full Council of the appeal and will report on their final decision.

 

Section 400.70  Awards, Grant Agreements, Conditions and Disbursement of Grant Funds

 

a)         When a grant has been awarded, the grantee and the Council shall execute an agreement.  The agreement shall be executed between the grantee and the Council's Director, or the Director's designee, on behalf of the Council.

 

b)         Disbursement of grant funds.  Notwithstanding selection for a grant award pursuant to this Part, disbursement of grant funds is contingent upon the submission of a fully executed grant agreement.

 

c)         The grant agreement will be drafted by the Council and shall contain appropriate substantive provisions, including, but not limited to, the following:

 

1)         A recitation of legal authority pursuant to which the agreement is made;

 

2)         An identification of the project scope and schedule, including a specified time period for the grantee's performance and the work or services to be performed or conducted by the grantee;

 

3)         An identification of the grant amount;

 

4)         A promise by the grantee not to assign or transfer any of the rights, duties or obligations of the grantee without the prior written consent of the Council;

 

5)         A promise by the grantee not to amend the agreement without the written consent of the Council; and

 

6)         A covenant that the grantee shall expend the grant amount and any accrued interest only for the purposes of the project as stated in the agreement and approved by the Council.

 

d)         A grantee may not start a project until the grant agreement has been fully executed by the grantee and the Council's Director or the Director's designee.  No funds will be approved for payment for costs incurred before the full execution of the grant agreement.  The fully executed grant agreement will be filed by the Council with the Office of the Illinois Comptroller within 30 days after the last signature. 

 

e)         Grantees shall comply with any conditions and requirements specified in the Act, this Part, the Council's award letter and the grant agreement.

 

f)         Grantees shall submit regular fiscal and programmatic reports that document the grantee's performance under the grant agreement.  The Council will provide grantees with guidelines and forms regarding the preparation of fiscal and programmatic reports for all awards.

 

g)         Grantees shall make available to Council staff or their authorized agents all financial records and other reporting documentation relating to the grant award.

 

Section 400.80  Administrative and Reporting Requirements

 

a)         Grant monitoring – The Council monitors the progress of grant-funded projects and expenditures through a variety of mechanisms, including, but not limited to, communications with grantees; periodic site visits by Council staff; payment requests; written reports; and final expenditure reports submitted by grantees.  Grantees must permit any agent authorized by the Council, upon presentation of credentials, in accordance with constitutional limitations on administrative searches, to have full access to and the right to examine any documents, papers and records of the grantee relating to the Council's grant.

 

b)         Audits – All grantees that receive Council grant funds shall comply with the Council's requirements concerning audits as outlined in this subsection.  The Council will provide grantees with guidelines regarding audit requirements for all awards.  In general:

 

1)         All grantees are asked to submit a copy of routinely performed audits.

 

2)         The Council may arrange and pay for limited scope audits or financial reviews of grantees expending $100,000 or less in Council funds.

 

3)         Any governmental or non-profit agency required to undergo a Single Audit pursuant to the Single Audit Act Amendments of 1996 may include the Council’s portion of the audit in the proposed budget.  For-profit grantees expending $500,000 in funds solely from the Council are required to procure an audit of the project.

 

c)         Recordkeeping – The grantee shall maintain program and fiscal records related to each grant award for a period of 5 years following the end of the grant agreement.  These records shall include a fiscal accounting for all funds in accordance with any generally accepted governmental accounting principles.  However, if any claim, litigation, audit or other action has begun before the expiration date of the 5-year period, the records shall be retained until the completion of the action and resolution of all issues that arise from it.

 

Section 400.90  Project Revisions and Extensions

 

Budget revisions within the overall award amount, project revisions, and extensions of projects beyond the original time frame can be negotiated and must be approved by Council staff in advance of implementation of any revisions.  Revisions to the grantee's performance targets must have Council approval before implementation. 

 

Section 400.100  Investment Completion

 

a)         Grantees must submit to the Council a final report that includes a description of the grantee's performance of the project and a detailed list of expenditures, including match funds, if applicable, in relation to the approved budget.  Variances in budget lines must be explained in the report. 

 

b)         Grantees shall submit copies of any audits they have had completed during the time period that Council funds were expended.  Failure to submit audits may impact future Council consideration of proposals from the grantee.

 

Section 400.110  Suspension and Termination

 

a)         Suspension – If a grantee fails to comply with the terms and conditions of the grant award and agreement, the Council shall, after written notice to the grantee, suspend the grant and withhold further payments and prohibit the grantee from incurring additional obligations of grant funds, pending resolution of the issues or termination.  The Council may require submission of a written plan of action to address the issues in dispute.  Grantee payments will resume upon resolution of the issues in dispute. 

 

b)         Termination – The grant may be terminated for the following reasons:

 

1)         If partial or total loss of federal funding occurs, or the Illinois General Assembly fails to appropriate or otherwise make available funds to the Council, the Council may make proportional or total cuts to all grants.  In that event, the Council will give written notice to grantees setting forth the effective date of full or partial termination, or, if a change in funding is required, setting forth the change in funding and changes in the approved budget.

 

2)         If the Council determines that the grantee has failed to comply with the terms and conditions of the grant award and grant agreement, the Council may terminate the grant in whole, or in part, at any time upon written notice to the grantee.  Circumstances that could result in termination of a grant include, but are not limited to: failure to submit required reports; failure to maintain required records; misuse of equipment purchased with grant funds; falsification or misrepresentation of information to the Council; and failure to resolve issues in dispute during suspension.  Written notice of termination of the grant shall contain the reasons for termination and the effective date.

 

3)         Recapture of grant funds.  All grants awarded under this Part shall be governed by the Illinois Grant Funds Recovery Act [30 ILCS 705].  Funds awarded for projects must be used exclusively for the purposes stated in the approved proposal and expended in accordance with the approved budget and grant agreement.  If the grantee fails to comply with the terms of the grant agreement, the Council reserves the right to require appropriate proportional repayment of funds up to the entire amount of the grant.

 

Section 400.120 General Provisions – Allowable Expenses

 

Expenses must meet the following criteria in order for payment from Council funds to be allowed:

 

a)         Be necessary and reasonable to carry out the performance targets, goals and intent of the approved grant;

 

b)         Be authorized under the approved budget and not prohibited by this Part or federal, State or local laws or regulations;

 

c)         Conform to any specifications set forth in the approved project or this Part and grant monitoring procedures;

 

d)         Not be used to supplant non-federal funds for already existing services; and

 

e)         Not exceed the total approved budget amount for Council funds.