(The complete “CCDDB Funding Requirement and Guidelines” is available as a downloadable document on this site.)
It is the policy of the Champaign County Developmental Disabilities Board (CCDDB) that: services be provided in the least restrictive environment appropriate to the needs of the individual; CCDDB funding support be community based; and CCDDB planning and funding efforts be coordinated with governmental and non-governmental providers of services.
Funds allocated by the CCDDB shall be used to contract for intellectual/developmental disability supports and services for Champaign County residents pursuant to the authority contained in the Community Care for Persons with Developmental Disabilities Act, 50 ILCS 835/0.01 et seq.
Only individuals determined to have an intellectual/developmental disability are eligible for services funded by the CCDDB. The definition and eligibility determination process are described in the Illinois Department of Human Services, Division of Developmental Disabilities’ Program Manual and website.
This policy should be reviewed by all agency staff responsible for contract management, including those who prepare applications for funding as well as those who record and report on contract activities, deliverables, and financials. This document offers guidance for contract compliance and clarification of expectations for fiscal accountability and financial management systems. In various sections of this document, the terms “applicant,” “agency,” “organization,” and “provider” refer to the entity seeking or receiving funding from the CCDDB. Acceptance of CCDDB funding establishes a legal obligation on the part of the contracted agency to use the funding in full accordance with the provisions, terms and conditions of the contract. The funded agency assumes full responsibility for the conduct of project activities and deliverables and is responsible for meeting CCDDB compliance standards for financial management, internal controls, audits, and periodic reporting. An individual contract, once awarded, will contain additional details.
GENERAL AGENCY AND ADMINISTRATIVE REQUIREMENTS
1. Eligible Organizations for CCDDB Funding
a. An applicant for funding may be an individual or a public or private entity providing intellectual/developmental disability supports and services to residents of Champaign County.
b. An individual/sole proprietor who is appropriately certified or licensed by the applicable state or national board or organization that demonstrates financial reliability and stability and who demonstrates appropriate service, fiscal, and administrative accountability is eligible to apply for funding.
c. Not-for-profit corporations are eligible to apply for funding. The agency must be chartered as a not-for-profit corporation in the State of Illinois and must be established as a Section 501 (C) (3) under the Internal Revenue Code. The agency must have a board of directors representative of the service area. Consistent with the Internal Revenue Service conflict of interest policy, no staff member of the agency or relative of a staff member will be allowed to serve on the agency board.
d. For-profit organizations are eligible to apply for funding but must have a community based advisory committee representative of the service area and approved by the CCDDB.
e. The CCDDB and Champaign County Mental Health Board (CCMHB) may administer other funds on behalf of the Champaign County Board. An intergovernmental agreement will be executed between the respective boards defining the purpose, term, payment, and mutual responsibilities of the parties in the management of the funds. Any such activity shall have a direct relationship to the mission of the CCDDB or CCMHB. The management of such funds will comply with the CCDDB and/or CCMHB Funding Guidelines.
f. Government agencies, are eligible to apply with the caveat that there has been a presentation and formal review of the capability of the agency to fund the services and that funding was not available.
g. Departments and units within the University of Illinois and Parkland College related to the mission of the CCDDB are eligible to apply.
2. Administrative Requirements of Applicants
- Corporate bylaws at a minimum shall: encourage consumer representation on the board; specify the number of members of the board and include a mandatory board rotation policy; reference term limits for each board office; describe policies for recruitment, nomination and election of board members and officers; address removal and replacement of board members; include an indemnification clause; and describe committee structures.
- The provider must have its principal offices located within Champaign County. Exceptions must be approved by the CCDDB, and if approved, the provider must have a local advisory board with a mechanism for providing direct input to the corporate board of directors.
- The provider must not discriminate in the acceptance of clients, employment of personnel, appointment to the board of directors, or in any other respect on the basis of race, color, religion, gender, sexual preference, national origin, ancestry, or disability. Services shall not be denied based on a client’s inability to pay.
- Any recipient of funds is required to submit a statement by its director certifying that it does not discriminate in the acceptance of clients, employment of personnel, appointment of members of the board of directors, or in any other respect, on the basis of race, color, religion, national origin, ancestry, gender, sexual preference, or physical or mental disability.
- Should any written charge or complaint of discrimination on the basis of race, color, religion, national origin, ancestry, gender, sexual preference, or physical or mental disabilities be made against an organization receiving funds, its employees, or agents in any court or regulatory or administrative body (whether federal, state, or local), the organization shall furnish a copy of said charge or complaint to the CCDDB. Said organization shall comply with any reasonable request for information about the status of said charge or complaint. The obligations imposed by this paragraph shall be subject to and subordinate to any claim of legal privilege and any non-waivable legal requirement of confidentiality imposed by statute, administrative rule or regulation, local ordinance, court order, pre-existing contract, or collective bargaining agreement. Failure to comply with this provision shall result in immediate termination of the contract.
- The CCDDB reserves the right to conduct its own investigation into any charge or complaint of a violation of this non-discrimination requirement.
- By this non-discrimination requirement and any efforts by the CCDDB, its agents, or employees to enforce it, the CCDDB assumes no responsibility for enforcement of, or compliance by the recipient organization with, any applicable federal, state, or local laws, regulations, or ordinances prohibiting discrimination. An organization receiving funds must agree to indemnify and hold harmless the CCDDB for any liability accruing to it for any charges or complaints of discrimination or similar civil rights violations based upon the acts of the organization receiving funds, its agents, or employees and premised on the CCDDB’s provision of these funds.
d. The provider shall implement and report on a Cultural and Linguistic Competence Plan for the agency’s staff, clients, and governance board and aligned with National Culturally and Linguistically Appropriate Services standards as set forth by the US Department of Health and Human Services.
e. The provider shall demonstrate a willingness and ability to enter into networking agreements or contracts with other providers in order to avoid overlapping services and to ensure best outcomes for people using or seeking those services. Said agreements must be updated and on file annually. Because of the CCDDB’s commitment to the principle of continuity of care, agencies and programs must demonstrate a commitment to work cooperatively with all CCDDB-funded and CCMHB-funded agencies and programs and such other health and human service agencies as are appropriate to the target population. Detailed working agreements with particular agencies with which the agency and program have a similar mission may be required by the CCDDB.
f. The provider will be expected to:
- Make available for inspection by the CCDDB copies of site, monitoring compliance, licensure/certification, evaluation, and audit visit reports performed by any funding authority;
- Cooperate fully in program evaluation and onsite monitoring as conducted by CCDDB staff;
- Make available for inspection by the CCDDB copies of any request/application for new or adjusted funding in any program within the agency funded in whole or part by the CCDDB;
- Make available for annual inspection by the CCDDB copies of all agency budget applications, provider plan forms, program service and funding plans, service agreements and fiscal reports prepared for the Department of Human Services, United Way, Department of Children and Family Services, or any other funding authority;
- Provide services to each eligible client in accordance with a written individual plan (where applicable) which identifies client needs and assets as determined by assessment. At a minimum, the plan will describe long term goals, measurable short-term objectives and expected outcomes of services with evaluative updates at least annually. Client files (where applicable) shall reflect written documentation of service units billed for reimbursement; and
- Comply with all applicable Illinois and Federal laws and regulations with respect to safeguarding the use and disclosure of confidential information about recipients of services.
g. Admission and discharge policies and procedures shall be set forth in writing and be available for review.
h. Professional staff must be licensed, registered, or certified by the State of Illinois, as applicable to the discipline and current Illinois regulations/requirements.
i. All program facilities shall be in compliance with applicable State of Illinois licensure requirements and local ordinances with regard to fire, building, zoning, sanitation, health, and safety requirements.
j. All programs shall certify that they do not use CCDDB funds:
- To engage in proselytizing activities with consumers and/or require worship or religious instructional activities as a condition of participation;
- For direct or indirect medical (physical health) services that are not related to intellectual/developmental disabilities;
- For programs or services under the jurisdiction of public school systems.
3. Accreditation Requirements for Eligible Organizations
All CCDDB funded agencies and programs shall strive to conform to appropriate standards established by recognized accrediting bodies in their field of services. For example, the CCDDB recognizes the standards promulgated by the following accrediting bodies as indicative of acceptable agency and program performance: Commission of Accreditation of Services for Families and Children, Joint Commission on Accreditation of Health Care Organizations, Commission on Accreditation of Rehabilitation Facilities, and the Council on Quality and Leadership.
Accredited agencies and programs shall provide the CCDDB with copies of relevant documents and correspondence between the agency and the accrediting body regarding agency and program compliance with accreditation standards. CCDDB staff shall determine what documents and correspondence are relevant for the CCDDB monitoring purposes.
4. Organization Requirements in Lieu of Accreditation
All CCDDB funded agencies and programs not accredited by a recognized accrediting body shall make available for annual inspection by the CCDDB copies of the organization’s policies and procedures including standard operating procedures (SOP) along with credentials of key staff (i.e., resumes). Quality management mechanisms must be described in detail. CCDDB staff may develop, make available to agencies, and periodically review a set of compliance indicators. The agency shall meet or exceed all compliance indicators as set forth by the CCDDB and its staff.
5. Organization Board Meetings
Agency governing boards must notify the CCDDB of all board meetings, meet in session open to the CCDDB, with the exception of sessions closed in conformity with the Open Meetings Act, and provide CCDDB with copies of minutes of all open meetings of the governing board. A request for waiver or modification of the requirement to provide copies of all minutes may be made and considered as part of an individual contract negotiation.
6. Fiscal Requirements
- The organization shall be managed in a manner consistent with sound fiscal standards and shall maintain written policies and procedures regarding its fiscal activities, including but not limited to payroll, purchasing, cash management, relevant fee schedules, contracts, and risk management. The funded agency should choose methods appropriate to the size of the organization and the scale of operations Funded agencies will be expected to meet the standards specified in the contract, and failure to do so may be cause for suspension of payment or termination of the contract. In addition, an agency not in compliance with financial management standards shall not be eligible for CCDDB or CCMHB funding for three years; eligibility may be reestablished after that period by demonstrating that the compliance issue has been corrected and no others exist.
- An approved provider plan indicating projected levels of expenses and revenues is required for each CCDDB funded program.
- The salaries and position titles of staff charged to CCDDB funded programs must be delineated in a personnel form incorporated into the contract. Employees whose salaries are charged in whole or in part to a CCDDB contract are required to maintain personnel activity reports in order to account for all compensated time spent on other activities.
- CCDDB funds are restricted for use in the program(s) described in the contract(s) concerning obligation of funding. CCDDB funds in excess of actual reimbursable expenses by the program are subject to recovery upon completion of an independent audit, financial review, or compilation, as required (per Audit and Financial Accountability Requirements, below).
- Organizations will establish and maintain an accrual accounting system in accordance with generally accepted accounting principles to include a level of documentation, classification of entries, and audit trails.
- All accounting entries must be supported by appropriate source documents.
- Amounts charged to CCDDB funded cost centers for personnel services must be based on documented payrolls. Payrolls must be supported by time and attendance records for individual employees.
- The organization shall have accounting structures that provide accurate and complete information about all financial transactions related to each separate CCDDB contract.
- Contract expenditure records must tie back to cost categories indicated in the final contract budget, including indirect cost charged to the contract. Actual expenditures will be compared with budgeted amounts.
- Financial records must be supported by source documentation such as cancelled checks, invoices, contracts, travel reports and personnel activity reports. The same costs shall not be claimed and reported for more than one CCDDB contract or programs funded by other funding sources.
- Financial records shall be maintained on a current month basis and balanced monthly.
- Costs may be incurred only within the term of the contract, and all obligations must be closed out no later than thirty (30) days following the contract ending date.
- All fiscal records shall be maintained for five (5) years after the end of the contract term.
- The CCDDB may establish additional accounting requirements for a funded program or agency. An agency may be required to engage the services of an independent audit firm during the term of the contract in order to implement adequate financial management systems for full compliance.
f. CCDDB funds may only be used for expenses that are reasonable, necessary, and related to the provision of services as specified in the contract. All allowable expenses that can be identified to a specific CCDDB funded program should be charged to that program on a direct basis. Allowable reimbursable expenses not directly identified to a CCDDB funded program must be allocated to all programs, both funded and non-funded.
g. The following expenses are non-allowable:
- Bad debts;
- Contingency reserve fund contributions;
- Contributions and donations;
- Compensation for board members;
- Fines and penalties;
- Interest expense;
- Sales tax;
- Purchase of alcohol;
- Employee travel expenses in excess of IRS guidelines;
- Lobbying costs;
- Depreciation costs;
- Rental income received must be used to reduce the reimbursable expense by CCDDB funds for the item rented;
- Capital expenditures greater than $500, unless funds are specified for such purpose;
- Supplanting funding from another revenue stream. The CCDDB may delay allocation decisions when anticipated funds from other sources may be influenced by their decisions;
- Supplementation of state or federal funds and/or payments subject to the coordination of benefits;
- Expenses or items not otherwise approved through the budget or budget amendment process;
- Expenses incurred outside the term of the contract;
- Contributions to any political candidate or party or to another charitable purpose;
- Excessive administrative costs including:
- Any indirect administrative cost rate in excess of 20% (subject to review by the CCDDB) of the non-administrative portion of the budget, unless approved by the CCDDB;
- Any indirect administrative costs that exceed those approved in the program/service budget;
- Any indirect administrative costs for which an organization’s cost allocation plan has not been submitted and deemed acceptable to the CCDDB.
h. Funded agencies shall provide safeguards for all funds provided through CCDDB contracts to assure they are used solely for authorized purposes. Further, control will be enhanced if the duties of agency staff are divided so no one person handles all aspects of a transaction from start to finish. Although complete separation of functions may not be feasible for a small agency, a measure of effective control may be achieved by planning staff assignment of duties carefully. Some examples of techniques for improving internal controls are:
- Cash receipts should be recorded immediately and deposited daily. Deposits should be reconciled by a second party.
- All bank accounts should be reconciled on a monthly basis by someone other than the person who signs the checks.
- Checks to vendors should be issued only for payment of approved invoices, and supporting documents should also be recorded. The staff member responsible for issuing check payments should not have signing authority.
- The staff person responsible for the physical custody of an asset should not have responsibility for keeping records related to that asset.
ALLOCATION AND DECISION PROCESS
- All CCDDB allocation and contracting decisions are made in meetings open to the public. Allocation decisions will be based on statutory mandates, priorities and defined criteria related to the findings of various needs assessment activities sponsored by the CCDDB. To the extent possible, final decisions will be predicated on how well an application matches up with the statutory mandates, priorities, and criteria.
- The CCDDB application for funding process shall include the following steps:
- Public notification of the availability of funding shall be issued via the News Gazette during the month of December. This announcement will provide information necessary for an organization to submit an application for funding and how to access application materials.
- Funding priorities and criteria will be approved no later than the December Board meeting.
- All potential applicants must register with the CCDDB. Information on the registration process will be provided by the CCDDB upon request. Access to application forms and instructions follows completion of the registration process.
- Technical assistance by Board staff may be requested at any time prior to the due date of the application, with the caveat that availability may be limited in the final week.
- Completed application(s) will be due in the month of February on a date specified in the public notice. The CCDDB may extend the deadline due to extenuating circumstances by posting notice of the extended deadline to the CCDDB online application system.
- Access to application(s) will be provided to member(s) of the CCDDB upon a member(s) request and in a medium preferred by the member.
- The CCDDB may require some or all applicants to be present at an April or May Board meeting to answer questions about their application(s).
- Staff will complete a program level summary of each agency application, for review and discussion by the CCDDB at the April Board meeting. Program summaries will include fiscal and service data, population served, and expected outcomes in relation to the funding priorities and criteria and goals of the Board. In addition, a decision support “match-up” process comparing the application to established and contemporaneous CCDDB criteria will be provided.
- Staff will complete preliminary funding recommendations for CCDDB review and discussion at the May Board meeting. The recommendations will be presented in the form of a decision memorandum. The CCDDB shall review, discuss, and come to a decision concerning authorization of funding and a spending plan for the contract year.
- Once authorized by the CCDDB, staff will implement the spending plan and initiate the contracting process. Within the context of the final recommendations, staff are authorized to negotiate and complete the contracts. Execution of the contracts requires the signatures of the respective Executive Directors, agency Board President, and the CCDDB President. The contract period is July 1 through June 30. Contracts may be for one or two years. Types of programs eligible for a multi-year contract period shall be defined by the CCDDB as part of the funding priorities and criteria.
- Allocation decisions of the CCDDB are final and not subject to reconsideration.
- The CCDDB does not consider out-of-cycle funding requests or proposals.