AUTHORITY: Implementing and authorized by Section 55.76 of the Civil Administrative Code of Illinois [20 ILCS 2310/55.76] (see P.A. 88-666, effective September 16, 1994).

SOURCE: Adopted at 19 Ill. Reg. 12277, effective August 15, 1995.


Section 980.10  Definitions


            "Act" means Section 55.76 of the Civil Administrative Code of Illinois [20 ILCS 2310/55.76] (see P.A. 88-666, effective September 16, 1994).


            "Applicant" means any eligible hospital, laboratory, educational institution, or other organization in Illinois, the intent of which is to conduct research into causes, prevention and treatment of heart disease or to conduct public education relating to treatment and prevention of heart disease.


            "Cause" means that which brings about a particular condition, result or effect.


            "Department" means the Illinois Department of Public Health.


            "Detection" means a determination of the presence of heart disease.


            "Director" means the Director of the Illinois Department of Public Health.


            "Fellowship" means supervised practical experience for an individual in a health care or scientific specialty beyond such experience required to earn a doctorate degree or, in the case of medicine, beyond such experience provided to hospital resident physicians to broaden expertise in the treatment of heart disease.


            "Funding Period or Grant Agreement Period" means the time during which an award is to be spent in support of a particular research project or training course.  The funding period may coincide with the Department's fiscal year.


            "Governmental Unit Code" means the Illinois Comptroller's preassigned vendor identification number for governmental agencies and municipalities.


            "Heart Disease" means any pathological condition of the heart.


            "Not-for-Profit Corporation" means a corporation as described in the General Not-for-Profit Corporation Act of 1986 [805 ILCS 105].


            "Peer Review Panel" means a group appointed by the Director, whose members demonstrate and are acknowledged to have expertise in areas dealing with heart disease research.


            "Prevention" means the use of various techniques, including the adoption of specific health related habits or use of medications, to stop heart disease from developing in healthy individuals.


            "Principal Investigator" means the person with prime responsibility or the lead person for conducting a research project.


            "Project Period" means a minimum of one year and a maximum of three years (possibility of two continuation grants).


            "Research" means a trained inquiry or experimentation related to investigating causes, prevention, and treatments for heart disease.


            "Research Fund" means the Heart Disease Treatment and Prevention Fund which is a special fund in the State Treasury as described in the Act.


            "Research Fund Checkoff" means a voluntary process by which an Illinois taxpayer may use a provision on the standard individual income tax form to contribute to the Heart Disease Treatment and Prevention Fund.


            "Research Grant" means funding provided to qualified principal investigators to investigate specific questions related to heart disease research.


            "Screening" means examining and testing for heart disease.


            "TIN" means the nine digit federal Taxpayer Identification Number; Federal Employer Identification Number (FEIN); Social Security Number; or Governmental Unit Code.


            "Training and Continuing Education" means expanding or updating the knowledge of research scientists, health care professionals and other allied persons.


            "Treatment" means the management and care of an individual for the purpose of combating heart disease.


Section 980.20  Purpose


The purpose of the Heart Disease Treatment and Prevention Fund is to make grants to public and private agencies for the purposes of funding research into causes, prevention, and treatment of heart disease and public education relating to treatment and prevention of heart disease. (Section 55.76 of the Act)


Section 980.30  Eligibility


From funds appropriated from the Heart Disease Treatment and Prevention Fund the Department shall award grants on the basis of merit.  In determining eligibility, the Department shall consider the recommendations of the peer review panel. 


Section 980.40  Application Procedures


The Department shall provide written application instructions to potential applicants upon request.


a)         All applications shall include the following:


1)         the principal investigator's name, address, and telephone number, and FAX and teletypewriter (TTY) numbers, if available;


2)         the name, address, and telephone number, and FAX and TTY numbers of the entity (such as a university) through which the application is being submitted, if different from the information required in subsection (a)(1) of this Section;


3)         the curriculum vitae of principal investigator;


4)         a one-page, non-technical abstract that includes a description of the significance of the applicant's project for heart disease treatment and prevention;


5)         the TIN;


6)         the signature of principal investigator or agency official authorized to certify the application;


7)         the dates of the project period;


8)         a detailed budget for the funding period, providing sufficient resources to carry out the project.  The budget shall be by line item category and shall provide sufficient detail to justify the use of grant funds to support project activities.  The applicant shall indicate the total cost of conducting the project(s), the anticipated funding request for the second and third years of the project (if applicable), the source of other funds supporting the project(s), and the amount of support requested from the Department;


9)         a signed statement of assurances (as provided in the application packet) indicating compliance with applicable State requirements, such as the Fiscal Control and Internal Auditing Act, bribery certification, contract debarment, unlawful discrimination, Illinois Human Rights Act, Federal Civil Rights Act, Drug Free Workplace Act, Davis-Bacon Act, conflict of interest as specified in the Illinois Purchasing Act, and protection of the confidentiality of services.


b)         In addition to the requirements of subsections (a)(1) through (9) of this Section, all initial applications shall include the following:


1)         a statement of whether funds are being requested for a fellowship or a general award;


2)         a statement of the research question or hypothesis, a description of the methods to be used to identify and select intervention(s) or model program(s) or a description of intervention(s) or model program(s) on which the project will be based;


3)         a prioritized listing of measurable objectives for the funding period;


4)         for each objective proposed for the first funding period of the project, a sequential listing of activities to achieve the objective, the time line for completing each activity, and identification of the individual responsible for coordinating the implementation of each objective; and


5)         a description of the evaluation methods to be used to measure progress in achieving objectives and a plan for monitoring the overall project.


c)         In addition to the requirements of subsections (a)(1) through (9) and (b)(1) through (5), all initial applications for a fellowship shall include the following:


1)         the name of the individual to be supported through the fellowship;


2)         the curriculum vitae of the individual; and


3)         at least one letter of recommendation from the principal investigator or agency official authorized to certify the application.


d)         In addition to the requirements of subsection (a)(1) through (9), all continuation applications shall include the following:


1)         a progress report which contains a description of the findings to date as specified in subsection (b)(5) of this Section;


2)         a description of the applicant's progress in meeting each project objective;


3)         project objectives for the new funding period, along with activities and timelines for completion of each activity; and


4)         any revisions in the evaluation methods or the monitoring plan along with the rationale for such revisions.


Section 980.50  Application Review Criteria


Applications shall be subject to a nontechnical and technical review as follows:


a)         Criteria for the nontechnical review shall include:


1)         adherence to the format specified in Section 980.40;


2)         inclusion of all required forms as specified in Section 980.40; and


3)         the inclusion of a response to each required item as specified in Section 980.40 for the particular type of application.


b)         The technical review shall be based on the following criteria:


1)         the activities identified by the applicant will lead to achievement of the objectives;


2)         the project objectives are achievable in the stated timeframe;


3)         the evaluation methods measure progress toward the identified objectives;


4)         the budget required in Section 980.40(a)(8) provides sufficient resources and justifies the need for funds to carry out the project; and


5)         continuation applicants have documented the status of each activity in support of the current year objectives and have provided an estimate of the extent to which each current year objective will be met.


Section 980.60  Notification of Award


a)         The Department may award an amount less than the amount requested in an application.


b)         Receipt of an award transmittal letter and grant agreement from the Department for signature by the applicant shall constitute notification of award.


c)         Applicants who have not been selected for funding shall be notified in writing by the Department.


d)         A grant agreement shall not be sold, assigned or transferred in any manner.  Any actual or attempted sale, assignment or transfer shall render the grant agreement null.  If the grantee ceases operation for any reason, the grant agreement shall be terminated.


Section 980.70  Award and Use of Grant Funds


a)         Grant funds awarded by the Department shall only be used for the direct cost of administering, operating and maintaining a project.  The following direct costs are examples of those costs for which grant funds may be used, when specified in the grant agreement:


1)         personal services costs, including gross salaries and employer paid fringe benefits for full-time and part-time employees of the project;


2)         contractual services costs, including but not limited to, fees for consultants and specialists, exclusive of consultant services for patient care; conference registration fees; costs of repair and maintenance of furniture and equipment; postage and postal services; subscriptions; training and education costs; software; and telecommunications costs;


3)         travel of personnel in carrying out authorized activities.  Travel costs are the expenses for transportation, lodging and subsistence for personnel who are on travel status on official business for the applicant.  Out-of-State travel requires prior written approval of the Department;


4)         supplies/commodities as required for the operation of the project and that are directly related to its operation.  Supplies include, but are not limited to, office, medical and educational supplies; equipment items costing less than $100 each; and paper and printing; and


5)         equipment directly related to the operation of the project.  Equipment is defined as items costing over $100 each, with a useful life of more than one year (see Section 20 of the State Finance Act [30 ILCS 105/20]).  Equipment costs shall include all freight and installation costs. Purchase of equipment items, other than those included in the approved budget, require prior written approval from the Department.


b)         Payments to the grantee shall be made on a reimbursement basis.


1)         The grantee shall use the Department's Reimbursement Certification Form or a reasonable facsimile to request reimbursement.


2)         The grantee shall document actual expenditures incurred for the purchase of goods and services necessary for conducting program activities.


A)        Expenditures shall be itemized on the Reimbursement Certification Form in such a manner as to establish an audit trail for future verification of appropriate use of grant funds.


B)        Each item claimed on the Reimbursement Certification Form must be based on an expenditure traceable through the grantee's internal accounting system and shall include:


i)          the check number or internal ledger transfer code;


ii)         the date of payment;


iii)        the dates goods or services were received or the period covered;


iv)        a description of the goods or services for gross amount of the check or transfer; and


v)         the amount claimed for reimbursement from the Department.


3)         The grantee shall submit requests for reimbursement monthly or quarterly throughout the period of the grant.  The final request for reimbursement shall be submitted within 45 calendar days after the end of the grant agreement period.


4)         Requests for budget adjustments shall be submitted to the Department in writing and shall be received by the Department no later than 45 calendar days before the end of the grant agreement period.


Section 980.80  Monitoring Criteria


Grantees will be required to submit to the Department written narrative reports of progress towards achieving project objectives and shall make such reports available for presentation before the peer review panel. Reports shall be submitted at the time of submission of each continuation application and at the time of completion of the project.


Section 980.90  Contract Expiration


All projects shall end on the date specified in the grant agreement and shall not be extended or renewed. A continuation application as provided for in Section 980.40(d) may result in a new grant agreement with a new expiration date.


Section 980.100  Termination of the Grant Agreement or Funding


a)         The grant agreement may be terminated by either party upon 30 calendar days written notice to the other party as specified in the grant agreement.


b)         The grant agreement may be terminated immediately without penalty of further payment being required if the Illinois General Assembly fails to appropriate or otherwise make available sufficient funds for the award or if sufficient funds are not available in the Research Fund.


c)         The Department shall be empowered to suspend funding or terminate the contract of a grantee who has substantially failed to comply with this Part or the terms and conditions of the grant agreement.


Section 980.110  Denial, Suspension or Revocation of Grant Application or Grant Agreement


a)         The Director, after notice and opportunity for hearing, may deny the application for grant funds or suspend or revoke the grant agreement of any grantee in any case in which the Director finds substantial or continued failure to comply with this Part.  If, however, the Director finds that the public interest, health, safety, or welfare requires emergency action and if the Director incorporates a finding to that effect in the order, summary suspension of the grant agreement may be ordered pending proceedings for revocation.  Such proceedings shall be promptly instituted and promptly determined.


b)         Such notice shall be made by certified mail or by personal service and shall set forth the particular reasons for the proposed action and provide the grantee with an opportunity to request a hearing.  If a written hearing request is not received within 10 days of receipt of the notice by the grantee, the right to a hearing is waived.


Section 980.120  Procedures for Hearings


The Department's "Rules of Practice and Procedure in Administrative Hearings" (77 Ill. Adm. Code 100) shall apply to all proceedings conducted under this Part, with the exception that where the terms "license" and "licensing" are used in Part 100, the definitions of those terms shall be expanded to include any grantee awarded funds pursuant to this Part and any grant agreement executed pursuant to this Part.