Section 230.5  Definitions

 

For the purposes of this Part, the following terms have the meanings ascribed in this Section:

 

"A-95 clearinghouse" means an agency designated in accordance with U.S. Office of Management and Budget (OMB) Circular A-95, Revised, and by an executive order of the Governor of the State of Illinois for the purpose of providing State and local officials with a mechanism through which they can have input into proposed federal and federally assisted programs and projects.

 

"Administration on Aging" means the agency created by the Older Americans Act of 1965 that is responsible for advancing concerns and interests of older people and their caregivers. The Administration on Aging is part of the Department of Health and Human Services and is headed by the Assistant Secretary for Aging.

 

"Area Agency on Aging", "area agency" or "AAA" means the agency designated pursuant to the Older Americans Act by the Department in a planning and service area to develop and administer the area plan for a comprehensive and coordinated system of services for older persons.

 

"Area plan" means the document submitted, pursuant to the Older Americans Act, by an Area Agency on Aging to the Department in order to receive federal subgrants or contracts from the Department. The area plan contains all required provisions and commitments that the area agency will administer funded activities in accordance with all applicable federal and State requirements. The area plan also contains a detailed statement of the manner in which the area agency is developing a comprehensive and coordinated system throughout the planning and service area for all services authorized by this Part, which are provided by other entities within the planning and service area.

 

"Assistant Secretary for Aging" or "Assistant Secretary" means the designated head of the Administration on Aging.

 

"CFR" means Code of Federal Regulations.

 

"Comprehensive and coordinated system" means a program of interrelated social and nutrition services designed to meet the needs of older persons in a planning and service area.

 

"Department" means the Illinois Department on Aging.

 

"Food boxes" means a container of food that include a mix of fresh, frozen, and/or shelf stable foods along with dietitian-approved recipes utilizing the contained ingredients.

 

"Grab and go meal" means a prepackaged meal provided at a multipurpose senior center or another location designated by the Area Agency on Aging that meets Dietary Reference Intakes (DRI) requirements and serves as a complement to the congregate meal program. Grab and go meals can be provided at the discretion of the Area Agency on Aging.

 

"Greatest economic need" means the need resulting from an income level at or below the poverty threshold established by the Bureau of the Census.

 

"Greatest social need" means the need caused by noneconomic factors that restrict an individual's ability to perform normal daily tasks or that threaten their capacity to live independently. These factors include physical or mental disability, language barriers, and cultural or social isolation caused by, among other things, racial and ethnic status, sexual orientation, gender identity, gender expression, or HIV status.

 

"Informed consent" means approval given by an individual, or the legal representative of an individual, for a specific activity after having been apprised relative to the proposed activity, the reason for the activity and the expected outcome of the activity including proposed uses of any derived information and subsequent activities.

 

"Means test" means a measurement of available financial resources to a prescribed standard of need to determine eligibility and level of payment to be made for services provided.

 

"Multipurpose senior center" means a community or neighborhood facility for the organization and provision of a broad spectrum of services including health, social, nutritional, and educational services and the provision of facilities for recreational and group activities for older persons.

 

"Older Americans Act" means the Older Americans Act of 1965 (42 U.S.C. 3001).

 

"Planning and service area" means a geographic area of the State designated pursuant to the Older Americans Act for purposes of planning, development, delivery and overall administration of services under an approved area plan.

 

"Service provider" means an entity that is awarded a grant, subgrant, or contract to provide services under the area plan.

 

"State Plan" means the document submitted by the State to the Assistant Secretary on Aging in order to receive grants from the State's allotments under Title III of the Older Americans Act. (42 U.S.C. 3001)

 

"Unit of general purpose local government" means a political subdivision of the State whose authority is general and not limited to only one function or a combination of related functions or a Native American tribal organization.

 

(Source:  Added at 49 Ill. Reg. 1984, effective February 4, 2025)

 

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)

 

Section 230.50  Incorporation By Reference

 

Materials of an agency of the United States or of a nationally or State recognized organization or association incorporated by reference in this Part do not include any later editions or amendments beyond the date specified.

 

(Source:  Added at 49 Ill. Reg. 1984, effective February 4, 2025)

 

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).

 

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 Part 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)         Legal Assistance

 

1)         The Area Agency on Aging shall award social services funds under this Part for legal assistance to older persons with the greatest economic or social needs. 

 

A)        The purpose of awards under this subsection (b) is to increase the availability of legal assistance 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 assistance already being provided to older persons in the planning and service area.

 

B)        "Legal assistance" means legal advice, representation, or both 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 assistance 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 one or more legal assistance providers that most fully meet the following standards.  The legal services providers shall:

 

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

 

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

 

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

 

D)        Demonstrate the capacity to effectively deliver legal assistance to institutionalized, isolated, and homebound individuals;

 

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

 

F)         Demonstrate the capacity to provide legal assistance in a cost effective manner; and

 

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

 

4)         Each legal assistance provider shall:

 

A)        Make efforts to involve the private bar in legal assistance 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 legal assistance provider engages in any outside practice of law if the director of the legal assistance provider has determined that the practice is inconsistent with the attorney's full time responsibilities;

 

C)        Ensure that no attorney engaging in legal assistance activities supported under the Older American Act engages in political activity;

 

D)        Ensure that no legal assistance provider, employee, or staff attorney engage in the following prohibited political activity:

 

i)          Contributing or making available Older Americans Act funds, personnel or equipment to any political party or association or to the campaign of any candidate for public or party office; or for use in advocating or opposing any ballot measure, initiative, or referendum; and

 

ii)         Intentionally identifying the Older Americans Act program or legal assistance provider with any partisan or nonpartisan political activity, or with the campaign of any candidate for public or party office;

 

E)        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;

 

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

 

G)        Ensure that legal assistance is not provided in fee generating cases, as defined in 45 CFR 1321.93(f)(3)(i)(A), (2020), unless adequate representation is unavailable from private attorneys;

 

H)        Ensure that no funds made available under the Act are used for lobbying activities, including but not limited to any activities intended to influence any decision or activity by any nonjudicial federal, State or local individual or body. Nothing in this section is intended to prohibit an employee from:

 

i)          Communicating with a governmental agency for the purpose of obtaining information, clarification, or interpretation of the agency's rules, regulations, practices, or policies;

 

ii)         Informing a client about a new or proposed statute, executive order, or administrative regulation;

 

iii)        Responding to an individual client's request for advice only with respect to the client's own communications to officials unless otherwise prohibited by the Older Americans Act, title III regulations or other applicable law. This provision does not authorize publication of lobbying materials or training of clients on lobbying techniques or the composition of a communication for the client's use;

 

iv)        Making direct contact with the area agency for any purpose;

 

v)         Providing a client with administrative representation in adjudicatory or rulemaking proceedings or negotiations, directly affecting that client's legal rights in a particular case, claim or application;

 

vi)        Communicating with an elected official for the sole purpose of bringing a client's legal problem to the attention of that official; or

 

vii)       Responding to the request of a public official or body for testimony, legal advice or other statements on legislation or other issues related to aging, provided that no such action will be taken without first obtaining the written approval of the responsible area agency.

 

I)         Ensure that, while providing legal assistance, no employee and no staff attorney of the legal assistance provider engages in or encourages, directs, or coerces others to engage in demonstrations, picketing, boycotts, or strike, except as permitted by law in connection with the employee's own employment situation, or, at any time, engage in or encourage others to engage in any illegal activities or any intentional identification of programs funded under the Older Americans Act or recipient with any political activity.

 

5)         Each legal assistance 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 assistance 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 (42 U.S.C. 2996).  In carrying out this requirement, legal assistance 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 assistance 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 assistance 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 assistance 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 assistance 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.

 

c)         Information and Assistance 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 information and assistance services provider shall provide information and referral services in the language spoken by the older person.

 

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

 

2)         An information and assistance services provider 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 assistance services provider may disclose information by name about an older person only with the informed consent of the older person or their authorized representative.

 

d)         Transportation Services

The Area Agency on Aging may enter into transportation agreements with entities that 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 that the Area Agency on Aging may delegate to another entity the authority to award or administer those funds.

 

e)         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 (RN) who provides services within the scope of a RN's practice under the Nurse Practice Act [ 225 ILCS 65].

 

C)        A physical therapist licensed in accordance with the Illinois Physical Therapy Act [225 ILCS 90].

 

D)        A speech therapist licensed in accordance with the Illinois Speech-Language Pathology and Audiology Practice Act [225 ILCS 110].

 

E)        An occupational therapist licensed in accordance with the Illinois Occupational Therapy Practice Act [225 ILCS 75].

 

2)         Home health services that may be provided are:

 

A)        Skilled nursing;

 

B)        Home health aide services;

 

C)        Speech therapy;

 

D)        Physical therapy; and/or

 

E)        Occupational therapy.

 

3)         Home health agencies may provide covered services that 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 for 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 the supplement is in excess of the established Medicare rate.

 

f)         Chore and Housekeeping Services

Chore and housekeeping services authorized under an approved area plan shall provide assistance to persons having difficulty with one or more instrumental activities of daily living (e.g., household tasks, personal care, or yard work) under the supervision of the client or other responsible person. One unit of service is equal to one hour of chore and housekeeping services. A partial hour may be reported to two decimal places, e.g., 0.25 hours. Service activities may include:

 

1)         Assisting with the uncapping of medication containers and providing water;

 

2)         Preparing supplies for the monitoring of non-medical personal care tasks such as shaving, hair shampooing and combing, assistance with sponge bath, assisting with tub bath only when clients are able to enter and exit tub themselves, dressing, brushing and cleaning teeth and/or dentures under specific direction of client or responsible individual;

 

3)         Housekeeping tasks (cleaning, laundry, shopping, simple repairs, meal preparation, seasonal tasks); and

 

4)         Escorting or arranging for transportation (to medical facilities, errands and shopping, miscellaneous family/individual business).

 

g)         Case Management Services

The Department 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 through 675 and 89 Ill. Adm. Code 230 Subpart G.

 

h)         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 42 U.S.C. 3030d(a) (2020), such as:

 

A)        continuing education;

 

B)        health and health screening;

 

C)        program development and coordination activities;

 

D)        individual needs assessment and service management;

 

E)        casework;

 

F)         counseling and assistance (concerning taxes, financial problems, welfare, the use of facilities and services, pre-retirement or second career);

 

G)        day care;

 

H)        protective services;

 

I)         nutrition education;

 

J)         services designed for the unique needs of the disabled;

 

K)        emergency services including disaster relief services;

 

L)        residential repair and renovation;

 

M)       physical fitness and recreation services; and

 

N)        assistance in obtaining adequate housing;

 

3)         Services provided in the home, such as:

 

A)        preinstitutional evaluations;

 

B)        casework;

 

C)        counseling;

 

D)        chore maintenance;

 

E)        visiting;

 

F)         shopping;

 

G)        reading printed material;

 

H)        letter writing;

 

I)         telephone reassurance; and

 

J)         nutrition education;

 

4)         Services provided to residents of care providing facilities, such as:

 

A)        casework;

 

B)        counseling;

 

C)        placement and relocation assistance;

 

D)        group services; and

 

E)        complaint and grievance resolution and visiting;

 

5)         Care providing facilities include long-term care facilities as defined in the Older Americans Act (42 U.S.C. 3002(35) (2020)), emergency shelters, and other congregate living arrangements.  

 

(Source:  Amended at 49 Ill. Reg. 1984, effective February 4, 2025)

 

Section 230.255  Nutrition Services

 

a)         Congregate Meals and Home Delivered Meals are the two types of nutrition services that may be funded by the Department or the AAA under Title III-C of the Older Americans Act. All AAAs are required to fund both types of nutrition services. Nutrition services and the units of service are defined and determined by the U.S. Department of Health and Human Services, Administration for Community Living.

 

1)         Congregate Meals

 

A)        A congregate meal is defined as a meal provided by a qualified nutrition services provider to a qualified individual in a congregate or group setting. The meal is served in a program that is administered by the Department or an AAA and meets all the requirements of the Older Americans Act and State and local laws and ordinances. Meals provided to an individual through means-tested programs may be included.

 

B)        Under the Congregate Meal Program, an AAA may provide grab go meals and/or food boxes as determined by local community needs. Grab and go meals and/or food boxes are intended to serve as a complement to the AAAs congregate meal program and cannot exceed 25% of the funds expended by the AAA under Title III part C-1 of the Older Americans Act. The Department and the AAAs must request approval for the provision of grab and go meals and/or food boxes when submitting the State Plan and area plan for approval. 

 

i)          Grab and go meals are served in a program that is administered by the Department or an AAA and meets all the requirements of the Older Americans Act, State and local laws and ordinances. Meals provided to an individual through means' tested programs may be included.

 

ii)         Food boxes will be funded using State GRF Home Delivered Meal monies and/or federal funds.

 

C)        Units of Services

 

i)          For congregate meals including grab and go meal, one unit of service is equal to one meal.

 

ii)         For food boxes, the number of ingredients contained in the box per dietitian evaluation and the recipes provided equals the number of meals.

 

2)         Home-Delivered Meals

 

A)        A home-delivered meal is defined as a meal provided to a qualified individual in their place of residence. The meal is served in a program that is administered by the Department or an Area Agency on Aging and meets all the requirements of the Older Americans Act and State and local laws and ordinances. Meals provided to an individual through means-tested programs may be included.

 

B)        One unit of service is equal to one meal.

 

3)         Nutrition Counseling

 

A)        Nutrition counseling is a standardized service as defined by the Academy of Nutrition & Dietetics that provides individualized guidance to individuals who are at nutritional risk because of their health or nutrition history, dietary intake, chronic illness, or medication use, or to their caregivers. Counseling is provided one-on-one by a Registered Dietitian Nutritionist licensed under the Dietitian Nutritionist Practice Act [225 ILCS 30] and addresses the options and methods for improving nutrition status with a measurable goal.

 

B)        One unit of service is equal to one hour of nutrition counseling. A partial hour may be reported to two decimal places, e.g., 0.25 hours.

 

b)         The AAA may award funds to provide nutrition services to older individuals.

 

1)         The AAA shall assess the level of need for congregate, home-delivered, grab and go meals, and food boxes within the planning and service area. Additionally, the AAA shall assess the diversity of its planning and service area to ensure its contracted providers have the capacity to provide culturally appropriate meals based on the population.

 

2)         The AAA shall give primary consideration to congregate meal. However, the AAA may award funds to an organization that provides home-delivered meals.

 

3)         When awarding funds to provide home-delivered meals, consideration shall be given, where feasible, to organizations that have demonstrated an ability to provide home-delivered meals efficiently, have provided assurances of efforts to solicit voluntary support, and will not use funds made available under Title III-C of the Older Americans Act to supplant funds from non-federal sources.

 

4)         When awarding funds, the nutrition services provider shall meet the requirements of this Section and demonstrate it has carried out its nutrition services activities with effectiveness.

 

5)         Except as provided in 45 CFR 75, Subpart D (2020) and 2 CFR 200, Subpart D (2020), the AAA shall not discontinue funding to a nutrition services provider unless the nutrition services provider has been given an opportunity for an appeal to the AAA and/or Department, in accordance with the provisions in Subpart E of this Title.

 

c)         Requirements for Participant Eligibility

 

1)         The following individuals are eligible to participate in a congregate-meal program:

 

A)        An individual who is age 60 or older; and

 

B)        The spouse, regardless of age, of an individual who is age 60 or older participating in a congregate-meal program; and

 

C)        An individual who is not 60 or older, but has a disability as defined in the Older Americans Act, 42 U.S.C. 3002 (2020) and:

 

i)          resides in a housing facility primarily occupied by the older individuals at which congregate meals are provided; or

 

ii)         resides at home with an older individual who is eligible to participate in a congregate meal program.

 

2)         The following individuals are eligible to participate in a home-delivered meal program:

 

A)        An individual who is age 60 or older. Consideration shall be given to the individual's ability to leave home unassisted, ability to shop for and prepare nutritious meals, degree of disability, or other relevant factors pertaining to the individual's need for the service, including social and economic need; and

 

B)        The spouse of an individual participating in the home-delivered meal program, 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 frail and/or homebound older individual.

 

d)         Requirements for All Nutrition Services Providers

 

1)         A nutrition services provider shall have procedures for obtaining participants' opinions regarding the services they receive and for involving participants in the planning of nutrition services and other programs provided for their benefit.

 

2)         A nutrition services provider shall utilize the expertise of a licensed dietitian nutritionist licensed under the Dietitian Nutritionist Practice Act [225 ILCS 30]. A licensed dietitian nutritionist shall certify and sign that each meal meets the State and local requirements and the requirements of the Older Americans Act for congregate and home-delivered meals.

 

3)         A nutrition services provider shall have available for use upon request appropriate food containers and utensils for persons with disabilities.

 

4)         A nutrition services provider shall assist participants in applying for benefits available to them under the Illinois Link (SNAP) food program. A nutrition services provider shall coordinate its activities with entities responsible for administering the Illinois Link (SNAP) program to facilitate participation of eligible older individuals in the program.

 

5)         A nutrition services provider or other entity shall conduct a nutrition screening for each participant on at least an annual basis or sooner if a participant is screened at high nutritional risk.

 

A)        The nutrition screening shall be on a form provided by the Department, which shall include the "DETERMINE Your Nutritional Health" questions developed by the Nutrition Screening Initiative.

 

B)        If a screening indicates the participant is at high nutritional risk, a nutrition services provider should identify an action to take and document the action taken.

 

C)        At minimum, the nutrition services provider or other entity should:

 

i)          Inform the participant of the high nutritional risk;

 

ii)         Recommend the participant contact a physician or other appropriate professional; and

 

iii)        Document that these steps were taken by checking the appropriate box(es) on the registration or intake form.

 

D)        Some other examples of actions to take include, but are not limited to:

 

i)          Making a referral or recommendation, based on the need identified, to meet with a licensed dietitian nutritionist, physician, or social services professional;

 

ii)         Providing the participant with nutrition education; and/or

 

iii)        Providing a list of appropriate resources that are available to help reduce the participant's nutritional risk, including information on the SNAP program.

 

6)         A nutrition services provider shall provide nutrition education on at least a semiannual basis to participants. If feasible, the Department recommends that nutrition education be provided quarterly or more frequently.

 

A)        Nutrition education activities are designed to:

 

i)          Assist older individuals in obtaining the best nutritional services available within their resources;

 

ii)         Aide older individuals in making sound food choices consistent with the most recent Dietary Guidelines for Americans, and in obtaining the best food to meet their nutritional needs;

 

iii)        Increase awareness of community-sponsored health programs that encourage and promote sound nutritional habits and good health;

 

iv)        Assist older individuals, where feasible, in the area of therapeutic diets as required by health or social condition; and

 

v)         Provide available medical information approved by health care professionals, such as informational brochures and information on how to get vaccines, including vaccines for influenza, pneumonia, and shingles, in the individuals' communities.

 

B)        The Department recommends nutrition services providers coordinate with community resources in the provision of nutrition education services.

 

e)         Requirements for Nutrition Services Providers of Congregate Meals

 

1)         A nutrition services provider shall serve hot or other appropriate meals (e.g., cold meals) in a congregate setting at least once a day, five or more days a week (except in a rural area where such frequency is not feasible, and a lesser frequency is approved by the Department).

 

2)         A nutrition services provider shall locate congregate meal nutrition services as close as possible, where feasible and appropriate, within walking distance of the majority of eligible older persons.

 

3)         A nutrition services provider shall establish outreach activities that assure the maximum number of eligible individuals have an opportunity to participate.

 

4)         A nutrition services provider shall coordinate with other appropriate services in the community.

 

5)         If operated by special interest groups (e.g., churches, social organizations, homes for the elderly, senior housing developments, etc.), a nutrition services provider shall not limit participation to their own membership or otherwise show preferential treatment for such membership.

 

f)         Requirements for Nutrition Services Providers of Home-Delivered Meals

 

1)         A nutrition services provider shall assess the need for home-delivered meals in their assigned geographic area.

 

2)         A nutrition services provider shall deliver home-delivered meals at least once a day, five or more days a week (except in a rural area where such frequency is not feasible, and a lesser frequency is approved by the Department). Home-delivered meals may be hot, cold, frozen, dried, canned or supplemental foods with a satisfactory storage life.

 

3)         With the consent of the participant, or their representative, a nutrition services provider shall bring to the attention of appropriate entities for follow-up, conditions or circumstances that place the participant or the household in imminent danger.

 

4)         Where feasible and appropriate, a nutrition services provider shall arrange for the availability of meals to older persons in weather-related emergencies.

 

5)         A nutrition services provider or other entity must complete an assessment of each person requesting home-delivered meals to determine the individual's need for service.

 

A)        The assessment shall be on a form provided by the Department, which shall include the "DETERMINE Your Nutritional Health" questions developed by the Nutrition Screening Initiative.

 

B)        A nutrition services provider shall complete a periodic reassessment of each participant at least annually or sooner if circumstances change.

 

C)        A nutrition services provider shall assess all participants receiving cold and frozen meals to ensure they have the proper equipment (e.g., freezer, oven, microwave, and refrigerator) and physical and cognitive skills to store and re-heat the meals.

 

i)          A person eligible to receive home-delivered meals should not be denied services based on the individual's inability to safely store and prepare a frozen meal.

 

ii)         In rural areas or when the nutrition services provider only has the capacity to provide frozen meals, and the individual is unable to safely store and prepare frozen meals, the nutrition services provider shall make a referral to the Care Coordination Unit, Managed Care Organization, or other community services as appropriate to receive assistance with meals (e.g., in-home services or adult day services).

 

g)         Requirements for Meals

 

1)         Meals provided through the nutrition program shall comply with the most recent Dietary Guidelines for Americans and provide each participant a percentage of the Dietary Reference Intakes (DRI) as established by the Food and Nutrition Board of the Institute of Medicine of the National Academy of Sciences.

 

2)         If the participant is offered one meal per day, the meal shall provide a minimum of 33⅓ % of the DRI.

 

3)         If the participant is offered two meals per day, the meals shall provide a minimum of 66⅔ % of the DRI.

 

4)         If the participant is offered three meals per day, the meals shall provide 100% of the DRI.

 

h)         Requirements for Meal Planning, Food Purchasing, and Meal Preparation

 

1)         A nutrition services provider shall ensure that menus are approved and signed by a licensed dietitian nutritionist.

 

A)        Menus may be approved by completing a nutritional analysis or by using the meal pattern developed by the Dietary Guidelines for Americans.

 

B)        If a nutritional analysis is used, a copy of the nutrition breakdown of analysis must be maintained with the menu and the nutritional analysis menu approval sheet signed by the licensed dietitian nutritionist.

 

C)        If the meal pattern is used, portion sizes that align with the meal-pattern menu approval sheet signed by the licensed dietitian nutritionist shall be documented on the menu.

 

2)         A nutrition services provider shall follow appropriate procedures to preserve the nutritional value and safety of the food that is purchased, prepared, and provided to participants.

 

3)         A nutrition services provider shall comply with all State and local health laws and ordinances concerning preparation, handling, and serving of food. Site managers shall have certified food safety manager certification. Food service workers and volunteers shall have food handler training.

 

4)         If feasible, a nutrition services provider shall develop special menus to meet the particular dietary needs arising from the health requirements, religious requirements, or ethnic backgrounds of participants. If not feasible for the nutrition services provider to accommodate a client's particular dietary needs, the nutrition services provider shall make a referral to the Care Coordination Unit, Managed Care Organization, or other community services as appropriate to receive assistance with meals (e.g., in-home services or adult day services).

 

5)         A nutrition services provider shall keep on file, for at least three years, menus and the menu-approval sheets signed by the licensed dietitian nutritionist. Any changes shall be noted in writing.

 

6)         If feasible, a nutrition services provider shall offer more than one meal option at least once per week, which allows participants choice in meeting their dietary needs and food preferences.

 

7)         A nutrition services provider shall inquire into the reasons why a participant is declining menu items or consistently refusing menu items.

 

8)         A nutrition services provider shall assist participants to assure that adequate nutrition intake is maintained (e.g., providing smaller serving portions, substitutions when feasible, or serving the participant first).

 

i)          Requirements for Food Service

 

1)         If a nutrition services provider receives a complaint or report of symptoms of food borne illness, the nutrition services provider shall notify the local health department immediately to initiate an investigation and notify the Area Agency on Aging within 24 hours of the start of the investigation.

 

2)         In the event of a reported food borne illness, the Area Agency on Aging shall notify the Department on Aging within three working days.

 

3)         A nutrition services provider shall train new food service staff in fire and safety regulations during the orientation, and at a minimum, once a year thereafter.

 

4)         A nutrition services provider shall conduct in-service food safety training for all paid food service staff on an annual basis. Staff shall complete training recommended by the Department.

 

5)         A nutrition services provider shall document in writing the daily temperature records of hot and cold foods and keep the documentation on file at the site where the food was prepared. A nutrition services provider shall make the documentation available for review by a consulting licensed dietitian nutritionist or staff from the Department or Area Agency on Aging.

 

6)         For congregate meals, a nutrition services provider shall check and document the temperature of the food daily at the time the food leaves the production areas, upon arrival if the food is prepared off site, and at the time of service.

 

7)         For home-delivered meals, a nutrition services provider shall check and document the temperature of the food daily, both at the end of production and at the time of packaging. At least twice a month, the temperature shall be checked and documented at the end of the delivery route requiring the longest delivery time.

 

8)         A nutrition services provider is prohibited from reusing leftovers from hot, cold, or frozen home-delivered meals that are unused (e.g., a participant was not home to receive the meal and it was brought back to the site) as a future frozen home-delivered meal. Such meals shall be discarded. This prohibition does not apply to meals that have been kept in a temperature-controlled environment.

 

9)         A nutrition services provider shall advise participants receiving home-delivered meals that hot meals should be consumed immediately after delivery or ensure that instructions for proper heating, storage, and handling of meals are given to the participant.

 

10)       A nutrition services provider shall give instructions to participants when utilizing frozen meals regarding safe meal storage and preparation. These instructions shall be provided at the time of the participant's assessment, reassessment, and periodically as appropriate.

 

11)       A nutrition services provider shall not leave a meal at a participant's home when there is no one available to receive the meal. A nutrition services provider shall have guidelines for home-delivered meal drivers to notify staff when someone is not home. These guidelines enable the nutrition services provider to follow up with these participants.

 

12)       A nutrition services provider shall inspect delivery vehicles weekly. If necessary, the vehicles shall be cleaned or sanitized (e.g., spilled milk or food) to ensure that the interiors of the vehicles are clean and maintained for sanitary purposes.

 

j)          Requirements for Emergency and Disaster Plans

 

1)         A nutrition services provider shall have written plans that address pandemics, emergencies, and disasters. Such plans may be developed in collaboration with an AAA. Such plans shall provide for three emergency shelf-stable meals to both congregate and home-delivered meal participants.

 

2)         A nutrition services provider shall ensure staff and volunteers are familiar with the plans.

 

3)         The plans shall address the following:

 

A)        Medical emergencies;

 

B)        Pandemic protocols, including the provision of personal protective equipment;

 

C)        Site evacuation in case of a fire or other disaster;

 

D)        Inclement weather plans;

 

E)        Site closure procedures that include communication processes;

 

F)         Alternative sites for providing meals;

 

G)        Storage of and coordination with meal providers for providing shelf-stable meals;

 

H)        Volunteer resources and contacts; and

 

I)         Emergency contacts.

 

4)         Congregate meal participants should be encouraged to keep an emergency supply of food and water at home for circumstances, such as inclement weather or a pandemic, which prevent travel to the congregate site.

 

5)         A nutrition services provider shall have written plans and supplies to ensure home-delivered meal participants receive meals during emergencies, weather-related conditions, pandemics, and natural disasters. These plans may be in collaboration with an AAA. For example, a nutrition services provider may plan for and maintain emergency shelf-stable meal packages, have arrangements with other community resources, or four-wheel drive vehicles.

 

6)         Emergency shelf-stable meals shall be planned for a minimum of three days, (preferably five days). If feasible, meals shall meet the Dietary Guidelines for Americans and provide ⅓ of the Dietary Reference Intakes, and menus shall be approved and signed by a licensed dietitian nutritionist as meeting the Dietary Guidelines for Americans. If feasible, meals shall meet specialized diet requirements.

 

7)         Emergency shelf-stable meal packages shall include menus with instructions on how to combine the foods to meet the meal requirements.

 

8)         Emergency shelf-stable meal packages shall be labeled with a use by or expiration date.

 

k)         Nutrition Services Incentive Program (NSIP)

 

1)         Nutrition services providers are eligible to receive cash assistance from the Administration on Aging in the form of a funding allocation for meals served through NSIP for seniors.

 

2)         Allocated funding may be claimed for meals that meet the most recent Dietary Guidelines for Americans, are:

 

A)        served to eligible participants;

 

B)        served by a nutrition services provider that has received a grant under Title III-C of the Older Americans Act; and

 

C)        provided with no set fee charged to the recipients.

 

3)         A nutrition services provider shall spend NSIP funds only to purchase food or United States Department of Agriculture approved food commodities.

 

4)         NSIP funds shall not be used to off-set program costs or as non-federal matching funds for any other program.

 

(Source:  Added at 49 Ill. Reg. 1984, effective February 4, 2025)

 

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.

 

Section 230.400  Purpose and Scope

 

The purpose of this Subpart E is to set forth grievance and appeal requirements for entities and individuals that administer, provide, and receive services, or applicants for those services, under an area plan funded by the Older Americans Act (42 USC 3001 et seq.). This Subpart does not apply to public hearings required under 42 USC 3025 and 3026 or the termination of a federal grant award or other adverse federal action taken pursuant to the provisions of 45 CFR 75, Subpart D, or 2 CFR 200, Subpart D.

 

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

 

Section 230.410  Grievances and Appeals to the Area Agency on Aging

 

a)         The Area Agency on Aging (AAA) shall have a grievance and appeal process that includes the following:

 

1)         Pursuant to 42 USC 3027(a)(5)(B), the AAA shall have written grievance procedures for an older individual who is dissatisfied with, or denied, services under an area plan; and

 

2)         Pursuant to 42 USC 3027(a)(5)(A), the AAA shall have written appeal procedures for a service provider whose application to provide services under an area plan is denied or whose subgrant or contract with the AAA under an area plan is suspended, terminated, or not renewed.

 

b)         Minimum requirements for all grievance and appeal procedures before the AAA include the following:

 

1)         An older individual or the individual's representative may make a complaint to the AAA in either oral or written form. The AAA shall document the oral complaints in writing;

 

2)         The AAA shall investigate the complaint and act to resolve the matter; and

 

3)         The AAA shall respond in writing within 30 calendar days after receipt of the complaint. The written response shall include:

 

A)        The date the complaint was received;

 

B)        The nature of the complaint or adverse action and relevant dates;

 

C)        All actions taken to resolve the complaint; and

 

D)        Notice of the right to appeal to the Department, if any.

 

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

 

Section 230.420  Grievances and Appeals to the Department

 

The Department will allow appeals by the following:

 

a)         An older individual or the individual's representative who is appealing the AAA's grievance response under Section 230.410(a)(1);

 

b)         A service provider whose application to provide services, under grants or contracts directly awarded by the Department, is denied or terminated;

 

c)         Any eligible applicant for designation as a planning and service area under 45 CFR 1321.29(a) (2019) whose application is denied;

 

d)         Any AAA when the Department proposes to:

 

1)         Disapprove the area plan or any amendment to the area plan that has been submitted to the Department by the AAA; or

 

2)         Reject the AAA's recommendation to designate a service provider.

 

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

 

Section 230.430  Request for Appeal to the Department

 

a)         Timing of the Appeal

 

1)         An older individual who is appealing the AAA's grievance response must submit an appeal within 60 calendar days after receiving the response.

 

2)         All other appeals must be submitted within 15 calendar days after notice of adverse action.

 

b)         All appeals to the Department shall be submitted to:

 

Office of General Counsel

Department on Aging

One Natural Resources Way

Springfield, Illinois 62702

 

c)         The request for appeal shall contain the following information:

 

1)         The name of the appellant, including email address, phone number, and mailing address;

 

2)         The name of the authorized representative, if applicable, including email address, phone number, and mailing address;

 

3)         A short statement of alleged facts that includes the adverse action and relevant dates; and

 

4)         A short statement identifying the relief sought, explaining the reasons relief should be granted, and citing the authority relied upon.

 

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

 

Section 230.440  Informal Review

 

The Office of General Counsel, with appropriate Department Staff, will review appeal requests and make recommendations to the Director.

 

a)         The Office of General Counsel may contact the appellant to discuss the appeal request and/or request additional information.

 

b)         Recommendations by the Office of General Counsel may include, but are not limited to:

 

1)         Dismissal, if, for example, the requirements under Sections 230.420 and 230.430 are not met;

 

2)         Reverse or amend the Area Agency on Aging's grievance or appeal decision resulting from the process outlined in Section 230.410; or

 

3)         Proceed to an administrative hearing pursuant to Section 230.450.

 

c)         Recommendations will be submitted to the Director within 60 days after receipt of the appeal request or receipt of the additional requested information, whichever is later.

 

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

 

Section 230.450  Administrative Hearing

 

a)         The Department will provide an opportunity for hearing, after the informal review process is completed, to the following:

 

1)         Any AAA, upon request, when the Department proposes to:

 

A)        Disapprove the area plan or any amendment to the area plan that has been submitted to the Department by the AAA; or

 

B)        Reject the AAA's recommendation to designate a service provider;

 

2)         A service provider, upon request, whose application to provide services, under grants or contracts awarded directly by the Department, is denied or terminated; and

 

3)         An older individual whose eligibility for services was terminated.

 

b)         The Department reserves the right to conduct administrative hearings for other appeal requests concerning the health, safety and welfare of older individuals.

 

c)         All hearings shall be conducted by an impartial Hearing Officer authorized by the Department Director to conduct the hearings.

 

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

 

Section 230.460  Status Conference

 

a)         The Hearing Officer may schedule status conferences to consider and decide issues that will aid in the disposition of the hearing.

 

b)         The Hearing Officer may consolidate matters in the interest of convenience whenever it can be done without prejudicing either party.

 

c)         The Hearing Officer may facilitate the exchange of discovery among the parties before the hearing.

 

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

 

Section 230.470  Conduct of the Hearing

 

a)         The hearing shall be conducted in accordance with Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100], unless otherwise specified in this Part.

 

b)         The hearing shall be recorded and made part of the case record.

 

c)         The hearing may be conducted by telephone or other electronic means.

 

d)         Continuances may be granted.

 

e)         The Hearing Officer shall recommend a decision on each issue to the Director.

 

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

 

Section 230.480  Dismissals and Withdrawals

 

a)         The appellant may withdraw the appeal at any time.

 

b)         If the appellant fails to cooperate with the Department during the informal review process or fails to attend the hearing, the appeal is considered abandoned and will be dismissed.

 

c)         Within 10 calendar days after the date of the dismissal notice, the appellant/authorized representative may submit a written request to reinstate the appeal. The dismissal will be vacated if good cause can be shown for the non-cooperation that led to the dismissal.

 

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

 

Section 230.490  Director's Decision

 

a)         The decision resulting from the appeal shall be made in writing no later than 60 calendar days after receiving the recommendation. The appellant/authorized representative and all other parties to the appeal shall be notified.

 

b)         A decision shall be issued by the Director upholding, modifying, or reversing the recommendation.

 

c)         The Director's decision resulting from the appeal shall be final and become part of the appeal record.

 

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

 

Section 230.495  Appeal Record

 

At any time within 5 years after the date of the release of the Director's decision, the appellant/authorized representative may review the appeal record. The appeal record, including documents presented at the proceedings, findings of fact, and findings of law, will be made available by the Department upon request. The Springfield office of the Department is the only location where the appeal record may be reviewed.

 

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

 

Section 230.510  Target Population

 

Services provided with Title III-D (In-Home Services for Frail Older Individuals, 42 U.S.C. 3341 et seq., 1987, as amended by P.L. 100-175, effective November 29, 1987) funding shall be targeted to frail older individuals. The term "frail" means having a physical or mental disability, including Alzheimer's disease or a related disorder with neurological or organic brain dysfunction, that restricts the ability of an individual to perform normal daily tasks (see 89 Ill. Adm. Code 240.715, "Need For Long Term Care") or which threatens the capacity of an individual to live independently (42 U.S.C. 3342, 1987, as amended by P.L. 100-175, effective November 29, 1987).

 

(Source:  Added at 13 Ill. Reg. 3054, effective March 1, 1989)

 

Section 230.520  Eligibility Criteria

 

The following eligibility criteria must be met in order to receive services provided through Title III-D:  

 

a)         individuals must be 60 years of age or older;

 

b)         special consideration shall be given to individuals in greatest economic need, with particular attention to low-income (at or below the poverty threshold defined in Section 230.45(b)) minority individuals (however, means testing may not be used for any service under this Subpart);

 

c)         the individual shall have a demonstrated need for the specified service, taking into consideration the ability of the individual to perform basic (e.g., eating, bathing, grooming, dressing, transfer (in/out of bed), inside home, toileting, bladder continence, and bowel continence) activities of daily living, instrumental (e.g., managing money, shopping, telephoning, preparing meals, laundry, housework, outside home, medication management, routine health, special health, and being alone) activities of daily living, and the availability and adequacy of support (i.e., informal and/or environmental) received from other sources in relation to the need for such services (refer to 89 Ill. Adm. Code 240.715, Need For Long Term Care).  The demonstration of need for the specified service will be defined by utilizing:  

 

1)         the Community Care Program Determination of Need point score, the basis for which is established in 89 Ill. Adm. Code 240.715; or

 

2)         an area agency on aging devised process for assessment of case management services for which the area agency on aging has received approval from the Department prior to its implementation.  An area agency's process shall be approved by the Department if it contains the following assurances:  

 

A)        a standardized initial intake tool shall be utilized in determining each applicant's need for case management services considering those factors specified in subsection (c) above;

 

B)        an in-home assessment must be conducted for all case management clients, utilizing the standardized assessment tool, to evaluate the functional, financial, and environmental conditions of the client and to identify service needs;

 

C)        an in-home reassessment of the client's condition and needs must be conducted at least annually, and when there is a significant change in a client's status or circumstances (e.g., hospitalization, loss of caregiver); and

 

D)        in the provision of case management services, all activities shall be carried out in a timely manner and as early as practical depending upon the client's particular situation.

 

(Source:  Added at 13 Ill. Reg. 3054, effective March 1, 1989)

 

Section 230.530  Eligibility Determination

 

a)         A face-to-face assessment shall be conducted by the designated Case Coordination Unit to determine an individual's eligibility and need for Title III-D service(s) in accordance with eligibility criteria specified in Section 230.520.

 

b)         A face-to-face reassessment of an active client's eligibility and need for Title III-D service(s) shall be conducted by the designated Case Coordination Unit no later than one year from the last completed assessment/reassessment, and/or when necessary to assure that the Title III-D service(s) in place is addressing the needs of the client who has had a change in condition.

 

(Source:  Added at 13 Ill. Reg. 3054, effective March 1, 1989)

 

Section 230.540  Allowable Services

 

The following services shall be provided through the Title III-D Program when an individual is determined eligible and funds are available:  

 

a)         Group A Services

 

1)         In-home respite care for families, and adult day care as a respite service for families; and

 

2)         minor modification of homes that is necessary to facilitate the ability of older individuals to remain at home and that is not available under other programs, except that not more than $150 per client per year may be expended under this subsection for such modification (42 U.S.C. 3342, 1987, as amended by P.L. 100-175, effective November 29, 1987).

 

b)         Group B Services

 

1)         Homemaker and home health aides;

 

2)         visiting and telephone reassurance; and

 

3)         chore maintenance (42 U.S.C. 3342, 1987, as amended by P.L. 100-175, effective November 29, 1987).

 

(Source:  Added at 13 Ill. Reg. 3054, effective March 1, 1989)

 

Section 230.550  Maintenance of Effort

 

Funds made available under this Subpart shall be in addition to, and may not be used to supplant any funds that are or would otherwise be expended under any Federal, State, or local law by a State or unit of general purpose local government (including area agencies on aging which have in their planning and service areas existing services which primarily serve older individuals who are victims of Alzheimer's disease and related disorders with neurological and organic brain dysfunction, and the families of such victims) (42 U.S.C. 3344, 1987, as amended by P.L. 100-175, effective November 29, 1987).

 

(Source:  Added at 13 Ill. Reg. 3054, effective March 1, 1989)

 

Section 230.560  Coordination of Services

 

In administering services under Title III-D, each area agency on aging shall establish and implement a documentable method to coordinate with other community agencies and voluntary organizations providing:  

 

a)         counseling and training for family caregivers and support service personnel in management of care;

 

b)         functional and needs assessment services;

 

c)         assistance with locating, arranging for, and coordinating services;

 

d)         case management; and

 

e)         counseling prior to admission to nursing home to prevent premature institutionalization.

 

(Source:  Added at 13 Ill. Reg. 3054, effective March 1, 1989)

 

Section 230.570  Distribution of Funds

 

The Intrastate Funding Formula provisions of Section 230.45 shall apply to the distribution of Title III-D funds.

 

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

 

Section 230.580  Area Agency on Aging Administration

 

Title III-D funds may not be used for the administration of the area plan approved in accordance with Section 230.130.

 

(Source:  Added at 13 Ill. Reg. 3054, effective March 1, 1989)

 

Section 230.610  General Requirements for Providers of Case Management Services

 

a)         An agency providing Title III case management services shall meet all Case Coordination Unit (CCU) Standards pursuant to 89 Ill. Adm. Code 220.600 et seq. upon completion of the procurement as specified in 89 Ill. Adm. Code 220.610.

 

b)         A CCU, designated as outlined in 89 Ill. Adm. Code 220.645, shall be funded by the Area Agency on Aging (AAA) for a specific geographic area through a contract or a grant with the AAA for Title III case management services.

 

c)         A designated CCU shall provide audits in accordance with Area Agency on Aging policies and procedures.

 

d)         A CCU shall permit access to case files by the Area Agency on Aging or its designee, the Department or its designee, and appropriate Federal agencies. The Department shall notify the AAA when access to Title III case management case files by the Department and/or appropriate Federal agencies is required.

 

e)         An individual AAA may establish additional requirements than those specified in 89 Ill. Adm. Code 220.600(e) through (k) relative to any contract/grant for case management services provided in its respective planning and service area.  Such additional requirements shall be specified in the particular AAA's Request for Proposal and shall bear no additional cost to the Department or to recipients of services.  AAA's shall arrange for funding of such additional requirements.

 

f)         Additional services, if required by a particular AAA to be provided through a case management contract/grant, shall be directly related to case management services as defined in 89 Ill. Adm. Code 220.600(b) (e.g., information and assistance, outreach) and shall be specified in the particular AAA's Request for Proposal.

 

(Source:  Amended at 26 Ill. Reg. 9662, effective July 1, 2002)

 

Section 230.620  Case Management Service Availability

 

Case management services shall be provided to older persons to the extent possible with available resources committed by each Area Agency on Aging within each respective planning and service area.

 

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

 

Section 230.630  Service Activities

 

Case Management service activities minimally include the following components:

 

a)         Case Finding Activities:  The identification of individuals for intake.

 

b)         Intake:  Through the administration of a defined intake process developed or approved by the Area Agency on Aging, an individual with potential case management needs, as defined below, shall be identified.

 

1)         An individual must be age 60 or older; and

 

2)         An individual must demonstrate a need which requires development of a coordinated case plan, follow-up, and/or advocacy; and/or

 

3)         An individual has multiple or complex problems which are often chronic in nature and which may affect the ability of that individual to live independently; and/or

 

4)         An individual has potential need for multiple services; and/or

 

5)         An individual has presented problems which are vague or ill-defined; and/or

 

6)         An individual has insufficient informal supports to care for his/her needs.

 

c)         Needs Assessment:  A face-to-face comprehensive assessment, preferably conducted in the home or place of residence of the client, must be conducted for each case management client utilizing a standardized tool, developed or approved by the Area Agency on Aging, to evaluate the conditions of the client and to identify goal oriented needs for services and/or problems needing resolution.

 

d)         Case Plan Development:  A written plan of care shall be prepared for each client utilizing appropriate and available formal and informal resources, using a standardized form developed or approved by the Area Agency on Aging. The case plan shall identify available services and problem solving efforts to meet the client's determined needs and to enable the client to live with maximum possible independence.  A copy of the case plan shall be given to the client and/or client's family and/or significant individual, and so documented in the client's file.

 

e)         Case Plan Implementation:  A referral of the applicant/client to an appropriate resource for service provision and/or problem resolution shall be made and documented in the applicant's/client's file.  If the referral is made to an informal network (family, friends, etc.), the service and/or problem-solving arrangement agreed to regarding duties and responsibilities shall be documented in the client's case plan.  The following activities shall be performed for each client, as appropriate and needed:

 

1)         Active intervention and advocacy on behalf of the client to access necessary services from community organizations and to resolve problems experienced by the client;

 

2)         Establishment of linkages with service providers for the prompt and effective delivery of services needed by the client, including submission of instructions for service delivery to the appropriate service providers;

 

3)         Encouragement of informal care given by individuals, family, friends, neighbors, and community organizations, so that publicly supported services supplement rather than supplant the roles and responsibilities of these natural support systems.

 

f)         Review and Evaluation of Client Status:

 

1)         Follow-up:  Periodic monitoring shall be conducted through telephone or face-to-face contact to ensure prompt and effective service delivery and response to changes in the client's needs and status.  All follow-up shall be documented in the client's file.

 

2)         Reassessment:  A face-to-face reassessment of the client's condition and needs must be conducted, preferably in the home of the client, no later than the 12^th month from the last completed (re)assessment, or more frequently as directed by change in the client's circumstance.

 

g)         Case Closure:  Case closure shall occur in the following instances.

 

1)         Death of the client;

 

2)         Relocation out of the CCU's geographic service area;

 

3)         Client cannot be located;

 

4)         Client is hospitalized, enters a group care facility, is institutionalized or is not available for services for more than ninety consecutive calendar days;

 

5)         Client is no longer in need of case management services because of changes in the client's condition or circumstances;

 

6)         Client refuses services;

 

7)         Client requests termination;

 

8)         Client refuses to cooperate in the provision of case management services.

 

h)         Transfer:  When a client moves from the CCU's geographic service area, the CCU shall, with the client's and/or client's family and/or significant individual's documented consent, refer the client to the CCU serving the area to which the client has moved.

 

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

 

Section 230.640  Records and Documentation

 

a)         A Case Coordination Unit (CCU) shall maintain individual client records in a central file. The case file for each client shall minimally include the following information:

 

1)         Intake Form(s);

 

2)         Comprehensive Needs Assessment;

 

3)         Case Plan;

 

4)         Record of referral(s) and request(s);

 

5)         Correspondence related to the case;

 

6)         Formal case notes, which include documentation of the follow-up and/or case closure;

 

b)         Case files shall be maintained in a manner that shall strictly maintain confidentiality of all information (refer to 89 Ill. Adm. Code 220.100 and subsection 230.610(d)).

 

c)         Upon change in CCU designation (specified in 89 Ill. Adm. Code 220), the CCU which has been de-designated shall transfer all specified records as prescribed by the Area Agency on Aging to the newly designated CCU.

 

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

 

Section 230.650  Case Coordination Unit Compliance During Contract/Grant Period

 

a)         Each Case Coordination Unit (CCU) receiving a contract/grant from an Area Agency on Aging (AAA) must comply with Federal, State and local laws, regulations and Department rules, policies and procedures.

 

b)         The AAA shall have the authority to conduct a review of a CCU agency at any time during the course of the CCU's contract/grant period for the purpose of protecting the health, safety and welfare of case management clients.

 

c)         The AAA shall conduct a review in accordance with procedures established by the particular AAA pursuant to 89 Ill. Adm. Code 220.660 to ensure statewide continuity.  Reviews shall be conducted no less frequently than one review during each funded period.

 

d)         Records of a review conducted by the AAA shall be maintained by the AAA and corrective action(s), if indicated, shall be taken in accordance with established AAA policy and as described in 89 Ill. Adm. Code 220.670 and 220.675.

 

(Source:  Amended at 22 Ill. Reg. 3454, effective February 1, 1998)