AUTHORITY: Implementing the Illinois Act on the Aging [20 ILCS 105] and the Older Americans Act, as amended (42 USC 3001 et seq.) and authorized by Section 4.01 of the Illinois Act on the Aging [20 ILCS 105].

SOURCE: Adopted at 5 Ill. Reg. 3722, effective March 31, 1981; amended at 6 Ill. Reg. 7379, effective June 16, 1982; codified at 7 Ill. Reg. 5178; amended at 7 Ill. Reg. 9132, effective July 27, 1983; amended at 8 Ill. Reg. 9330, effective June 15, 1984; amended at 9 Ill. Reg. 5297, effective April 8, 1985; amended at 10 Ill. Reg. 5787, effective March 27, 1986; recodified at 10 Ill. Reg. 7653, effective April 30, 1986; amended at 10 Ill. Reg. 14616, effective August 26, 1986; amended at 11 Ill. Reg. 3856, effective February 17, 1987; amended at 11 Ill. Reg. 7586, effective April 8, 1987; amended at 11 Ill. Reg. 15869, effective October 1, 1987; emergency amendments at 12 Ill. Reg. 12540, effective July 15, 1988, for a maximum of 150 days; emergency expired December 12, 1988; amended at 13 Ill. Reg. 2015, effective February 1, 1989; amended at 13 Ill. Reg. 3054, effective March 1, 1989; amended at 13 Ill. Reg. 20299, effective December 15, 1989; amended at 14 Ill. Reg. 2308, effective January 25, 1990; amended at 15 Ill. Reg. 18642, effective December 13, 1991; amended at 16 Ill. Reg. 15401, effective September 28, 1992; amended at 18 Ill. Reg. 14072, effective September 1, 1994; amended at 21 Ill. Reg. 8894, effective July 1, 1997; amended at 22 Ill. Reg. 3454, effective February 1, 1998; amended at 26 Ill. Reg. 9662, effective July 1, 2002; Subpart E header recodified at 45 Ill. Reg. 10285; amended at 45 Ill. Reg. 10780, effective August 10, 2021.

SUBPART A: STATE AGENCY

 

Section 230.10  Designation and Function

 

a)         The Illinois Department on Aging is the designated single State Agency for the purpose of:

 

1)         Developing and administering the State plan;

 

2)         Having primary responsibility for the coordination of all activities in the State relating to the purposes of the Act;

 

3)         Serving as the effective and visible advocate of all older persons in the State; and

 

4)         Assisting area agencies on aging in the development of comprehensive and coordinated service delivery systems throughout the State.

 

b)         The Department shall develop and have available for review a functional statement of the manner in which all of the responsibilities under this part are performed by the Department.

 

Section 230.20  Administration

 

For the purposes of administering the programs specified in this Part, the Department shall meet the following administrative requirements:

 

a)         Administrative Policies

 

1)         The Department shall have and follow written policies to carry out its functions specified in Section 230.10 of this Part.

 

2)         Such policies shall be developed and promulgated in accordance with the provisions of the Illinois Administrative Procedures Act, as amended (Ill. Rev. Stat. 1981, ch. 127, par. 1001-1 et seq.).

 

b)         Director

            The Department shall have a full-time director who is at least 55 years old, who is appointed by the Governor and who has received the confirmation of the Illinois State Senate.

 

c)         Other Staff

            The Department shall have an adequate number of other qualified staff in order to meet its designated functions as specified in this Part.

 

d)         Preference in Hiring

            Subject to the requirements of (5 CFR 900), Subpart F, Standards for a Merit System of Personnel Administration, the Department shall give preference in hiring to persons age 60 or over.

 

e)         Affirmative Action

            The Department shall follow an affirmative action program which meets all applicable Federal and State regulations.

 

Section 230.30  State Plan

 

In accordance with (45 CFR 1321), Grants for States and Community Programs on Aging, Subpart C, the Department shall develop a State plan for administering programs specified in this Part.

 

a)         State Plan Requirements

 

            The Department shall develop a State plan which shall be in effect for a three year period specified by the Commissioner of the Administration on Aging of the United States Department of Health and Human Services (USDHHS).

 

1)         The State plan shall be based on area plans developed in accordance with Subpart B, Section 230.130 of this Part.

 

2)         The State plan shall provide that the area agency and area plan requirements are met for:

 

A)        area agency designation, and

 

B)        development and submission to the Department of an area plan.

 

b)         Service Delivery Requirements

            The State plan shall provide that the service delivery requirements are met, as specified in this Section, for:

 

1)         A long-term care ombudsman program;

 

2)         Restricting direct provision of services;

 

3)         All service providers concerning licensure, safety, training, outreach, coordination, preference to those with greatest economic or social need, contributions, maintenance of non-Federal support for services, and advisory role for older persons;

 

4)         Multipurpose senior center activities;

 

5)         Nutrition services;

 

6)         Legal services; and

 

7)         Information and referral

 

c)         State Plan Approval

 

1)         The Department shall hold public hearings throughout the State on the State plan and all amendments to the State plan.

 

2)         The Department shall submit the State plan and all amendments to the State plan to the State Advisory Council for review and comment.

 

3)         The Department shall submit the State plan and all amendments to the State plan to the Governor for review and signature.

 

4)         The Department shall submit the State plan and all amendments to the State plan, signed by the Governor, to the Commissioner of the Administration on Aging, United State Department of Health and Human Services (USDHHS). Submission to the Commissioner of the Administration on Aging shall be made at least 60 calendar days prior to the proposed effective date of the plan or of the amendment(s).

 

d)         Expenditures

            The Department may not make expenditures under a new plan or amendment(s) until it is approved by the Commissioner of the Administration on Aging.

 

Section 230.40  State Agency Requirements

 

The Department shall meet the following requirements:

 

a)         Advocacy (Section 230.41);

 

b)         Long-Term Care Ombudsman Program (Section 230.42);

 

c)         Service Delivery Systems Responsibilities (Section 230.43);

 

d)         State Advisory Council (Section 230.44);

 

e)         Hearings (Section 230.45); and,

 

f)         Designation of Planning and Service Areas (Section 230.46).

 

(Source:  Amended at 10 Ill. Reg. 5787, effective March 27, 1986)

 

Section 230.41  Advocacy

 

In relation to the stated function of serving as the effective and visible advocate of all older persons in the State, the Department shall:

 

a)         Review and comment on all State plans, budgets, and policies which affect older persons.

 

b)         Conduct public hearings on the needs of older persons.

 

c)         Coordinate the Statewide planning and development activities related to the purpose of the Act.

 

d)         Assure that each area agency on aging has in place and adheres to effective procedures to coordinate all programs related to the purposes of the Act within the planning and service area for which they have responsibility.

 

e)         Represent the interests of older persons before legislative, executive, and regulatory bodies throughout the State.

 

f)         Provide technical assistance to agencies, organizations, associations, or individuals representing older persons.

 

g)         Establish and operate a long-term care ombudsman program pursuant to subsection (b) of this Section.

 

h)         Review and comment, upon request, on applications to State and Federal agencies for assistance relating to meeting the needs of older persons.

 

(Source:  Amended at 10 Ill. Reg. 5787, effective March 27, 1986)

 

Section 230.42  Long-Term Care Ombudsman Program (Repealed)

 

(Source:  Repealed at 21 Ill. Reg. 8894, effective July 1, 1997)

 

Section 230.43  Service Delivery Systems Responsibilities

 

a)         In relation to service delivery systems, the Department shall:

 

1)         Develop and administer the State Plan;

 

2)         Divide the State into planning and service areas;

 

3)         Designate area agencies in those planning and service areas for which the Department decides to have an area plan developed;

 

4)         Approve and monitor the administration of the area plans;

 

5)         Provide adequate and effective opportunities for older persons to express their views to the Department on policy development and program implementation under the plan;

 

6)         Give preference to older persons with the greatest economic or social need in the delivery of services under the State plan;

 

7)         Develop an intrastate funding formula;

 

8)         Evaluate the need for social and nutritional services in the State, and determine the extent to which other public and private programs meet the needs;

 

9)         Conduct periodic evaluation of activities and projects carried out under the State Plan, including at least annual on-site performance evaluations of each area agency;

 

10)         Develop and distribute a uniform plan format and guidance for area plans;

 

11)         Provide technical assistance to area agencies;

 

12)         Establish an advisory council on aging;

 

13)         Coordinate legal services for older persons in the State, give technical assistance, advice, and training in the provision of legal services to older persons, and make reasonable efforts to maintain existing levels of those services;

 

14)         Enter into an agreement with the United States Department of Agriculture (U.S.D.A.) State Distributing Agency;

 

15)         Provide administrative and hearing procedures;

 

16)         Ensure that all older persons in the State have reasonably convenient access to information and referral services; and

 

17)         Maintain a directory of community focal points in the State.

 

b)         The Department may:

 

1)         Conduct training and development programs for personnel involved in implementing this Part; and

 

2)         Enter into contracts to carry out demonstration projects of statewide significance relating to the initiation, expansion, or improvement of services provided under this Part.

 

(Source:  Amended at 10 Ill. Reg. 5787, effective March 27, 1986)

 

Section 230.44  State Advisory Council

 

a)         Pursuant to the requirements of 45 CFR 1321.47 and paragraph 6107 of the Act, there is created and established a State Council on Aging for the purpose of advising and assisting the Department in carrying out those functions specified in Section 230.10 of this Part.

 

b)         More than 50 percent of those individuals serving on the State Council on Aging shall be at least 60 years old and include:

 

1)         Persons with greatest economic or social need, and

 

2)         Participants in programs administered by this Part.

 

(Source:  Amended at 10 Ill. Reg. 5787, effective March 27, 1986)

 

Section 230.45  Intrastate Funding Formula

 

The Department, following consultation with all Area Agencies on Aging in the State, shall develop and utilize an Intrastate Funding Formula which meets the requirements specified in 45 CFR 1321.

 

a)         The Department shall allocate Title III Older Americans Act (42 USC 3001 et seq.) funds and State General Revenue Funds (GRF) appropriated for distribution to the 13 Area Agencies on Aging on a formula based in accordance with Older Americans Act requirements.

 

b)         For purposes of this Section, the following terms have the meanings specified:

 

"Base" means the allocation for Federal Fiscal Year (FFY) 1992 as of March 1, 1992 for each source of funds (e.g., Title III-B, Title III-C1, Title III-C2, Title III-D, GRF Match, GRF Home Delivered Meals, etc.) distributed by the Department to the 13 Area Agencies on Aging for their respective Planning and Service Areas. In Federal FY 1993, the "base" means two-thirds of the FFY 1992 base for each source of funds.  In Federal FY 1994, the "base" means one-third of the FFY 1992 base for each source of funds. Each Area Agency on Aging has a "base" level for each source of funds it receives from the Department to be administered through the Area Plan on Aging.

 

"Bureau of the Census" means the Bureau of the Census, U.S. Department of Commerce.

 

"Housing unit" means a house, an apartment, a group of rooms, or a single room occupied as a separate living quarters.

 

"Living alone" means being the sole resident of a housing unit.

 

"Minority group" means those persons who identify themselves as belonging to a particular ethnic/racial grouping as classified by the Bureau of the Census.

 

"PSA" means a Planning and Service Area which is designated pursuant to Section 230.47.

 

"Poverty threshold" means the income cutoff which determines an individual's poverty status as defined by the Bureau of the Census.

 

"Rural area" means a geographic location not within a Metropolitan Statistical Area (MSA) as defined by the Bureau of the Census.

 

c)         In order for a particular factor to be included in the Intrastate Funding Formula, it must:

 

1)         be derived from data which is quantifiable by PSA;

 

2)         be based on data which is derivable from the Bureau of the Census; and

 

3)         characterize at least 5% of the State's population 60 years of age and older.

 

d)         The Formula contains the following factors:

 

1)         The number of the State's population 60 years of age and older in the PSAs as an indicator of need in general (60+ population).

 

2)         The number of the State's population 60 years of age and older at or below the poverty threshold in the PSAs as an indicator of greatest economic need (GEN – 60+ Poverty).

 

3)         As indicators of greatest social need, the number of the state's elderly in the PSAs who are:

 

A)        60 years and over and a member of a minority group (GSN – 60+ Minority);

 

B)        60 years of age and over and living alone (GSN – 60+ Living Alone);

 

C)        75 years of age and over (GSN – 75+ Population).

 

4)         The number of the state's population 60 years of age and older residing in rural areas of the PSAs as a means of assuring that the State will spend an amount equal to or not less than 105% of the amount expended for services to rural elderly in Federal FY 78.

 

e)         The Funding Formula factors are weighted as follows:

 

1)         60+ Population                        41.0% 

 

2)         Greatest Economic Need:       25.0% 

 

            (60+ Poverty)             

 

3)         Greatest Social Need:             25.0% 

 

            (60+ Minority - 10.0%)                     

 

            (60+ Living Alone - 7.5%)                

 

            (75+ Population - 7.5%)                    

 

4)         60+ Rural                                9.0%   

 

 f)        The Intrastate Funding Formula is:

 

1)         A = (.41 POP-60 + .25 POV-60 + .10 MIN-60 + .075 LA-60 + .075 POP-75 + .09 RUR-60) X (T)

 

2)         Where:

 

A)       A            =    Funding allocation from a specific source of funds to a particular PSA.

 

B)        POP-60   =    Percentage of the state's population within the particular PSA age 60 and older.

 

C)        POV-60  =    Percentage of the state's population within the particular PSA age 60 and older at or below the poverty threshold.

 

D)       MIN-60  =    Percentage of the state's population within the particular PSA age 60 and older and a member of a minority group.

 

E)        LA-60     =    Percentage of the state's population within the particular PSA age 60 and older and living alone.

 

F)        POP-75   =    Percentage of the state's population within the particular PSA age 75 and older.

 

G)       RUR-60  =    Percentage of the state's population within the particular PSA age 60 and older not residing in the MSA.

 

H)       T             =    The total amount of funds appropriated from a specific source of funds.

 

g)         The base is to be used as the starting point when calculating the distribution of funds in Federal FY 1993 and Federal FY 1994 from a source of funds to be allocated to the Area Agencies on Aging for their respective PSAs.

 

1)         Each PSA will receive its base allocation from that source of funds plus its share of the additional funds above the base level.  Each PSA's share of the additional funds is calculated by use of the Formula delineated in subsection (f)(1).

 

2)         When the amount of funds appropriated to the Department for allocation to the Area Agencies on Aging for their respective PSAs from any source of funds decreases below the base level, each PSA will receive its base allocation from that source of funds minus its share of the reduction in funds.  The percentage reduction in funds for each PSA will equal the percentage reduction for the source of funds that was reduced.

 

h)         In Federal FY 1995 and in each year thereafter, each PSA's share of the funds from any source of funds is to be calculated by use of the Formula delineated in subsection (f)(1).

 

i)          The data used in the Intrastate Funding Formula reflects the most current and up-to-date information from the Bureau of the Census, including mid-census estimates when available.

 

j)          The only exceptions to the above provisions will be the distribution of Ombudsman and Title III-G funds and in instances of a legislatively directed program requiring funding at a designated level for a defined target population.  These funds will be distributed in accordance with the prescribed Formula stated in the applicable legislation.  If there is not a prescribed Formula stated in the applicable legislation, the Department has the authority to determine the methodology to be used to distribute the funds.

 

k)         Whenever the Director determines that any amount allotted to an Area Agency on Aging for a Fiscal Year under this Formula will not be used by such Area Agency on Aging for carrying out the purposes for which the allotment was made, the Director may, in accordance with this subsection, make such allotment available for carrying out such purpose to one or more other Area Agencies on Aging to the extent the Director determines that such other Area Agencies on Aging will be able to use such additional amount for carrying out such purpose. Funds will be reallotted to those Area Agencies on Aging which request and demonstrate the need for additional funds in accordance with procedures developed by the Department.  Any reallotment amount made available to an Area Agency on Aging from an appropriation for a Fiscal Year in accordance with the preceding sentence shall, for the purposes of this title, be regarded as part of such Area Agency's allotment for such year, and shall remain available only until the end of that Fiscal Year.  Funds available for reallotment will be:

 

1)         those in excess of an Area Agency's allowable carryover amount determined by the financial closeout of the Fiscal Year;

 

2)         those carryover funds available to an Area Agency on Aging determined by the financial closeout of the Fiscal Year but not requested by an Area Agency on Aging; and

 

3)         those funds offered to the Department for reallotment by an Area Agency on Aging.

 

l)          If the Director finds that any Area Agency on Aging has failed to qualify under the Area Plan Requirements of the Older Americans Act, or Section 230.140, the Director may withhold the allotment of funds to such Area Agency on Aging.  The Director shall direct the disbursement of the funds so withheld directly to any qualified public or private nonprofit institution or organization, agency, or political subdivision in order to ensure continuity of services pursuant to Section 230.145.

 

m)        The allotment to an Area Agency on Aging may be reduced by the amount of any disallowance, in the Fiscal Year following the identification of the disallowance, if that Area Agency on Aging has expended funds allocated under this Part:

 

1)         for purposes which an audit report determines to be questioned costs which are deemed disallowed by the Department;

 

2)         for purposes which an audit report determines to be unallowable; or

 

3)         for purposes which are otherwise determined to be unallowable according to cost principles contained in applicable OMB Circulars or the approved grant/contract award.

 

n)         If an Area Agency on Aging does not expend the required minimum percentage of their Title III-B allocation on access services, in-home services, and legal services as established by the Department, pursuant to the Older Americans Act in a Fiscal Year as determined by the financial closeout report, and no waiver of the requirement has been granted by the Department for that Fiscal Year, the Area Agency on Aging must, for the next Fiscal Year following the submission of their report, expend the minimum percentage established for that next Fiscal Year, PLUS the amount they were deficient in meeting the minimum percentage in the reported year.  If the Area Agency on Aging does not expend the required amount in the subsequent Fiscal Year, the amount that they were deficient from that required expenditure amount may be withheld from the Area Agency on Aging during the Fiscal Year following the Fiscal Year in which the shortage is determined.

 

(Source:  Amended at 16 Ill. Reg. 15401, effective September 28, 1992)

 

Section 230.46  Hearings (Repealed)

 

(Source:  Repealed at 45 Ill. Reg. 10780, effective August 10, 2021)

 

Section 230.47  Designation of Planning and Service Areas

 

a)         The Department has divided the State into Planning and Service Areas in accordance with 45 CFR 1321.43 (May 1, 1985) for the purpose of carrying out the functions specified in this Part.  In addition, the current Planning and Service Area boundaries have been embodied in Section 3.08 of The Illinois Act on the Aging (Illinois Revised Statutes, 1983, ch. 23, par. 6103.08), as specified in subsection (g)(5).

 

b)         Pursuant to the Older Americans Act, the Department is required to divide the State into distinct Planning and Service Areas in accordance with guidelines issued by the Commissioner of the Administration on Aging. 45 CFR 1321.7 (May 1, 1985), requires the State to submit to the Commissioner, prior to the Administration on Aging's approval of the State Plan, a notice of intent to maintain or amend the designation of existing Planning and Service Area boundaries.

 

1)         The Illinois State Planning Cycle is three (3) years, therefore, the State must review the existing Planning and Service Areas' boundaries every three (3) years.

 

2)         The Department will initiate the review process no later than June of the year preceding the year of the beginning of the next subsequent State Plan.

 

3)         In addition, during that month of June, Letters of Intent to apply to be designated as new Planning and Service Areas will be accepted from any unit of general purpose local government, any region within a State recognized for area-wide planning, or any metropolitan area.

 

4)         On the first working day in July, applications shall be mailed to each agency or organization submitting a Letter of Intent.

 

c)         In performing the review to maintain or amend designation of existing Planning and Service Area boundaries, the Department will consider the following factors:

 

1)         the geographical distribution of individuals age sixty (60) and older;

 

2)         the distribution of older individuals who have low incomes (income levels at or below the poverty threshold established by the U.S. Bureau of the Census);

 

3)         the incidence of the need for supportive services, (any service other than nutrition programs and multi-purpose senior center) nutrition services, multi-purpose senior centers, and legal services determined through examination of U.S. Census data;

 

4)         the distribution of resources available to provide such services or centers;

 

5)         the boundaries of existing areas within the State which were drawn from the planning and administration of supportive services program;

 

6)         the location of units of general purpose government within the State; and,

 

7)         any other relevant factors.

 

d)         Upon receipt of a letter of intent to apply for designation as a Planning and Service Area from an eligible applicant, during the aforementioned month of June, or a determination by the Department that a need for amending the current Planning and Service Area boundaries may exist, after review of the factors in subsection (g)(3), the following procedures will be followed:

 

1)         If the Department determines that a need for amending the current Planning and Service Area boundaries may exist, and in the absence of a letter of intent, the Department will:

 

A)        proceed with collecting data to enable a full and complete review of information submitted relative to the criteria contained in the application described in subsection (g)(4)(C); and

 

B)        notify all appropriate private and local government agencies that may be affected of a public hearing to be held in accordance with subsection (g)(4)(H) by publishing a notice of the public hearing in a newspaper of general circulation in the Planning and Service Area and in the official newspaper of the State of Illinois.

 

2)         Upon receipt of a Letter of Intent from an eligible applicant, the Department, by registered mail, will forward on the 1^st working day in July to the address specified in the Letter of Intent, a copy of 45 CFR 1321 (March 2, 1983), a copy of Sections 230.40 and 230.110 of the Department's Administrative Rules and an application for designation of a Planning and Service Area.

 

A)        The application shall require information that addresses the criteria described in subsection (g)(3).

 

B)        The Department shall notify the Area Agency on Aging in the existing Planning and Service Area of the receipt of Letters of Intent.

 

3)         At a minimum the application will require responses to the following:

 

A)        a certified copy of the resolution, ordinance, or other action, authorizing the submission of the application.  No application will be considered as complete without such certification, no action will be taken thereon, and the applicant will be notified of the reason that the application will not be accepted.

 

B)        A complete description of the nature of the applicant, specifying the type of organization or agency, its major purpose and any significant subsidiary roles (i.e. those roles which evidence its capacity to perform function other than its major purpose) past experiences and expertise in the field of Aging services, and a description of the organizational unit responsible for the development of the application.

 

C)        A map of the Planning and Service Area and a discussion of the location of the proposed Area Agency on Aging and any problems or benefits attendant to the location.

 

D)        A discussion of the agency's or organization's knowledge of census and population data in the Planning and Service Area, including the distribution in the proposed area of persons age 60 and older, and age 60 and older with low income as defined in subsection (g)(3)(B).

 

E)        A discussion of the applicant's perception of existing problems in the current designated planning and service area.  The discussion must include a detailed analysis of factors that inhibit or prohibit the currently designated geographic boundaries from effectively and efficiently concentrating resources in order to develop greater capacity and foster the development and implementation of comprehensive and coordinated systems to serve older individuals.  In addition, the discussion must include proposed methods, strategies, and reasons why the proposed geographic boundaries will significantly minimize or eliminate the inhibiting or prohibiting factors.

 

F)         A discussion of the views of units of general purpose local government within the Planning and Service Area, including letters of support from those units, and a description of the process used to obtain those views.

 

G)        A listing of priority issues of older persons in the Planning and Service Area, including a description of the process used to obtain those views and the process used in prioritization.

 

H)        A narrative discussion of the capacity of the applicant to respond to the needs and issues identified in the Planning and Service Area, including the applicant's ability to provide adequate financial resources and its ability to develop service systems and resources.

 

I)         An inventory of existing aging programs in the Planning and Service Area, and the views of current providers, regarding the applicant's acceptability as the Planning and Service Area.

 

J)         The agency(ies) capable of being designated an Area Agency on Aging in the proposed Planning and Service Area.  See Section 230.110(a)(2)(A)(i-iv).

 

K)        A discussion of the ability and capability of the proposed area agency(ies) to perform an Area Agency's role as a planning, administering, and monitoring agency, as opposed to a direct service delivery agency, as specified in Section 230.110(a)(5)(A)(i-xi).

 

L)        A discussion of the ability of the proposed area agency(ies) to perform Community Care Program administrative support functions.  Refer to 89 Ill. Adm. Code 240.905.

 

M)       A discussion of the plan of the proposed area agency(ies) for developing, maintaining, and monitoring an effective Case Coordination/Case Management System, as specified in Section 240.950, in the Planning and Service Area.

 

4)         Within thirty (30) days of receipt of the above material, the completed application shall be filed within the Illinois Department on Aging.

 

5)         Upon receipt of the completed application, the Director shall appoint a review team, composed of Department staff, whose purpose shall be the review of the application for completeness and content.

 

6)         Within thirty (30) days following receipt of the application, the review team shall complete its review of the application and shall forward to the Director a section-by-section critique of the application including any requests for additional or clarifying information, if needed.

 

7)         Within fifteen (15) days of receipt of the review team's recommendations, the Director shall communicate to the applicant in writing:

 

A)        a section-by-section critique of the application which may include a request for additional or clarifying information; and

 

B)        a decision concerning future actions to be taken by the Department, which will be either a statement of the dates of a public hearing pursuant to subsection (g)(4)(H) or a statement that the application has been rejected as unresponsive, in which case the communication shall inform the applicant of his right to a fair hearing upon request pursuant to 89 Ill. Adm. Code 220.500 and Section 230.440 of this Part.

 

8)         If the decision by the Department is to hold a public hearing and proceed with designation, said public hearing shall be conducted by the Department in the geographic area for which an application has been filed within thirty (30) days of the written notice of decision.

 

A)        At least ten (10) days before the hearing, notice shall be published in the official State newspaper and in a newspaper of general circulation within the proposed Planning and Service Area.

 

i)          The notice in the newspaper shall state that the purpose of the hearing is to obtain the views of older persons, public officials, service providers, and other interested parties, on the proposed application.

 

ii)         Said notice shall also state that comments may be introduced, either orally or in writing, and that additional information concerning the Planning and Service Area designation may be obtained from the Department.

 

B)        The presiding officer at the public hearing shall be the Director or other person designated by the Director.

 

C)        The Department will produce verbatim transcription of all testimony, a copy of which shall be available for public inspection at the main office of the Department.

 

D)        The testimony received at the public hearing shall be summarized and provided to the Director who will consider it along with all other information in the possession of the Department in arriving at a decision relative to a preliminary designation of the organization or agency as the Area Agency on Aging.

 

9)         Within thirty (30) days of the public hearing, the Department, by certified mail, will notify applicant of its approval or denial of the application based upon the criteria set forth in subsections (g)(3) and (g)(4)(C).

 

10)         If the application is denied, the notice shall state the reasons for denial.  Said notice shall further state that, if the applicant wishes to appeal the denial, it must request, and obtain, a hearing, pursuant to 89 Ill. Adm. Code 220.500 et seq. and Section 230.440 of this Part.

 

11)         If, after a hearing by the Department, the ruling is adverse to the applicant, applicant may appeal this action to the Commissioner on Aging within thirty (30) days of receipt of the hearing decision, pursuant to 45 CFR 1321.47 (May 1, 1985).

 

12)         If, after review of the application and the conduct of a public hearing, the Department makes a preliminary decision to approve the application, the applicant shall be notified of the preliminary approval and Letters of Intent to apply as the Area Agency on Aging will be solicited.  Final approval of the application will be subject to ratification of an amendment to the Illinois Act on the Aging changing the Planning and Service Area boundaries (Ill. Rev. Stat., 1983, ch. 23, par. 6103.08).

 

13)         Approved applications shall be submitted as a State Plan amendment to the State Council on Aging and the Governor.  The Governor shall review the document and shall affix his signature thereto, if he approves same.

 

14)         The resulting State Plan amendment, approved and signed by the Governor, must be submitted to the Commissioner on Aging at least forty-five (45) days before the proposed effective date, as required by 45 CFR 1321.13 (May 1, 1985).  No amendment will be considered by the Commissioner on Aging unless it is signed by the Governor.

 

15)         The basis for the designation of each Planning and Service Area will be documented by the Department.

 

e)         For the purposes of this Section, Planning and Service Areas shall be as follows:

 

1)         Area 1, which is comprised of the counties of Jo Daviess, Stephenson, Winnebago, Boone, Carroll, Ogle, DeKalb, Whiteside and Lee;

 

2)         Area 2, which is comprised of the counties of McHenry, Lake, Kane, DuPage, Kendall, Will, Grundy and Kankakee;

 

3)         Area 3, which is comprised of the counties of Rock Island, Mercer, Henry, Bureau, LaSalle, Putnam, Henderson, Warren, Knox and McDonough;

 

4)         Area 4, which is comprised of the counties of Stark, Marshall, Peoria, Woodford, Fulton and Tazewell;

 

5)         Area 5, which is comprised of the counties of Livingston, Iroquois, McLean, Ford, DeWitt, Piatt, Champaign, Vermilion, Macon, Moultrie, Douglas, Edgar, Shelby, Coles, Clark and Cumberland;

 

6)         Area 6, which is comprised of the counties of Hancock, Schuyler, Adams, Brown, Pike and Calhoun;

 

7)         Area 7, which is comprised of the counties of Mason, Logan, Cass, Menard, Scott, Morgan, Sangamon, Christian, Greene, Macoupin, Montgomery and Jersey;

 

8)         Area 8, which is comprised of the counties of Madison, Bond, St. Clair, Clinton, Monroe, Washington and Randolph;

 

9)         Area 9, which is comprised of the counties of Fayette, Effingham, Marion, Clay and Jefferson;

 

10)         Area 10, which is comprised of the counties of Jasper, Crawford, Richland, Lawrence, Wayne, Edwards, Wabash, Hamilton and White;

 

11)         Area 11, which is comprised of the counties of Perry, Franklin, Jackson, Williamson, Saline, Gallatin, Union, Johnson, Pope, Hardin, Alexander, Pulaski and Massac;

 

12)         Area 12, which is comprised of the City of Chicago in Cook County; and

 

13)         Area 13, which is comprised of the county of Cook outside of the City of Chicago.

 

(Source:  Amended at 10 Ill. Reg. 5787, effective March 27, 1986)

SUBPART B: AREA AGENCIES ON AGING

 

Section 230.110  Designation and Function

 

a)         The Department shall designate an area agency on aging in each planning and service area designated by the Department pursuant to Subpart A, Section 230.40(g) of this Part, in which the Department decides to allocate funds, based upon the following:

 

1)         The Department shall act to designate an organization or agency as the area agency on aging only when changes in the existing Planning and Service Areas result in the creation of a new Planning and Service Area for which no area agency on aging has been designated, or when the Department withdraws designation from a currently designated area agency on aging (pursuant to standards and procedures specified in Section 230.140) resulting in a Planning and Service Area for which no area agency on aging exists.

 

2)         In order to be eligible for designation by the Department as an area agency on aging, an organization or agency:

 

A)        Shall be one of the following:

 

i)          an established office on aging which is operated within the Planning and Service Area; or

 

ii)         any office or agency of a unit of general purpose local government which office or agency is designated for the purpose of serving as an area agency on aging by the chief elected officials of such unit; or

 

iii)        any office or agency of a unit of general purpose local government, within the Planning and Service Area, which office or agency is designated for the purpose of serving as an area agency on aging by the chief elected officials of any combination of units of general purpose local government to act on behalf of such combination for such purpose; or

 

iv)        any other public or private nonprofit agency in the Planning and Service Area which can demonstrate the capability to develop and administer a comprehensive and coordinated system of services and serve as the advocate and focal point for older persons in the Planning and Service Area.  (45 CFR 1321.63)

 

B)        Shall provide a letter of intent to apply to be the area agency on aging for a planning and service area designated pursuant to Subsection 230.40(g) and to include documentation that the agency meets the requirements of Subsection 230.110(a)(2)(A).

 

3)         In designating an area agency on aging, the Department shall give the right of first refusal to a unit of general purpose local government if such unit can meet the requirements of subsection (a)(2) above and the boundaries of the area are reasonably contiguous.  In addition, the Department will give preference to an established office on aging unless the Department finds that no such office will have the capability to carry out the area plan.  (P.L. 98-459, Section 305 (b)(5)(B))

 

4)         If an organization proposing to serve as an area agency on aging is a multi- purpose agency with responsibilities that go beyond programs for the elderly, it shall delegate all its authority and responsibility as an area agency on aging to a single organizational unit within the organization.

 

5)        

A)        Within fifteen (15) days of receipt of a Letter of Intent, the Department, by registered mail, will forward to the address specified in the Letter of Intent, a copy of 45 CFR 1321 (October 1, 1981), a copy of Section 230.110, and an application for designation as an Area Agency on Aging. The application shall require information that addresses the applicant's ability and capability to perform the functions and responsibilities of an Area Agency on Aging.  At a minimum, the application will require responses to the following:

 

i)          A certified copy of the resolution, ordinance, or other action, authorizing the submission of the application.  No application will be considered as complete without such certification, and no action will be taken thereon.

 

ii)         A thorough description of the nature of the applicant, including the type of organization or agency, its major purpose and any significant subsidiary roles, past experience and expertise in the field of aging service, and a description of the organizational unit responsible for the development of the application.

 

iii)        A map of the Planning and Service Area and a discussion of location of the proposed Area Agency on Aging and any problems or benefits attendant to the location.

 

iv)        A discussion of the agency's or organization's knowledge of key census and population data in the Planning and Service Area.

 

v)         A discussion of the views of units of general purpose local government within the Planning and Service Area, including letters of support from those units, and a description of the process used to obtain those views.

 

vi)        A listing of priority issues of older persons in the Planning and Service Area, including a description of the process used to obtain those views and the process used in prioritization.

 

vii)       A narrative discussion of the capacity of the applicant to respond to the needs and issues identified in the Planning and Service Area, including the applicant's ability to provide adequate financial resources and its ability to develop service systems and resources.

 

viii)      An inventory of existing aging programs in the Planning and Service Area, and the views of current providers, regarding the applicant's acceptability as the Area Agency on Aging.

 

ix)        A discussion of the applicant's ability and capacity to perform an Area Agency's role as a planning, administering, and monitoring agency, as opposed to a direct service delivery agency.

 

x)         A discussion of the applicant's ability to perform Community Care Program Administrative Support Functions.

 

xi)        A discussion of the applicant's plan for developing, maintaining, and monitoring an effective Case Coordination/Case Management System in the Planning and Service Area.

 

B)        Upon receipt of the completed application, the Director shall appoint a review team, composed of Department staff, whose purpose shall be the review of the application for completeness and content.

 

C)        Within thirty (30) days following receipt of the application, the review team shall complete its review of the application and shall forward to the Director:

 

i)          A section-by-section critique of the application including any requests for additional or clarifying information, if needed.

 

ii)         A recommendation for performing an on-site assessment of the applicant pursuant to Sub-Section 230.110(a)(5)(E).

 

D)        Within fifteen (15) days of receipt of the review team's recommendations, the Director shall communicate to the applicant:

 

i)          A section-by-section critique of the application which may include a request for additional or clarifying information; and,

 

ii)         A decision concerning future actions to be taken by the Department, which will be either a statement of the proposed dates of an on-site assessment of the applicant, pursuant to Sub-Section 230.110(a)(5)(E), or a statement that the application has been rejected as unresponsive.

 

E)        In order to make a determination regarding designation in a way which will be efficient, appropriate, and equitable, the Department shall take whatever actions it deems necessary to verify the information contained in the application, which shall include a determination through an on-site assessment of the capacity of the applicant to carry out all the functions of an Area Agency on Aging, as specified in the application and in the Older Americans Act of 1965 (42 U.S.C.A. 5001).

 

F)         Based on the actions taken and information obtained in this Sub-Section, the Director shall make a decision regarding the intent to designate an Area Agency on Aging:

 

i)          A decision not to proceed with the intent to designate the applicant as the Area Agency on Aging shall be transmitted to the applicant by certified mail, return receipt requested.

 

ii)         A decision to proceed with the intent to designate the applicant as the Area Agency on Aging shall follow the procedures stated in Sub-Section 230.110(a)(6).

 

6)         Prior to designation of an area agency on aging:

 

A)        Pursuant to subsection (a)(1) above, the Director shall at least 210 days prior to the beginning of the next area agency on aging grant year issue a written notice of intent to designate an organization or agency as the area agency on aging within a particular Planning and Service Area. This notice shall be processed as follows:

 

i)          The notice shall be transmitted to the proposed area agency on aging.

 

ii)         The notice shall be transmitted to the currently designated area agency on aging, if applicable,

 

iii)        The notice shall be transmitted to the chief elected officials of units of general purpose local government in the Planning and Service Area.  The chief elected officials shall be requested to present their views to the Director in writing within thirty (30) days of being notified.  Receipt of such views shall be promptly confirmed by the Director in writing.  In the absence of a response from the chief elected officials in the Planning and Service Area, the Director shall proceed with the process of designation.

 

iv)        The notice shall be published in a newspaper of general circulation in the Planning and Service Area and in the official newspaper of the State of Illinois.

 

B)        The notice of intent to designate an organization or agency in a Planning and Service Area as the area agency on aging shall comply with all of the following:

 

i)          The notice shall identify the organization or agency to be designated as the area agency on aging in the Planning and Service Area.

 

ii)         The notice shall state the reason for the issuance of intent to designate.

 

iii)        The notice shall announce that a public hearing(s) shall be held in the Planning and Service Area so as to afford the public an opportunity to give testimony regarding the intent to designate.

 

iv)        The notice shall contain the time, the place, and a brief description of the conduct of the hearing(s) and the name, telephone number, and address of the person to be contacted regarding the offering of testimony.

 

v)         The notice shall contain any other information which the Director deems necessary.

 

C)        Public hearing(s) shall be held relative to designation of the organization or agency as the area agency on aging within the Planning and Service Area.

 

i)          Public hearing(s) shall be conducted within forty-five (45) days of the transmittal of the notice of intent to designate the area agency on aging in as many locations as needed to assure convenient public access within the Planning and Service Area but shall not be conducted sooner than fifteen (15) days after publication of the notice of intent to designate.

 

ii)         The presiding officer at the public hearing(s) shall be the Director or other person designated by the Director.

 

iii)        The Department shall produce verbatim transcription of all testimony, a copy of which shall be available for public inspection at the main office of the Department.

 

iv)        The testimony received at the public hearing(s) shall be summarized and provided to the Director who will consider it along with all other information in the possession of the Department in arriving at a decision relative to a preliminary designation of the organization or agency as the area agency on aging.

 

D)        At least 150 days prior to the beginning of the next grant year, a preliminary decision regarding designation shall be provided to the organization or agency seeking designation as the area agency on aging in the Planning and Service Area.

 

i)          The Director shall notify the organization or agency in writing of the preliminary decision to designate it as the area agency on aging in the Planning and Service Area.

 

ii)         The organization or agency so notified shall thereupon submit the assurances required by the Department.  Such assurances shall be in writing and consist of a reaffirmation of the intent of the organization or agency to perform the functions and carry out the responsibilities of an area agency on aging set forth in Subsection 230.110(a)(5) and shall be submitted by the organization or agency within fifteen (15) days of receipt of the preliminary decision to designate.

 

7)         Upon receipt and acceptance of the assurances required in subsection 230.110(a)(6)(E)(ii) above and at least 120 days prior to the beginning of the next area agency on aging grant year, the Director shall:

 

A)        Notify the organization or agency of its designation as the area agency on aging in the Planning and Service Area for the coming grant year.

 

B)        Notify the chief elected officials of the units of general purpose local government in the Planning and Service Area of the designation of the organization or agency as the area agency on aging.

 

C)        Publish a notice of designation in newspapers of general circulation in the planning and service area and in the official newspaper of the State of Illinois.

 

b)         Each area agency on aging shall have the following functions within the particular planning and service area:

 

1)         Develop and administer an area plan for a comprehensive and coordinated system of services; and

 

2)         Serve as the advocate and focal point for older persons.

 

(Source:  Amended at 9 Ill. Reg. 5297, effective April 8, 1985)

 

Section 230.120  Administration

 

For the purposes of meeting the requirements of this subpart each designated area agency on aging shall meet the following administrative requirements:

 

a)         Procedures

 

1)         Each area agency on aging shall develop and adhere to written procedures that meet procedural requirements specified by the Department for the purpose of carrying out its designated function.

 

2)         If an area agency on aging is not an areawide A-95 clearinghouse, the area agency on aging shall seek to enter into a memorandum of agreement with the areawide A-95 clearinghouse(s) for the particular designated planning and service area for the purpose of proposed coordination of the planning activities of both entities.

 

b)         Director

            Each area agency on aging shall have a full-time director who meets the qualifications specified by the controlling body of the area agency on aging.

 

c)         Other Staff

            Each area agency on aging shall have an adequate number of other qualified staff in order to meet its designated functions as specified in this Part.

 

d)         Staffing Plan

            Each area agency on aging shall have on file for review a staffing plan that identifies the number and types of staff assigned to carry out the responsibilities and functions of the area agency on aging as specified in this Part.

 

e)         Preference in Hiring

            Subject to the requirements of Intergovernmental Personnel Act Programs (5 CFR 900), the area agency on aging shall give preference in hiring to persons age 60 and over.

 

f)         Affirmative Action

            Each area agency on aging shall follow an affirmative action program which complies with 5 CFR 900.607.

 

Section 230.130  Area Plans

 

Each area agency on aging shall develop an area plan in accordance with 45 CFR 1321, Subpart F.

 

a)         Area Plan Requirements

            Each area agency on aging shall develop an area plan for a three-year period specified by the Department.

 

1)         The area plan shall be submitted in accordance with the uniform area plan format and other instructions issued by the Department.

 

2)         The area plan shall provide for the development of a comprehensive and coordinated service delivery system for social and nutrition services in which the area agency on aging enters into cooperative arrangements with other service planners and providers within the planning and service area for the purpose of:

 

A)        Facilitating access to and utilization of all existing services; and

 

B)        Effectively and efficiently developing social and nutrition services to meet the needs of older persons.

 

b)         Service Delivery Requirements

            Each area plan shall provide that the service delivery requirements are met within the planning and service area, as specified in this Part for:

 

1)         Giving preference to older persons with greatest economic or social needs;

 

2)         Restricting direct provision of services;

 

3)         All service providers concerning licensure, safety, (Refer to Section 230.230), training, outreach, coordination, preference to those with greatest economic or social need, contributions, maintenance of non-Federal support for services, and advisory role for older persons (Refer to Section 230.240);

 

4)         Multipurpose senior centers activities;

 

5)         Nutrition services;

 

6)         Legal services;

 

7)         Information and referral services; and

 

8)         Transportation services.

 

c)         Fiscal Requirements

            Each area plan shall provide that 50 percent of the social service allotment for the planning and service area is expended for priority services as required by 45 CFR 1321.187.

 

d)         Public Hearing

 

1)         The area agency on aging shall hold at least one public hearing on the area plan and all amendments to the area plan.

 

2)         The area agency on aging shall submit the area plan and all amendments to the area plan for review and comment by the area agency advisory council and to the State A-95 clearing-house and the areawide A-95 clearinghouse(s) for the particular designated planning and service area.

 

e)         Department Approval

            In accordance with procedures established by the Department, each area agency on aging shall submit the area plan and all amendments to the area plan to the Department for approval.

 

f)         Subgrants and Contracts for Services

            The area agency on aging shall provide all services under this Part by the use of subgrants or contracts unless a specific waiver of this requirement is received in writing from the Department prior to the provision of services.

 

Section 230.140  Withdrawal of Area Agency on Aging Designation

 

The Department may under certain conditions withdraw designation as an area agency on aging.

 

a)         The Department shall act to withdraw designation of an organization or agency as the area agency on aging within a particular Planning and Service Area when it determines that the currently designated area agency on aging will not be able to comply with the assurances originally given by that area agency on aging for the coming area agency on aging grant year. Circumstances which shall lead to initiation of an action to withdraw designation as an area agency on aging may include but shall not be limited to the following:

 

1)         There is on-going failure of the area agency on aging to meet any of the requirements of a substantive (i.e., essential to the effective administration of the program) Federal or State statute, rule or regulation.

 

2)         Disapproval by the Department of the area plan or any amendments to the area plan;

 

3)         A finding by the Department that the area agency on aging's administration or provisions of its approved area plan fails to comply with the requirements of 45 CFR 1321 (1984 and does not include any later amendments or editions.);

 

4)         Receipt by the Department of written statements by agencies, organizations, or units of general purpose local government in the particular Planning and Service Area including the area agency on aging itself requesting withdrawal of designation as the area agency on aging and providing justification therefore.  The Department reserves the right to reject any requests received pursuant to this paragraph which are accompanied by justifications deemed inadequate or spurious;

 

b)         In order to make a determination regarding withdrawal of designation as an area agency on aging which will be efficient, appropriate, and equitable, the Department shall take action which shall include, but not be limited to, consideration of the following:

 

1)         the impact of withdrawal of designation on the provision of services within the affected Planning and Service Area;

 

2)         the comments of the Advisory Council of the currently designated area agency on aging;

 

3)         all information and findings obtained pursuant to subsection (a) above;

 

4)         all other pertinent information in the possession of the Department.

 

c)         Prior to making a preliminary decision regarding withdrawal of designation, the Department shall conduct an informal conference with the area agency on aging to review the issues and facts which have served as the basis for consideration of withdrawal of area agency on aging designation.  The results of the conference shall be in writing and transmitted to the area agency on aging.  The notification of results of the conference shall set forth the facts ascertained and shall outline the subsequent actions to be taken by the Department.

 

d)         Pursuant to subsections (a), (b), and (c) above:

 

1)         The Director shall, at least 240 days prior to the effective date of withdrawal of designation, issue a written notice of intent to withdraw designation from the area agency on aging.  The notice shall:

 

A)        be transmitted to the currently-designated area agency on aging in the affected Planning and Service Area;

 

B)        be transmitted to the chief elected official of units of general purpose local government in the Planning and Service Area.  The Chief elected officials shall be requested to present their views to the Director in writing within thirty (30) days of being notified.  In the absence of a response from the chief elected officials in the Planning and Service Area, the Director  shall proceed with the process of withdrawal of designation;

 

C)        be published in newspapers of general circulation in the affected Planning and Service Area and in the official newspaper of the State of Illinois;

 

D)        state the reason for the issuance of intent to withdraw designation;

 

E)        announce that a public hearing will be held in the affected Planning and Service Area so as to afford the public an opportunity to give testimony regarding the intent to withdraw designation;

 

F)         contain the time, place, and a brief description of the conduct of the hearing, as well as the name, telephone number, and address of the person to be contacted regarding the offering of testimony;

 

G)        contain any other information which the Director  deems necessary.

 

2)         The Department shall hold public hearing(s) within forty-five (45) days of the notice of intent to withdraw designation from the area agency on aging in as many locations as are needed to assure convenient access within the affected Planning and Service Area but such hearing(s) shall not be conducted sooner than fifteen (15) days after publication of the notice of intent to withdraw designation.

 

A)        The presiding officer at the public hearing(s) shall be the Director or other person designated by the Director.

 

B)        The Department will produce verbatim transcription of all testimony, a copy of which shall be available for public inspection at the main office of the Department.

 

3)         The Director shall within fifteen (15) days of the date of the last public hearing held issue a preliminary decision regarding withdrawal of designation.  This preliminary decision shall state the reasons for the decision and shall be communicated in writing to:

 

A)        the currently-designated area agency on aging;

 

B)        the chief elected officials of units of general purpose local government in the affected Planning and Service Area.

 

4)         In the event that the decision of the Director is to withdraw designation of the area agency on aging, the Director shall inform the area agency on aging of the right to request a hearing before the Department, conducted pursuant to Section 230.440 et. seq., in regards to the decision.

 

A)        The request for a hearing shall be in writing and shall be received by the Department within thirty (30) days of the area agency on aging's receipt of the Director's preliminary decision to withdraw designation.

 

B)        If the currently-designated area agency on aging fails to request a hearing, the preliminary decision shall become final.

 

5)         No later than 100 days prior to the effective date of withdrawal of designation, the Director shall publish a notice of a final decision regarding withdrawal of designation as an area agency on aging.  The final decision to withdraw designation shall be based upon:

 

A)        consideration of all information obtained pursuant to subsections (a), (b) and (c) above;

 

B)        all testimony received at the public hearings held pursuant to subsection (d)(2) above; and

 

C)        all testimony received at the hearing held pursuant to subsection (d)(4) above, if any.

 

e)         In order to guarantee the uninterrupted provision of services whenever circumstances in a designated Planning and Service Area render the designated area agency on aging immediately incapable of developing an area plan and to carry out, directly or through contractual arrangements a program in accordance with the area plan within the entire Planning and Service Area, the Department shall take all appropriate action, including but not limited to acting immediately to withdraw designation of an organization or agency as the area agency on aging on an interim emergency basis.  Such withdrawal of designation shall remain in effect as long as necessary, but in no case longer than 180 days.

 

f)         Within the 180 day period, specified in subsection (e) above, the Department shall make a final decision regarding withdrawal of designation as area agency on aging within the affected Planning and Service Area.  In so doing the Department will follow procedures specified in subsection (d) above, except that it will not be required to act within the time limits specified.

 

(Source:  Amended at 9 Ill. Reg. 5297, effective April 8, 1985)

 

Section 230.145  Continuity of Services

 

For a period of up to 180 days after the final decision to withdraw designation as an area agency on aging pursuant to Section 230.140, unless extended up to an additional 180 days by the Commissioner of the Administration on Aging, if necessary to ensure continuity of services in the Planning and Service Area, the Department may:

 

a)         Perform the responsibilities of an area agency on aging for the Planning and Service Area; or

 

b)         Assign the responsibilities of the area agency on aging to another agency within the Planning and Service Area.

 

(Source:  Added at 9 Ill. Reg. 5297, effective April 8, 1985)

 

Section 230.150  Area Agency on Aging Responsibilities

 

Each area agency on aging shall have the following responsibilities:

 

a)         Advocacy Responsibilities

            In performing its stated function of advocate for older persons, an area agency on aging shall throughout the planning and service area:

 

1)         Monitor, evaluate, and comment on all policies, programs, hearings, levies, and community actions which affect older persons;

 

2)         Conduct public hearings on the needs of older persons;

 

3)         Represent the interests of older persons to public officials, public and private agencies or organizations;

 

4)         Carry out activities in support of the State administered long-term care ombudsman program; and

 

5)         Coordinate planning with other agencies and organizations to promote new or expanded benefits and opportunities for older persons.

 

b)         General Planning and Management Responsibilities

            The area agency shall:

 

1)         Develop and administer an area plan for a comprehensive and coordinated service delivery system in the planning and service area, in compliance with all applicable laws and regulations, including all requirements of this Section;

 

2)         Assess the kinds and levels of services needed by older persons in the planning and service area, and the effectiveness of the use of resources in meeting these needs;

 

3)         Award subgrants or enter into contracts to provide all services under the area plan;

 

4)         Provide technical assistance, monitor, and periodically evaluate the performance of all service providers under the area plan;

 

5)         Coordinate the administration of the area plan with Federal, State, and Local resources in order to develop a comprehensive and coordinated service system;

 

6)         Establish an advisory council;

 

7)         Give preference in the delivery of services under the area plan to older persons with the greatest economic or social need.

 

8)         Assure that older persons in the planning and service area have reasonably convenient access to information and referral services;

 

9)         Provide adequate and effective opportunities for older persons to express their views to the area agency on policy development and program implementation under the area plan;

 

10)         Have outreach efforts to identify older persons and inform them of the availability of services under the plan;

 

11)         If possible, have arrangements with children's day care organizations so that older persons can volunteer to help provide the day care;

 

12)         If possible, have arrangements with local educational agencies, institutions of higher education, and nonprofit private organizations, to use the services provided older individuals under the community schools program of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 236 et seq.);

 

13)         Develop and publish the methods that the agency used to establish priorities for services, particularly those associated with access to other services, in-home services, and legal services;

 

14)         Establish procedures governing outreach, training and coordination activities of service providers;

 

15)         Attempt to involve the private bar in legal services activities, including groups within the private bar that furnish legal services on a pro bono and reduced fee basis; and

 

16)         Designate, if feasible, community focal points.

 

c)         Area Agency on Aging Advisory Council

            Each area agency on aging shall establish an advisory council for the purpose of advising the area agency on aging in carrying out those functions specified in this Part.

 

1)         The area agency on aging advisory council shall be composed of:

 

A)        More than 50 percent older persons and include:

 

i)          Older persons with greatest economic or social need; and

 

ii)         Participants in programs administered under this Part;

 

B)        Representatives of older persons;

 

C)        Local elected officials; and

 

D)        The general public.

 

2)         The area agency on aging shall develop and make public by-laws which specify:

 

A)        The role and function of the advisory council;

 

B)        The number of members of the advisory council;

 

C)        Procedures for selection of the members of the advisory council;

 

D)        The term of membership of the advisory council; and

 

E)        The frequency of meetings of the advisory council.

 

d)         Coordination With Other Programs

            To carry out its responsibility to develop a comprehensive and coordinated service delivery system, each area agency on aging shall establish effective and efficient procedures to coordinate with:

 

1)         Health systems agencies designated under Title XV of the Public Health Services Act; and

 

2)         Agencies administering the following programs:

 

A)        The Comprehensive Employment and Training Act of 1973 (29 U.S.C. 801 et seq.);

 

B)        Title II of the Domestic Volunteer Act of 1973 (43 U.S.C. 5001 et seq.);

 

C)        Titles II, XVI, XVII of the Social Security Act (42 U.S.C., Chapter 7);

 

D)        Sections 231 and 232 of the National Housing Act (12 U.S.C.);

 

E)        The United States Housing Act of 1937 (42 U.S.C. 1401 et seq.);

 

F)         Section 202 of the Housing Act of 1959 (12 U.S.C. 1501 et seq.);

 

G)        Title I of the Housing and Community Development Act of 1974 (42 U.S.C. 5301);

 

H)        Section 222(a)(8) of the Economic Opportunity Act of 1964 (42 U.S.C. 2701 et seq.);

 

I)         The community schools program under the Elementary and Secondary Education Act of 1965 (20 U.S.C. 236 et seq.); and,

 

J)         Sections 3, 5, 9, and 16 of the Urban Mass Transportation Act of 1964 (49 U.S.C. 1601).

SUBPART C: SERVICE REQUIREMENTS

 

Section 230.210  Direct Provision of Services by the Department and Area Agencies on Aging

 

The Department or an area agency on aging shall use subgrants or contracts with service providers to provide all services under this Part unless the Department decides that direct provision of a service by the Department or area agency on aging using its own employees is necessary to assure an adequate supply of the services.  Services may be provided directly by the Department only under provisions specified in Section 230.140 of this Part or in the event that the State is designated a single planning and service area in accordance with 45 CFR 1321.59.

 

Section 230.220  Planning, Coordination and Provision of Services Funded Under Other Programs

 

a)         An area agency on aging may plan, coordinate, and provide services funded under other programs only if it continues to meet all its area agency responsibilities.  Prior to providing such services the area agency must seek and receive from the Department an express finding that the area agency can effectively carry out the functions and responsibilities under Title III of the Older Americans Act without establishing a single organizational unit for Title III funded programs.

 

b)         If any such program is not included in the current area plan, said plan must be amended pursuant to the provisions of 45 CFR Part 1321.

 

Section 230.230  Licensure and Safety Requirements

 

All services provided under this subpart must meet any existing State and local licensure and safety requirements for the provision of those services.

 

Section 230.240  Provider Requirements

 

All service providers shall comply with procedures established by the area agency on aging for:

 

a)         Outreach activities to ensure participation of eligible older persons;

 

b)         Training and use of elderly and other volunteers and paid personnel;

 

c)         Coordination with other service providers in the planning and service area;

 

d)         All service providers shall follow priorities set by the area agency on aging for serving older persons with greatest economic or social need. Service providers may not use a means test.

 

e)         Each service provider shall:

 

1)         Provide each older person with a free and voluntary opportunity to contribute to the cost of the service;

 

2)         Protect the privacy of each older person with respect to his or her contribution;

 

3)         Establish appropriate procedures to safeguard and account for all contributions; and

 

4)         Use all contributions to expand the services of the provider under this Part.  Nutrition services providers must use all contributions to increase the number of meals served.

 

f)         A service provider that receives funds under this subpart shall not deny any older person a service because the older person will not or cannot contribute to the cost of the service.

 

g)         Contributions made by older persons shall be considered program income.

 

h)         Each service provider shall:

 

1)         Assure that funds under Title III of the Older Americans Act of 1965 are not used to replace funds from non-Federal sources; and

 

2)         Agree to continue or to initiate efforts to obtain support from private sources and other public organizations for services funded under this subpart.

 

i)          Each service provider under the area plan shall have procedures for obtaining the views of participants about the services they receive.

 

Section 230.250  Services

 

The following requirements shall apply to services provided under this subpart.

 

a)         Multipurpose Senior Centers

 

1)         An Area Agency on Aging may award social service funds under this Part to a public or private nonprofit agency for the following purposes:

 

A)        Acquiring, altering, leasing, or renovating a facility, including a mobile facility, for use as a multipurpose senior center;

 

B)        Constructing a facility, including a mobile facility, for use as a multipurpose senior center;

 

C)        The costs of professional and technical personnel required to operate a center.

 

2)         In making awards for the purposes specified in this Section, the Area Agency on Aging shall give preference to facilities located in communities with the greatest incidence of older persons with the greatest economic or social need.

 

3)         The following health, safety and construction requirements shall apply:

 

A)        A recipient of any award for multipurpose senior center activities shall comply with all applicable State and local health, fire, safety, building, zoning and sanitation laws, ordinances or codes.

 

B)        The plans and specifications for an award for acquiring, altering, renovating or constructing a multipurpose senior center facility must comply with regulations relating to minimum standards of construction, particularly with the requirements of the Architectural Barriers Act of 1968 (42 U.S.C. 4151-4157);

 

C)        The Department shall assure the technical adequacy of any proposed alteration or renovation of a multipurpose senior center.  The Department assures technical adequacy by requiring that any alteration or renovation of a multipurpose senior center that affects the load bearing members of the facility is structurally sound and complies with all applicable local or State ordinances, laws, or building codes.

 

4)         A recipient of an award for altering, renovating or constructing a facility to be used as a multipurpose senior center must comply with the requirements of the Davis-Bacon Act (40 U.S.C. 276 (a) et seq.) and other mandatory Federal labor standards.

 

5)         The following special conditions for acquiring by purchase, or constructing a facility shall apply:

 

A)        An Area Agency on Aging shall obtain the approval of the Department before making an award for constructing a facility.

 

B)        The Department may approve the construction of a facility after considering the views of the Area Agency on Aging, relative to subsections 230.250(a)(2), (3) and (4), if it is found that there is no other suitable facility available to be a focal point for service delivery.

 

C)        The Area Agency on Aging may make an award for purchasing or constructing a facility only if there are no suitable facilities for leasing.

 

6)         A facility altered, acquired, renovated, or constructed using funds under this Part, to be used as a multipurpose senior center may not be used and may not be intended to be used for sectarian instruction or as a place for religious worship.

 

7)         The following funding and use requirements shall apply:

 

A)        Sufficient funds must be available to meet the non-Federal share of the award;

 

B)        Sufficient funds must be available to effectively use the facility as a multipurpose senior center;

 

C)        In a facility that is shared with other age groups, funds received under this rule may support only:

 

i)          That part of the facility used by older persons; or

 

ii)         A proportionate share of the costs based on the extent of use of the facility by older persons; and

 

D)        A multipurpose senior center program must be operated in the facility.

 

b)         Nutrition Services

 

1)         The Area Agency on Aging may award nutrition services funds received, under Title III of the Older Americans Act (42 U.S.C. 3001 et seq.), to provide meals and other nutrition services, including outreach, and nutrition education, to older persons. In making these awards the Area Agency on Aging shall assure that congregate meals are provided and home-delivered meals are provided based on an assessment of need by the Area Agency on Aging and nutrition service providers.

 

A)        The following eligibility requirements shall be applicable to persons receiving nutrition services:

 

i)          Congregate nutrition services:  A person age 60 or older, and the spouse of the person regardless of age, are eligible to participate in congregate nutrition services.

 

ii)         Home-delivered nutrition services:  A person age 60 or over who is homebound by reason of illness, incapacitating disability or is otherwise isolated is eligible to receive a home-delivered meal.  The spouse of the older person, regardless of age or condition, may receive a home-delivered meal if, according to criteria determined by the Area Agency on Aging, receipt of the meal is in the best interest of the homebound older person.

 

B)        The Area Agency on Aging must assess the level of need for congregate and home-delivered meals within the planning and service area.

 

2)         The Area Agency on Aging may make awards for congregate and home-delivered nutrition services to a provider that furnishes either or both type(s) of service(s).

 

A)        The Area Agency on Aging shall award funds to a nutrition services provider that:

 

i)          Was a nutrition project receiving funds under the former Title VII of the Older Americans Act on September 30, 1978.  For purposes of this requirement, "nutrition project" means the recipient of a subgrant or contract to provide nutrition services, other than the Area Agency on Aging, which met the requirements for a project specified in the former Title VII of the Older Americans Act and implementing regulations;

 

ii)         Meets the requirements of this Section; and

 

iii)        Has carried out its nutrition service activities with demonstrated effectiveness.

 

B)        Except as provided in 45 CFR 74, Subpart M, the Area Agency on Aging shall not discontinue funding to a nutrition project specified in subsection (b)(2)(A)(i) of this Section unless the Department:

 

i)          Has given the project an opportunity for a hearing, in accordance with Section 230.40 of this Part; and

 

ii)         Has determined that the project does not meet the requirements of this Section; or has not carried out nutrition services activities with demonstrated effectiveness.  The Department shall not set criteria for demonstrated effectiveness that are different from the requirements imposed on projects during the period for which their performance is being measured.

 

C)        Consistent with the requirements of subsection (b)(2)(A) of this Section and, to the extent feasible, the Area Agency on Aging must give preference in making awards for home-delivered meals to public, private nonprofit, and voluntary organizations which:

 

i)          Have demonstrated an ability to provide home-delivered meals efficiently and reasonably; and

 

ii)         Have furnished assurances to maintain efforts to solicit voluntary support and not to use funds received under this Part to supplant funds from non-Federal sources.

 

3)         Each congregate provider shall:

 

A)        Provide hot or other appropriate meals in a congregate setting at least once a day, five or more days a week;

 

B)        Locate congregate nutrition services as close as possible and, where feasible and appropriate, within walking distance to the majority of eligible older persons; and

 

C)        Assess the need for home-delivered meals among participants at its congregate sites.

 

4)         Each home-delivered meals provider shall:

 

A)        Assess the need for home-delivered meals among the participants for whom it has responsibility;

 

B)        Provide for home-delivered meals at least once a day, five or more days a week.  Meals may be hot, cold, frozen, dried, canned or supplemental foods with a satisfactory storage life;

 

C)        With the consent of the older person, or his or her representative, bring to the attention of appropriate officials for follow-up, conditions or circumstances which place the older person or the household in imminent danger; and

 

D)        Where feasible and appropriate, make arrangements for the availability of meals to older persons in weather related emergencies.

 

5)         The following food requirements shall apply for all nutrition service providers:

 

A)        In purchasing food, and preparing and delivering meals, the nutrition services providers must follow appropriate procedures to preserve nutritional value and food safety.

 

B)        The nutrition services providers must comply with all State and local health laws and ordinances concerning preparation, handling and serving food.

 

C)        The nutrition services provider must provide special menus, where feasible and appropriate, to meet the particular dietary needs arising from the health requirements, religious requirements, or ethnic backgrounds of eligible individuals.

 

D)        The nutrition services provider must have available for use upon request appropriate food containers and utensils for blind and handicapped participants.

 

E)        Each meal served by the nutrition services provider must contain at least one-third of the current Recommended Dietary Allowances as established by the Food and Nutrition Board of the National Academy of Sciences – National Research Council.

 

F)         A nutrition services provider shall spend U.S.D.A. food assistance cash only for buying United States Agriculture commodities and other food.

 

G)        The nutrition services providers shall assist participants in taking advantage of benefits available to them under the food stamp program.  The nutrition services provider must coordinate its activities with agencies responsible for administering the food stamp program to facilitate participation of eligible older persons in the program.

 

c)         Legal Services

 

1)         The Area Agency on Aging shall award social services funds under this Part for legal services to older persons with the greatest economic or social needs.  The purpose of awards under this subsection is to increase the availability of legal services with a priority on older persons with the greatest economic or social need in order to assist them to secure their rights, benefits and entitlements, and to assist them in achieving the objectives of the Older Americans Act.  Legal services provided with funds under this Part must be in addition to any legal services already being provided to older persons in the planning and service area.

 

            "Legal services" means legal advice and representation by an attorney (including, to the extent feasible, counseling or other appropriate assistance by a paralegal or law student under the supervision of an attorney), and includes counseling or representation by a non-lawyer where permitted by law, to older persons with economic or social needs.

 

2)         A legal service provider shall be either:

 

A)        An organization that receives funds under the Legal Services Corporation Act (42 U.S.C. 2969); or

 

B)        An organization that has a legal services program or the capacity to develop one.

 

3)         The Area Agency on Aging shall award funds to the legal service provider(s) that most fully meet(s) the following standards.  The legal services provider(s):

 

A)        Has staff with expertise in specific areas of law affecting older persons in economic or social need;

 

B)        Demonstrates the capacity to provide effective administrative and judicial representation in the areas of law affecting older persons with social or economic need;

 

C)        Demonstrates the capacity to provide support to other advocacy efforts;

 

D)        Demonstrates the capacity to effectively deliver legal services to institutionalized, isolated, and homebound individuals;

 

E)        Has offices and/or outreach sites which are convenient and accessible to older persons in the community;

 

F)         Demonstrates the capacity to provide legal services in a cost effective manner; and

 

G)        Demonstrates the capacity to obtain other resources to provide legal services to older persons.

 

4)         Each legal services provider shall:

 

A)        Make efforts to involve the private bar in legal services provided under this Part, including groups within the private bar that furnish legal services to older persons on a pro bono and reduced fee basis;

 

B)        Ensure that no attorney of the provider engages in any outside practice of law if the director of the provider has determined that the practice is inconsistent with the attorney's full time responsibilities;

 

C)        Ensure that while employed under this Part, no employee and no staff attorney of the provider at any time:

 

i)          Uses official authority or influence for the purpose of interfering with or affecting the results of an election or nomination for office, whether partisan or nonpartisan;

 

ii)         Directly or indirectly coerces, attempts to coerce, command or advise an employee of any provider to pay, lend, or contribute anything of value to a political party, or committee, organization, agency or person for political purposes;

 

iii)        Is a candidate for partisan elective public office; or

 

iv)        Engages in any voter registration activity.

 

D)        In areas where a significant number of clients do not speak English as their principal language, adopt employment policies that ensure that legal assistance will be provided in the language spoken by those clients;

 

E)        Adopt a procedure for affording the public appropriate access to the Older Americans Act, regulations and guidelines of 45 CFR Part 1321, the provider's written policies, procedures, and guidelines, the names and addresses of the members of the governing body, and other materials that the provider determines should be disclosed.  The procedure adopted must be approved by the Area Agency on Aging;

 

F)         Ensure that legal services are not provided in fee generating cases, as defined in 45 CFR 1609.2, unless adequate representation is unavailable from private attorneys;

 

G)        Ensure that no employee and no staff attorney of the provider shall directly or indirectly engage in activities intended to influence the passage or defeat of any legislation by the Congress of United States or by any State or local legislative body or State proposals by initiative petition except where:

 

i)          Representation by a provider for a client is necessary with respect to such client's rights and responsibilities (except that no employee shall solicit a client in violation of professional responsibilities for the purpose of making such representation possible); or

 

ii)         A governmental agency, legislative body, committee or member thereof requests the provider to testify, draft or review measures or to make representations to such agency, body, committee or member, or is considering a measure directly affecting the activities of a provider under this Part; and

 

H)        Ensure that, while providing legal services, no employee and no staff attorney of the provider engages in demonstrations, picketing, boycotts, or rioting or civil disturbance or any illegal activities as defined at 45 CFR 1612.1, 1612.2 and 1612.3.

 

5)         Each legal services provider that is not a Legal Services Corporation grantee shall agree to coordinate its services with Legal Services Corporation grantees in order to concentrate legal services funded under the Older Americans Act on older persons with the greatest economic or social need who are not eligible for services under the Legal Services Corporation Act.  In carrying out this requirement, legal services providers shall not use a means test or require older persons to apply first for services through a Legal Services Corporation grantee.

 

6)         A legal services provider under this Part may with the approval of the Area Agency on Aging set priorities for the categories of cases for which it will provide legal representation in order to concentrate on older persons with the greatest economic or social need.  In setting case priorities, a legal services provider may consider the availability of staff resources in determining the extent of legal advice and representation to provide to individual older persons.

 

7)         A legal services provider shall not require an older person to disclose information about income or resources as a condition for providing legal services under this Part.  A legal services provider may ask about the person's financial circumstances as a part of the process of providing legal advice, counseling  and representation, or for the purpose of identifying additional resources and benefits for which an older person may be eligible.

 

d)         Information and Referral Services

 

1)         The area plan shall provide for information and referral services sufficient to ensure that all older persons within the planning and service area have reasonably convenient access to the service.

 

A)        In areas in which a significant number of older persons do not speak English as their principal language, the service provider shall provide information and referral services in the language spoken by the older person.

 

B)        "Information and referral service" means a system to link people in need of service to appropriate resources.

 

2)         A provider of information and referral services shall:

 

A)        Maintain current information with respect to the opportunities and services available to older persons;

 

B)        Develop current lists of older persons in need of services and opportunities; and

 

C)        Employ a specially trained staff to inform older persons of the opportunities and services which are available and to assist older persons to take advantage of the opportunities and services.

 

3)         An information and referral services provider may disclose information by name about an older person only with the informed consent of the older person or his or her authorized representative.

 

e)         Transportation Services

            The Area Agency on Aging may enter into transportation agreements with agencies which administer programs under the Rehabilitation Act of 1973 (29 U.S.C. 701 et seq.) and Title XIX of the Social Security Act to meet the common need for transportation of service participants under the separate programs.  Transportation programs are the only activities funded under Title III of the Older Americans Act where the Area Agency on Aging may delegate to another agency the authority to award or administer those funds.

 

f)         Home Health Services

 

1)         Home health care services authorized under an approved area plan shall be provided by:

 

A)        A Medicare-certified Home Health agency.

 

B)        A self-employed registered nurse who provides services within the scope of his or her practice as defined by the Illinois Nursing Act of 1987 (Ill. Rev. Stat., 1989, ch. 111, par. 3501 et seq.).

 

C)        A physical therapist certified by the Council of Medical Education of the American Medical Association and registered by the State of Illinois.

 

D)        A speech therapist certified by the American Speech and Hearing Association.

 

E)        An occupational therapist registered with the American Occupational Therapy Association.

 

2)         Home health services that may be provided are:

 

A)        Skilled nursing

 

B)        Home health aids

 

C)        Speech therapy

 

D)        Physical therapy

 

E)        Occupational therapy

 

3)         Home health agencies may provide covered services for which they are certified to provide by Medicare.

 

4)         Area agencies providing services shall develop procedures that will insure that double payments will not be made from the same service, that Title III funds will be used only to increase services, and that rates paid for such services do not exceed the established Medicare rate for the vendor providing the service, nor shall payment be made to supplement payments made through Medicare or Medicaid when such supplement is in excess of the established Medicare rate.

 

5)         Payment to self-employed registered nurses providing in-home nursing services is made at the community rate for such services as determined for each case at the time prior approval is given.

 

6)         Payment to independent therapists and community health agencies shall be at the provider's usual and customary charge, not to exceed the maximum established by the Department at $10 per half-hour clinical visit.

 

g)         Homemaker Services

            Homemaker services authorized under an approved area plan shall meet the definitional requirements specified in 89 Ill. Adm. Code 240.410.

 

h)         Chore and Housekeeping Services

            Chore and housekeeping services authorized under an approved area plan shall meet the definitional requirements specified in 89 Ill. Adm. Code 240.420.

 

i)          Case Management Services

            The Department on Aging allows funds to be expended for service entitled "Case Management".  Activities directly associated with this service shall be carried out in accordance with applicable provisions of 89 Ill. Adm. Code 220.600 et seq. and 89 Ill. Adm. Code 230 Subpart G once a procurement has been conducted pursuant to 89 Ill. Adm. Code 220.610 et seq.

 

j)          Other Services

            Other service components of a comprehensive and coordinated service delivery system that may be funded by an Area Agency on Aging include:

 

1)         Services which facilitate access, such as outreach, escort, individual needs assessment and service management;

 

2)         Services provided in the community, where permitted by 45 CFR 1321.131, such as continuing education, health and health screening, program development and coordination activities, individual needs assessment and service management, casework, counseling and assistance (concerning taxes, financial problems, welfare, the use of facilities and services, pre-retirement or second career), day care, protective services, nutrition education, services designed for the unique needs of the disabled, emergency services including disaster relief services, residential repair and renovation, physical fitness and recreation services, services in helping to obtain adequate housing;

 

3)         Services provided in the home, such as preinstitutional evaluations, casework, counseling, chore maintenance, visiting, shopping, readers, letter writing, telephone reassurance, and nutrition education;

 

4)         Services provided to residents of care providing facilities, such as casework, counseling, placement and relocation assistance, group services, complaint and grievance resolution and visiting.  Care providing facilities include long-term care facilities as defined in 45 CFR 1321.43(b), emergency shelters, and other congregate living arrangements.

 

(Source:  Amended at 15 Ill. Reg. 18642, effective December 13, 1991)

SUBPART D: FISCAL REQUIREMENTS

 

Section 230.310  Types of Allotments

 

In addition to General Revenue Funds appropriated to the Department through the appropriation process of the State of Illinois, the Department receives the following types of allotments from the Administration on Aging for purposes of performing activities related to the Older Americans Act:

 

a)         Department administration

 

b)         Social services including senior center activities;

 

c)         Congregate nutrition services; and

 

d)         Home-delivered nutrition services.

 

Section 230.320  Limitations on Use

 

The Department shall use each allotment specifically for the purpose for which the allotment is made by the Administration on Aging except in those situations for which exception is provided in 45 CFR 1321.

 

Section 230.330  Service Funding Requirements

 

The Department shall reallot its entire social and nutrition services allotments from the Administration on Aging, with the exception of funds required for the administration and operation of the long-term care ombudsman program, to area agencies on aging under approved area plans.  Each area on aging shall use each allotment specifically for the purpose for which the allotment is made.

 

Section 230.340  Obligation of Allotments

 

The Department shall obligate all funds received from the Administration on Aging during the fiscal year in which they are obligated.

 

Section 230.350  Maintenance of Effort:  Non-Federal Share

 

In order to meet the required non-Federal share applicable to allotments in each fiscal year from the Administration on Aging, the Department shall expend under the State plan for both services and administration at least the same amount of State funds spent under the plan for the previous fiscal year.

 

Section 230.360  General Audit Requirements

 

a)         All grantees and contractors who receive financial assistance through the Illinois Department on Aging must obtain and file an audit report as mandated in, and in accordance with, Office of Management and Budget (OMB) Circular A-128, "Audit of State and Local Governments" or OMB Circular A-133, "Audits of Institutions of Higher Education, and Other Nonprofit Institutions"; and, as applicable, in accordance with "Government Auditing Standards" (45 CFR 92, October 1988); "Administration of Grants" (45 CFR 74, March 1991); "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments" (7 CFR 3016, October 1988); "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments" (29 CFR 97, October 1988); "Uniform Federal Assistance Regulation" (7 CFR 3015, August 1993); "Audits of Institutions of Higher Education and Other Nonprofit Institutions" (7 CFR 3051, August 1993); "Audit Requirements for Grants, Contracts and Other Agreements" (29 CFR 96, October 1991), no later editions or amendments included.

 

b)         Such audits must be conducted in accordance with generally accepted auditing standards, including the standards of:

 

1)         The U.S. General Accounting Office's publication, "Government Auditing Standards" (45 CFR 92, October 1988) and those applicable citations in subsection (a) of this Section; and

 

2)         any specific audit instructions issued by the Department.

 

c)         Audits must be conducted annually.

 

d)         Each grantee and contractor must establish procedures for reviewing audit reports and responding to recommendations.

 

(Source:  Amended at 18 Ill. Reg. 14072, effective September 1, 1994)

 

Section 230.361  Purpose of Audits

 

The purpose of audits shall be to determine the effectiveness of the financial management systems and internal procedures established to meet the terms of awards and to determine whether grantees and contractors are in conformance, as applicable, with significant compliance requirements (Office of Management and Budget (OMB) publications "Compliance Supplement for Single Audits for State and Local Governments" (September 1990, no later editions or amendments included)) and "Compliance Supplement for Audits of Institutions of Higher Learning and Other Nonprofit Institutions" (October 1991, no later editions or amendments included) that can have a material effect upon programs.  The audit report is also used to ascertain the amount of unearned Federal or State funds (unspent funds) at the end of the grant.

 

(Source:  Amended at 18 Ill. Reg. 14072, effective September 1, 1994)

 

Section 230.362  Audit Engagement Agreement

 

a)         Each grantee and contractor is responsible for securing its own independent auditor.

 

b)         Prior to the initiation of audit activity, the grantee and contractor will ensure the contract with the auditor is covered by an audit engagement agreement which, at a minimum, includes:

 

1)         Scope of the audit.

 

2)         Audit period.

 

3)         Provision for an opinion on the financial statements in conformity with generally accepted government auditing standards, "Government Auditing Standards" issued by the U.S. General Accounting Office and state the audit will be performed in accordance with Office of Management and Budget (OMB) Circular A-128 "Audit of State and Local Governments" or A-133, "Audits of Institutions of Higher Education, and Other Nonprofit Institutions"; and in accordance with those applicable citations in Section 230.360 (a) of this Part.

 

4)         Provision for a report on the internal control structure that awards are managed in compliance with applicable laws, regulations, and grant terms.

 

5)         Provision for an expression of positive assurance of the compliance of the grantee and contractor with regulatory requirements (described in Section 230.361 of this Part) for tested items, and negative assurance for untested items.

 

6)         Provision for a letter of a non-material audit finding(s) developed in the audit and excluded from the audit report.

 

7)         Basis for allocation of audit fee.  The cost of the audit shall be distributed to all sources of funds based on a reasonable distribution plan.

 

8)         Due date for submission of the audit report.

 

9)         The auditor will provide the grantee and contractor with a copy of the compliance audit workpapers.

 

10)         Any additional terms, agreements or relationships affecting the audit engagement agreement.

 

c)         The audit engagement agreement must be submitted to the Department for approval no later than 2 months after the end of the fiscal year to be audited.

 

d)         The Department will approve or deny the engagement terms on the basis of the content of the audit engagement agreement.  The audit engagement agreement will be denied for any of the following reasons:

 

1)         The audit engagement agreement does not meet the minimum content required by subsection (b) of this Section;

 

2)         The basis of allocation of the audit fee is not deemed to be reasonable because the percentage of the fee charged to each funding source or program does not represent the proportion of funds expended from each source or program relative to total funds expended for the audit period;

 

3)         The terms of the engagement agreement do not comply with rule provisions governing audits, as specified in Sections 230.360 through 230.366.

 

(Source:  Amended at 18 Ill. Reg. 14072, effective September 1, 1994) 

 

Section 230.363  Distribution of the Cost of a Unified Audit

 

a)         In a circumstance where a grantee, contractor and its subgrantees and subcontractors desire to retain an auditor to perform an audit of its own books and that of all or part of its subgrantees and subcontractors, the audit is called a unified audit.  The cost of the unified audit may be apportioned: to the grantee's and contractor's administrative cost; or to the grantee's and contractor's administrative cost and that of each subgrantee and subcontractor in proportion to the workload of the auditor.

 

b)         A grantee and contractor who negotiate to have a unified audit performed must ensure compliance with the conditions contained in the Department's audit procedures.

 

1)         The grantee and contractor must obtain from each subgrantee and subcontractor willing to participate in the unified audit written authorization for the grantee and contractor to act as each subgrantee's and subcontractor's agent in securing an independent auditor to perform the audits on each subgrantee's and subcontractor's respective records.

 

2)         Before commencement of the unified audit, each subgrantee and subcontractor willing to participate in the unified audit must enter into an agreement which sets forth the subgrantee's and subcontractor's acceptance of the independent auditor and ensuing audit report.  Subgrantees and subcontractors shall have the option of:

 

A)        Entering into a separate audit engagement agreement with the independent auditor; or

 

B)        Signing the audit engagement agreement among the grantee, contractor and the independent auditor.

 

(Source:  Amended at 18 Ill. Reg. 14072, effective September 1, 1994)

 

Section 230.364  Scope of the Financial and Compliance Audit (Repealed)

 

(Source:  Repealed at 18 Ill. Reg. 14072, effective September 1, 1994)

 

Section 230.365  Audit Report

 

a)         The audit report shall state that the audit was made in accordance with the provisions of Office of Management and Budget (OMB) Circular A-128 or Office of Management and Budget (OMB) Circular A-133 as applicable and in accordance with those applicable citations in Section 230.360(a) of this Part and shall include at least the following:

 

1)         Financial Report(s)

 

A)        General purpose or basic financial statements (Financial Statements); and

 

B)        Schedule of Federal awards (with auditor's opinion in relation to Financial Statements).

 

2)         Internal Control Report(s)

 

A)        Entity-wide internal control matters based on the auditor's understanding of internal control structure and the assessment of control risk, made as part of the financial statement audit.

 

B)        Internal controls designed to provide reasonable assurance of compliance with laws and regulations applicable to awards.

 

3)         Compliance Report(s)

 

A)        Compliance which may be material to financial statements;

 

B)        Opinion on compliance with laws and regulations applicable to each major Federal program.  This requirement is met with the following 3 reports:

 

i)          Report on compliance with general requirements.  (Opinion disclaimer with positive and negative assurance); and

 

ii)         Opinion on compliance with specific requirements applicable to each major program.  (Opinion to include financial reports and claims for advances and reimbursements; and amounts claimed or used for matching, in accordance with allowable costs or cost principles); and

 

iii)        Compliance with requirements tested for non-major programs. (Opinion disclaimer with positive and negative assurance, applicable only when non-major programs are tested.)

 

4)         Other Report(s) (if applicable)

 

A)        Schedule of findings and questioned costs, if not included in the internal control or compliance reports;

 

B)        Management letter or letter of representation;

 

C)        Separate communication of non-material findings; and

 

D)        Report of illegal act(s).

 

b)         A copy of the audit must be submitted to the Department within 30 calendar days after completion (due date established in the audit engagement agreement) but no later than 6 months after the end of the fiscal year audited.

 

c)         If any deficiencies or recommendations are included in the audit report, the grantee and contractor must describe corrective action to be taken.  The Department will subsequently monitor the grantee and contractor to verify that appropriate actions are being taken to fulfill audit recommendations.

 

(Source:  Amended at 18 Ill. Reg. 14072, effective September 1, 1994)

 

Section 230.366  Resolution of Audit Findings

 

a)         Grantees and contractors will have the maximum of 180 calendar days from the date of receipt of the final audit report to resolve any audit findings and/or questioned costs.  Repayment of questioned costs based upon any negotiated settlement must be completed within a negotiated timeframe.

 

b)         If audit findings of a grantee and contractor indicate a condition specified in Section 230.140(a)(1-4) of this Part, the Department will further investigate to determine if suspension or termination is warranted.

 

(Source:  Added at 18 Ill. Reg. 14072, effective September 1, 1994)

 

Section 230.370  Program and Financial Reviews

 

Program and financial reviews shall be conducted for the purpose of evaluating area agency on aging compliance with applicable Federal and State requirements and the approved area plan.

 

a)         Effects of Reviews and Audits

            Any review or audit may lead to disallowance, formal compliance action, recommendations on how the area agency may improve the administration of its programs, or offers of technical assistance.

 

b)         Disallowed Costs

            Any costs of the area agency on aging disallowed as a result of a program or financial review may be deducted by the Department from any funds not distributed to the area agency on aging.

SUBPART E: GRIEVANCES, APPEALS, AND HEARINGS