Current through Register Vol. 48, No. 12, March 22, 2024
a) To be designated as a Case Coordination
Unit (CCU) for a specific geographic area, as identified by the Area Agency on
Aging (AAA) in a specified planning and service area, an agency shall enter
into a contract or grant with the AAA to provide Title III (Older Americans Act
(
42 USC
3001 )) case management services pursuant to
89 Ill. Adm. Code 230 (Subpart G) and with the Department to provide Community
Care Program (CCP) case management services pursuant to 89 Ill. Adm. Code
240.260
and
240.1400 et seq.
1) The agency shall be a free-standing,
single purpose agency, or shall be part of a multi-purpose agency. A
multi-purpose agency shall have a separate, clearly definable organizational
unit functioning as the CCU.
A) An AAA shall
not be designated a CCU except in an emergency situation as specified in
Section
220.655(e).
B) A CCP provider may not serve as a CCU in
the same contract service area except in temporary situations as specified in
89 Ill. Adm. Code
240.1400(f).
C) No organization having any other conflict
of interest in the performance of case management service activities shall
serve as a CCU. Conflict of interest means any entity or individual uses an
official position for private gain (other than salary), gives preferential
treatment to any entity or individual in the conduct of official duties because
of personal interest, impedes or adversely affects governmental efficiency or
economy because of personal interest, fails to act impartially in the conduct
of official duties because of personal interest, or engages in conduct that
could adversely affect the confidence of the public in the integrity of the
Department on Aging and its programs. The term also means that the
circumstances are such that the Department might reasonably conclude that an
entity's or individual's judgment could be influenced by the nature of the
circumstances.
2) The
designation of CCUs shall be accomplished by the AAA and the Department as
described in Sections
220.610
through
220.645
of this Part.
3) The designated CCU
must be in compliance with Older Americans Act (
42 USC
3001 ) requirements.
4) Only one designated CCU shall have
jurisdiction in a particular geographic area.
b) Case management service is defined as
assistance either in the form of access or care coordination in circumstances
where the older persons and/or their caregivers are experiencing diminished
functioning capacities, personal conditions or other characteristics which
require the provision of service by formal service providers. Activities of
case management include assessing needs, developing case plans, authorizing
services, arranging services, coordinating the provision of services among
formal service providers and informal sources of support, follow-up and
reassessment, as required.
c) An
individual AAA may establish additional requirements than those specified in
subsections (e) through (k) relative to any contract/grant for case management
services provided in its respective planning and service area. The AAA shall
arrange for funding of such additional requirements. Such additional
requirements shall bear no additional cost to the Department or to recipients
of services.
d) An individual AAA
may require a CCU to provide additional funded Older Americans Act (
42 USC
3001 ) or General Revenue Fund services that
are directly related to case management as defined in subsection (b).
e) Case management service activities shall
minimally include (as specified in 89 Ill. Adm. Code
230.250(i)(1)
and
240.1420 ):
1) Intake: Older persons who are potentially
in need of case management services shall be screened.
2) Needs Assessment: A face-to-face
assessment/reassessment shall be conducted for all potentially eligible or
current Title III case management clients and CCP applicants/clients.
3) Case Plan Development: A written
goal-oriented case plan shall be prepared for all individuals determined to be
in need of case management services.
4) Case Plan Implementation: A referral of
the client shall be made to appropriate formal and informal
resources.
5) Follow-up: Contact to
ensure that service has been implemented for the client.
f) The CCU shall minimally:
1) Coordinate services with the following
types of organizations in the contractual area:
A) Information and Assistance and Outreach
Providers
B) Nursing
Facilities
C) Health Care Providers
(including all hospitals in the geographic area)
D) Social Service Providers
E) Public Assistance/Financial Assistance
Organizations
F) Elder Abuse and
Ombudsman Provider Agencies
2) Coordinate services to individual clients
and shall, at a minimum, include a process for handling information requests,
referrals, and follow-up activities. The process must be clearly defined in
written policy and procedures.
3)
Establish and follow procedures, which must be retained on file, to assure that
each client has an assigned case manager to contact, including back-up
procedures for assigning a substitute case manager, who meets the minimum
requirements specified in Section
220.605
of this Part and in 89 Ill. Adm. Code
240.1440,
in the absence of the assigned case manager.
4) Establish and follow procedures, which
must be retained on file to assure maintenance of and safeguard the use of and
disclosure of information relating to applicants and clients as required by
Federal or State laws, rules and regulations and the requirements specified in
Section
220.100 of this Part
and in 89 Ill. Adm. Code
240.340.
5) Present service options and information
about available providers to each client and/or client's authorized
representative in an objective manner.
6) Establish and follow a written procedure
for coordinating the CCU intake system with the Title III Information and
Assistance and Outreach providers.
7) Arrange services to non-English speaking
and hearing impaired applicants and/or clients.
8) Have a TTY or assist the applicant and/or
client in using the Illinois Relay Center to accommodate the hearing and/or
speech impaired.
9) Comply with the
Illinois Human Rights Act [775 ILCS 5 ]; the Equal Employment Opportunity Act
of 1974, as amended (Title VII of the U.S. Civil Rights Act of 1964, as amended
( 42 USC 2000 e et seq.)); Section 504 of the Rehabilitation Act of 1973 (
29 USC
790 et seq.); the Immigration Reform and
Control Act of 1986 (
8 USC
1101 et seq.); and the Americans With
Disabilities Act of 1990 (
42 USC 12101
et seq.).
10) Perform service
activities and responsibilities for which a contract/grant is in
effect.
11) Establish personnel
policies, job descriptions, training requirements and wages for each job
category in accordance with all applicable State and Federal rules and
requirements and Department procedures. Personnel policies shall include hours
of work, benefits, and promotion and evaluation criteria. To be considered a
full-time employee of the CCU, for the purpose of defining Full Time Equivalent
(FTE) ratio commitments in the CCU proposal, the FTE employee must work a
minimum of 35 hours per week, excluding holidays observed by the CCU.
12) Assure each individual employed by the
CCU having face-to-face contact with clients in the client's residence, in the
hospital and/or nursing facility shall be free from communicable
disease.
g) The CCU
shall be located to provide accessibility to older persons and their families
and other organizations providing services to the elderly in the agency's
jurisdiction.
h) The CCU shall be
open at least 7 hours per day, Monday through Friday, excluding holidays
observed by the CCU.
i) Any
satellite offices operated by the CCU shall comply with all rules and
regulations, as set forth in this Part and 89 Ill. Adm. Code 230 and
240.
j) The CCU shall maintain
books, records, documents and other evidence of accounting procedures and
practices which sufficiently and properly reflect all direct and indirect costs
of any nature expended in performance of the contracts and/or grants. These
records shall be subject at all reasonable times to inspection, review, and/or
audit as specified in 89 Ill. Adm. Code 230 and 240.
k) The CCU shall provide for financial audits
in accordance with requirements specified in 89 Ill. Adm. Code
230.360
and 89 Ill. Adm. Code 240.1420.
l)
The CCU shall comply with all applicable Federal, State and local laws, rules,
regulations and ordinances as well as all specified requirements as set forth
in this Part and in 89 Ill. Adm. Code 230 and 240.
m) All program records, reports, and related
information and documentation, including files of terminated clients, which are
generated in support of a contract/grant between the CCU and the Department/AAA
shall be maintained by the CCU for a minimum of three years after the
completion of the contract/grant. If any litigation, claim or audit is started
prior to the expiration of the three year period, the records shall be retained
until all litigation, claims or audit findings involving the affected records,
information or documentation has been resolved.
n) Each CCU shall carry general liability
insurance in the single limit minimum amount of $100,000 per occurrence. The
policies or current letters documenting all insurance coverage shall be
available in the CCU files.
o) CCUs
shall not subcontract for the direct provision of case management services
unless prior written approval has been obtained from the Department and the
AAA, as appropriate.
p) CCUs are
expressly prohibited from assigning either their contract with the Department
or their contract/grant with the AAA.
q) All records, case notes or other
information maintained on persons served under the contract shall be
confidential and shall be protected by the CCU from unauthorized disclosure
pursuant to Section 220.100.