TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.1 PURPOSE (RENUMBERED)
Section 357.1 Purpose
(Renumbered)
(Source: Renumbered to Section 357.10 at 21 Ill. Reg. 13160, effective
October 1, 1997)
 | TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.2 DEFINITIONS (RENUMBERED)
Section 357.2 Definitions
(Renumbered)
(Source: Renumbered to Section 357.20 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.3 PROCURING SERVICES (RENUMBERED)
Section 357.3 Procuring
Services (Renumbered)
(Source: Renumbered to Section 357.40 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.4 ISSUANCE OF REQUESTS FOR PROPOSALS (RENUMBERED)
Section 357.4 Issuance of
Requests for Proposals (Renumbered)
(Source: Renumbered to Section 357.50 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.5 CONTENT OF REQUESTS FOR PROPOSALS (RENUMBERED)
Section 357.5 Content of
Requests for Proposals (Renumbered)
(Source: Renumbered to Section 357.60 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.6 EVALUATION OF PROPOSALS (RENUMBERED)
Section 357.6 Evaluation of
Proposals (Renumbered)
(Source: Renumbered to Section 357.70 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.7 NOTIFICATION OF AWARDS (RENUMBERED)
Section 357.7 Notification
of Awards (Renumbered)
(Source: Renumbered to Section 357.80 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.8 DISCLOSURE OF PROPOSALS (RENUMBERED)
Section 357.8 Disclosure of
Proposals (Renumbered)
(Source: Renumbered to Section 357.90 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.9 CONTRACT APPROVAL (RENUMBERED)
Section 357.9 Contract
Approval (Renumbered)
(Source: Renumbered to Section 357.100 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.10 PURPOSE
Section 357.10 Purpose
The purpose of this Part is to
explain how the Department purchases professional services on behalf of the
children, youth and families it serves and what the Department requires from a
purchase of service provider. This Part does not apply to the goods and
services governed by the standard procurement rules of the Department of
Central Management Services.
(Source: Old Section 357.10 renumbered to Section 357.110 and new
Section 357.10 renumbered from Section 357.1 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.11 FISCAL REPORTS AND RECORDS (RENUMBERED)
Section 357.11 Fiscal
Reports and Records (Renumbered)
(Source: Renumbered to Section 357.120 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.12 REQUIRED DOCUMENTATION (RENUMBERED)
Section 357.12 Required
Documentation (Renumbered)
(Source: Renumbered to Section 357.130 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.13 CONTRACT TERMINATION (RENUMBERED)
Section 357.13 Contract
Termination (Renumbered)
(Source: Renumbered to Section 357.140 at 21 Ill. Reg. 13160, effective
October 1, 1997)
ADMINISTRATIVE CODE TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357 PURCHASE OF SERVICE
SECTION 357.20 DEFINITIONS
Section 357.20 Definitions
"Adult" means a person
age 18 and older.
"Department", as used in
this Part, means the Illinois Department of Children and Family Services.
"Equal proposals for family
preservation services" means proposals received by the Department which
have been assigned, after review, the same number of evaluation points and the
services to be provided are equal pursuant to the requirements of Section
357.70.
"Fiscal year" means July
1 through June 30.
"Illinois Sex Offender
Registry" means the registry of felony child offenders operated and
maintained by the Illinois State Police.
"Legal child care
arrangement" means child care is being provided in a licensed child care
facility, in a child care facility that is exempt from licensing, or in the
child's own home.
"Minor traffic
violation" means a traffic violation under the laws of the State of
Illinois or any municipal authority therein or another state or municipal
authority that is punishable solely by fines as a petty offense. (See Section
6-601 of the Illinois Driver Licensing Law [625 ILCS 5/6-601].)
"Negotiated contract"
means a written contract with an agency or individual to provide needed child
welfare or youth services, which contract is not competitively bid, but rather
is mutually agreed upon with a provider. Use of such contracts is further
described in Section 357.40.
"New service
initiatives" means services that previously have not been provided by or
purchased by the Department in the State or in a specific geographical area of
the state.
"Professional services"
as used in this Part means child welfare services as defined in 89 Ill. Adm.
Code 302 (Services Delivered by the Department of Children and Family Services)
and youth services, as defined in this Section.
"Program plan" means
that part of the purchase of service contract that explains in detail who will
be served, where and how they will be served and what outcomes are expected
from the service.
"Purchase of service
provider" means an agency or individual offering services to a Department
client through a signed contract with the Department. As used in this Part, the
term does not include grants-in-aid that are awarded pursuant to 89 Ill. Adm.
Code 360 (Grants-in-Aid).
"Requests for proposals"
or "RFPs" means a formal invitation to bid that the Department uses
to obtain professional services. The RFP explains the purpose, outlines the
scope of the work and solicits proposals from individuals or organizations for
the funding of services for certain initiatives or projects undertaken by the
Department.
"SACWIS" means the
Statewide Automated Child Welfare Information System operated by the Department
that replaced the CANTS system.
"Youth services" include
but are not limited to community services, primary prevention, outreach and
recreational opportunities, including the use of indigenous community
volunteers to provide programs designed to correct conditions contributing to
delinquency; diversion services, including client advocacy, family counseling,
employment and educational assistance and service brokerage; and emergency
services, including 24-hour crisis intervention and shelter care. Youth
services are further defined in 89 Ill. Adm. Code 310 (Delivery of Youth
Services Funded by the Department of Human Services).
(Source: Amended at 29 Ill. Reg. 8706,
effective June 8, 2005)
|
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.30 PURCHASE OF DAY CARE SERVICES
Section 357.30 Purchase of
Day Care Services
a) The Department may purchase day care services for an eligible
child in any legal child care arrangement including, but not limited to,
licensed day care facilities, facilities exempt from licensing, and relatives
and individuals who provide care in the children's homes.
b) As a condition of receiving payment for day care services from
the Department, each in-home day caregiver, license exempt day care provider
and assistant, and all adult members of the household in which a day care home
exempt from licensing operates shall:
1) complete and submit to the Department on a form prescribed by
the Department a certification under penalty of perjury whether the person has
been convicted of a crime, other than a minor traffic violation, or has been
indicated as a perpetrator of child abuse and neglect; and
2) complete and submit to the Department an authorization for a
background check which may include, solely at the discretion of the Department,
a criminal history check, a check of the Statewide Automated Child Welfare
Information System (SACWIS) and a check of the Illinois Sex Offender Registry;
and
3) if requested, submit his or her fingerprints to the Department
within 30 days after the Department's written request for such fingerprints.
c) The Department shall conduct a check of SACWIS and the Sex
Offender Registry on all individuals listed in subsection (b) of this Section
when:
1) care is being given to a child for whom the Department is
legally responsible;
2) a child is a member of an intact family that is receiving
Department services; or
3) one of the individuals required to complete the authorization
for background checks as provided in subsection (b) of this Section
acknowledges that he or she has been indicated as a perpetrator of child abuse
or neglect.
d) The Department shall conduct a check of SACWIS and the Illinois
Sex Offender Registry on a random basis for all other individuals required to
complete the authorization for background checks in subsection (b) of this
Section.
e) The Department shall send a notice to the individuals in
subsection (b) of this Section requiring them to submit to fingerprinting
whenever he or she acknowledges that he or she has been convicted of a crime,
other than a minor traffic violation, as defined in Section 357.20.
f) The Department may, in its sole discretion and on a random
basis, require fingerprints of not more than 15% of all other individuals in
subsection (b) of this Section and submit the fingerprints to the Illinois
State Police.
g) Authorization for payment for day care services shall be
denied or withdrawn whenever an individual in subsection (b) of this Section:
1) failed or refused to submit the authorization for background
checks and fingerprints (if requested), as required by subsection (b) of this
Section; or
2) is found to have been convicted of any of the criminal acts
listed in Appendix A of 89 Ill. Adm. Code 385 (Background Checks), or to have
been indicated as the perpetrator of child abuse or neglect, or is listed in
the Illinois Sex Offender Registry.
h) In
addition, if the Department learns one of the individuals in subsection (b) of
this Section has falsified information on the certification form, the
Department may deny or withdraw authorization for payment for day care services
to that provider.
(Source: Amended at 29 Ill.
Reg. 8706, effective June 8, 2005)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.40 PROCURING SERVICES
Section 357.40 Procuring
Services
a) The Department procures professional child welfare and youth
services by means of negotiated contracts and competitively bid contracts.
b) Negotiated contracts are used in the following circumstances:
1) When the nature of the service is such that it can only be
obtained from a single service provider.
2) When, in the opinion of the Department, maintenance of ongoing
established services is necessary to ensure the continuity of care and
assistance to children, youth and families served by the Department.
3) When, in the opinion of the Department, an emergency exists
and the urgency for the service will not allow time for preparing requests for
proposals.
4) When the Department is not required to use competitive bidding
by statute or by the provisions of subsection (c)(1):
c) Although the professional services governed by this Part are
exempt from the competitive bidding procedures of the Illinois Procurement Code
[30 ILCS 500] as opposed to the goods and services governed by the standard
procurement rules of the Department of Central Management Services, the
Department nevertheless recognizes the value of competition and therefore
issues Request for Proposals (RFPs) in the following situations:
1) The Department shall issue a RFP for all new service
initiatives over $25,000 except where the RFP is required by Federal
regulations such as 45 CFR 74. The Director shall waive the RFP requirement
when a determination is made that an emergency exists. An emergency shall
include, but not be limited to, the following situations:
A) When the service initiative is immediately needed to prevent
interruption in services to current clients, or
B) The service initiative is immediately needed to assure the
clients' health and welfare.
2) In addition, the Department shall issue RFPs for service
contracts (except for substitute care and day care) over $50,000 at least once
every 6 years. However, comprehensive community-based youth services provided
through local boards or local service systems shall be reviewed once every 4
years in accordance with Department of Human Services' requirements found in 89
Ill. Adm. Code 334 (Administration and Funding of Community-Based Services to
Youth). When requests for proposals are issued, purchase of service providers
shall submit a response in accordance with the RFP in order to be considered
for contracts for the fiscal year specified. When an RFP is not required,
subsequent contracts may be negotiated and renewed at the Department's
discretion without recourse to a RFP. The Department will review such
contracts in order to determine that the provider is complying with the
provisions of the current contract and providing effective services that meet
the needs of the Department's clients.
3) When equal proposals for family preservation services have
been submitted to the Department, not-for-profit corporations are to be given
preference over for-profit corporations.
(Source: Amended at 29 Ill.
Reg. 8706, effective June 8, 2005)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.50 ISSUANCE OF REQUESTS FOR PROPOSALS
Section 357.50 Issuance of
Requests for Proposals
The Department shall ensure that
RFPs are issued to current purchase of service contractors and issued in such a
manner that the development of needed new services will be encouraged and that
new purchase of service providers will be encouraged to submit proposals. RFPs
shall be advertised in the official newspaper in the State of Illinois as
designated by the Department of Central Management Services or a local
newspaper serving the geographical area covered by the RFP. The Department
shall also maintain a list of potential bidders and will mail RFPs to potential
bidders. A minimum of 30 days to respond to RFPs shall be allowed.
(Source: Renumbered from Section 357.4 and amended at 21 Ill. Reg.
13160, effective October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.60 CONTENT OF REQUESTS FOR PROPOSALS
Section 357.60 Content of
Requests for Proposals
a) Requests for proposals will be in writing and contain the
necessary information to enable a prospective provider to prepare a proposal.
The RFP shall include:
1) A description of the work to be performed.
2) The submission process.
3) The review process.
4) General contract and bid information.
5) Date, time and address of bidders' conference when applicable.
6) The Department contact person.
b) Requests for proposals will inform prospective providers of
all evaluation factors and of the relative importance attached to each
criterion.
(Source: Renumbered from Section 357.5 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.70 EVALUATION OF PROPOSALS
Section 357.70 Evaluation of
Proposals
When deciding which applicant
shall be awarded a contract, the Department shall consider the following
factors:
a) The type of services to be provided as described in the RFP;
b) The target population for which their services are intended as
described in the RFP;
c) The experience and ability of the provider's staff as
described in the RFP;
d) The cost-effectiveness of the program;
e) The acceptability of the service delivery model as described
in the RFP; and
f) The need for the service in that geographical area.
(Source: Renumbered from Section 357.6 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.80 NOTIFICATION OF AWARDS
Section 357.80 Notification
of Awards
a) After the evaluation of proposals has been completed, the
Department will notify in writing the applicant(s) selected as well as those
not selected.
b) Upon written request of an unsuccessful applicant, the
Department will describe the reasons for rejection.
(Source: Renumbered from Section 357.7 at 21 Ill. Reg. 13160, effective
October 1, 1997)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.90 DISCLOSURE OF PROPOSALS
Section 357.90 Disclosure of
Proposals
All proposals received pursuant
to a request for proposal become the property of the Department.
(Source: Renumbered from Section 357.8 at 21 Ill. Reg. 13160, effective
October 1, 1997
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.100 CONTRACT APPROVAL
Section 357.100 Contract
Approval
Federal and State regulations
authorize the Illinois Department of Children and Family Services to purchase
service and care for eligible children and families from purchase of service
providers. Purchase of service providers shall meet the following prerequisites
before a contract is approved:
a) When licensure is required to provide the service, the
purchase of service provider has obtained the necessary license or permit from
the appropriate licensing authority to provide the specified services throughout
the contract period.
b) Except for individual foster care provider contracts and day
care provider contracts, the purchase of service provider has submitted a
detailed program plan that specifies and contains the following:
1) the type and extent of services that will be provided. The
number of individual and/or family clients that may be served, and the number
of hours or the number of days for which services are provided may be used to
define the extent of services;
2) the number and types of staff available to provide the
specified services;
3) the clientele for whom the services were designed;
4) the provisions for recordkeeping and reporting as required by
Department rules or the purchase of service contract;
5) that the resources are sufficient to provide the service.
"Resources" include the following:
A) facilities that are large enough to safely accommodate the
clientele, which contain sufficient equipment and furniture to provide the
services offered and that satisfy all public health and safety regulations and
Department licensing requirements;
B) staff who possess accepted professional standards of education
and experience for their assignments; and
C) administrative personnel with appropriate educational
backgrounds and experience for their positions;
6) a clause titled "billable service" that:
A) clearly defines the billable unit of services such as: hour,
day, week or month;
B) stipulates whether the provider will bill for client "no
shows," travel, telephone conversations, canceled appointments, staffing
and group sessions.
c) The purchase of service provider has a plan to assure that
minimal staffing levels, as may be required by child care facility licensing
standards, and as specified in the contract, are maintained.
d) The purchase of service provider shall submit documentation that
the total Department reimbursement for administration costs, including
personnel and other fixed and variable costs for administration do not exceed
20% of the cost of other reimbursable items.
e) The purchase of service provider has submitted evidence of
financial stability.
f) The new purchase of service provider has submitted evidence of
financial stability for the contract period including either letters of credit,
statements of backing, or audited financial statements.
g) The
purchase of service provider has submitted a budget of anticipated expenditures
based on the negotiated rate or the negotiated contract maximum, if a budget is
required by the contract.
h) The
current purchase of service provider has submitted the required financial
reporting documents in accordance with Section 357.120.
(Source: Amended at 29 Ill.
Reg. 8706, effective June 8, 2005)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.110 COMPLIANCE DURING THE CONTRACT PERIOD
Section 357.110 Compliance
During the Contract Period
Purchase of service providers
under contract to the Department must comply with Federal and State laws and
regulations and Department rules. When the provider signs the purchase of
service contract, this signature shall be the provider's certification of compliance
with the applicable laws, regulations and rules.
(Source: Amended at 29 Ill.
Reg. 8706, effective June 8, 2005)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.120 FISCAL REPORTS AND RECORDS
Section 357.120 Fiscal
Reports and Records
a) Purchase of service providers shall furnish the Department
with any required reports during the contract period in a manner specified in
this Section.
b) When all of the contracts with one provider expire or terminate
prior to the end of the fiscal year, the revenue and expense sections of the
Department's cost report shall be submitted with an opinion from a certified
public accountant. This report and opinion shall be submitted within 30 days
after the expiration or termination of the contract.
c) Any purchase of service provider (with the exception of day
care providers, unless they are involved in cost based rate negotiations
authorized under 89 Ill. Adm. Code 356.30(a), and governmental agencies) who
receives $150,000 or more from the Department within the State fiscal year
shall submit an agency-wide certified independent audit using the requirements
in this Section and in accordance with Government Auditing Standards, 2003 (no
later amendments or editions included), available from the Government
Accountability Office, 441 G Street, NW, Washington, DC 20548.
1) All governmental and not-for-profit organizations must also
consider federal audit guidelines and complete audits in accordance with the
guidance specified in the Office of Management and Budget (OMB) Circular A-133
Audits of States, Local Governments, and Non-Profit Organizations, when
required by A-133 to conduct an audit. If required to prepare an audit in
accordance with OMB Circular A-133, the audit must still contain the
information listed in subsection (d).
2) The Department may also request, at its sole discretion,
certified agency-wide or limited-scope audits from any purchase of service
providers (including day care providers and government entities) to ensure
compliance with Federal, State and Department requirements. All governmental
entities audited by the Illinois Auditor General will submit those audits to
the Department within 60 days after completion.
3) The
audits for all entities must be completed within 180 calendar days after the
completion of the provider's fiscal year.
4) A
waiver of the certified audit requirement may be requested in writing and
directed to the Department’s Deputy Director of Monitoring and Quality
Assurance. The request must state the reason for the waiver and shall be
submitted prior to the due date of the report.
5) A
request for an extension of the deadline for submittal of the audit and/or
costs report beyond the time frame specified in subsection (c)(3) must be
submitted in writing to the central office manager responsible for the
administration of the reimbursement rates and excess revenue by the required
due date in subsection (c)(3).
6) The
Department will respond to the requests for waivers or extensions within 30
business days, specifying approval or rejection of the waiver or extension.
Waivers are approvable if the cost to the provider outweighs the benefit of the
requirement. Extensions beyond 60 calendar days are approvable when
circumstances beyond the agency's control prevent a timely submission (e.g.,
death, hospitalization or a change at the agency) or when a further extension
from another State or federal agency requiring the same reports has been
granted.
d) The agency-wide certified independent and OMB A-133 audit
report submission shall contain the following information:
1) Independent Auditor's Report – an expression of the auditor's
opinion on the financial statement;
2) Statement of Financial Position (balance sheet);
3) Statement of Activities – a statement of revenue and expenses
and changes in net assets. This statement should specifically identify revenue
received for the Department's programs. The cost of management and general
expenses should be shown;
4) Statement of Cash Flows;
5) Statement of functional expenses for the agency, including
management and general expenses and fundraising expenses. This schedule should
show by functional and natural classifications the expenses for each individual
program to enable identification of costs covered by Department funding;
6) Notes to the financial statements, including, but not limited
to, a note on the basis of accounting and the basis for recording and method
for depreciation of assets;
7) Reports on Compliance and Internal Controls Over Financial
Reporting Based on an Audit of Financial Statements Performed in Accordance
with Government Auditing Standards; and
8) A management letter from the certified independent audit firm
that specifies those accounting and internal control deficiencies that merit
attention.
e) Limited scope audits will be requested in the contract program
plan and defined for each situation. The audit report shall include the
objectives, scope and methodology; the audit results, including findings,
conclusions, and recommendations, as appropriate; a reference to compliance
with generally accepted government auditing standards, as necessary; the views
of responsible officials; and, if applicable, the nature of any privileged and
confidential information omitted. Reports shall be received within the time
frames specified in the contract.
f) Cost and Audit Reports are necessary to evaluate the costs for
all provider services. Unless the Department determines that circumstances do
not warrant the following action, noncompliance with the fiscal reporting
requirements included in this Part and the cost reporting requirements in
accordance with 89 Ill. Adm. Code 356.40 (Cost Information Requirements of
Providers) will result in:
1) withholding of rate increases; or
2) non-renewal or termination of the purchase of service contract;
or
3) withholding
of current contract payments in full or in part for services provided. Such
withholding of payments will occur 60 days after the provider has received
written notice from the Director of the Department.
(Source: Amended at 31 Ill.
Reg. 7616, effective May 31, 2007)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.130 REQUIRED DOCUMENTATION
Section 357.130 Required
Documentation
a) Purchase of service providers shall maintain financial records
for 5 years from the expiration or termination of each contract. The
Department reserves the right to inspect all purchase of service provider
records that relate to services for which the Department provides funding.
These records shall be kept in accordance with generally accepted accounting principles.
The records must be detailed and accurate enough to document the reasons for a
decision, the ways monies were spent, and the beneficiaries of income, goods,
and services. Such required recordkeeping shall include but not be limited to:
1) establishment of financial recordkeeping which includes:
A) Cash Receipts Journal
B) Cash Disbursements Journal
C) General Journal
D) General Ledger
E) All cash disbursements and/or expenses, fully supported by
documentation, such as invoices, time sheets, time studies, or approved cost
allocation plans
F) Revenue
and expenses by program
2) establishment of programmatic compliance recordkeeping that
includes:
A) individual client files on each client applying for and
receiving service;
B) schedule of service provided to each client that includes the
date and time service was provided and the agency's employee providing service;
b) Purchase of service providers shall maintain individual client
records for clients for whom services were purchased by the Department 5 years
from the date services are terminated. Individual client records shall
contain:
1) the original referral from the Department or in the case of
funded day care facilities the documentation of need for services if it was the
provider's responsibility to gather it or if the Department submitted it to the
provider;
2) documentation that supports Title IV-E and XIX (42 CFR 431)
eligibility determinations, redeterminations, court orders, and court findings
regarding reasonable effort (i.e., effort to prevent placement or that effort
was not possible) as appropriate, if it was the provider's responsibility to
gather it or if the Department submitted it to the provider;
3) documentation that supports the need for child protective
services if it was the provider's responsibility to gather it or if the
Department submitted it to the provider;
4) documentation of the service planning goals established within
required timeframes, when the case was opened and the changes made in the
service planning goals as the client's needs changed;
5) documentation of the child and family's progress or lack of
progress toward achieving the service planning goals including the social
service worker's or other responsible employee's reports and official records
regarding the child and family's cooperation in meeting service planning goals;
6) basic client social history data and updates, as necessary, if
it was the provider's responsibility to gather it or if the Department
submitted it to the provider; and
7) any other documentation specifically required in the purchase
of service contract.
c) Purchase of service providers shall maintain personnel records
of all employees who provide direct or supportive services to Department
clients. Personnel records shall be maintained on each employee for 5 years
after the termination of employment. The following information shall be
maintained:
1) proof of educational background including high school or
college transcripts or a copy of the diploma; or, if the employee has attended
a training program, documentation of the employee's completion of the program;
2) detailed summary of the employee's work experience;
3) at a minimum, yearly employee performance evaluations;
4) payroll data, including salary, accrued vacation and sick
days, records of when vacation and sick days were taken, and travel expense
records; and
5) documentation that a background check was completed for each
employee in accordance with 89 Ill. Adm. Code 385 (Background Checks).
(Source: Amended at 31 Ill.
Reg. 7616, effective May 31, 2007)
| TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER c: FISCAL ADMINISTRATION
PART 357
PURCHASE OF SERVICE
SECTION 357.140 CONTRACT TERMINATION
Section 357.140 Contract
Termination
a) The Department of Children and Family Services and the
purchase of service provider reserve the right to terminate a purchase of
service contract at any time upon provision of 30 days written notice to the
other party. However, if either party fails to comply with the terms of the
contract, the contract may be terminated by the other party effective upon the
date of written notice of termination.
b) The Department shall not be liable for payment for service
provided after the contract termination date or after the last child for whom
the Department is making payment is removed from the provider's care, whichever
is later. The Department is also not liable for any payments to individuals or
entities for which the purchase of service provider is contractually obligated.
c) The purchase of service provider shall return to the
Department all funds received from the Department that are in excess of actual
costs of providing the contract services that were delivered before the
contract was terminated.
d) Upon expiration or termination of the contract, any building
and equipment meeting the following two conditions shall be identified to the
Department within 90 days and returned subject to final disposition decision:
1) exceeding $1,500 in value at the time of purchase with a
useful life of 3 years; and
2) purchased directly with Department funds and not included in
an acceptable cost allocation plan.
(Source: Amended at 29 Ill.
Reg. 8706, effective June 8, 2005)
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