State Independent Living Council Discussion Archive

NATSILC Fear Not To Lead On

Posted by: Lou Diehl
Date Mailed: Wednesday, October 1st 2003 07:45 PM

From: "Fear Not to LEAD ON" 
Subject: RE: CIL's ... a "HOW"


Note From The Moderator,

I recently was sent a copy of RSA's report on the independent living 
program in Indiana.   The report was sent to me anonymously and when I 
asked who it was that sent me the report, the brief note which appears 
below was sent to me.   The actual report  on the independent living 
program in Indiana appears after this note. Thank you, Lou






I am just but one of many soldiers of the field ...   who believes still
in the true philosophy and intent of independent living, as it was
created by the 'father', Ed Roberts and further established in our
movement by Justin Dart ...  
 
Long, long ago I took an oath ... an old way to be sure ... to remain true
and faithful to my people ... So, I come to you ... as I've come now, to
all of my brothers and sisters in disability ... to help in
re-establishing the true intent of IL. 
 
Fear me not, ... for I want nothing from you ... will accept nothing from
you ...  nor do I judge in any way ... I will come not often ... nor never
intrude ... but will always be near ... call upon me as you need ... but
know this ... my mission is simple ... to bring to you the truth of
independent living, the movement and the people ... sbgimp99


  
DRAFT REPORT OF THE INDIANA INDEPENDENT LIVING ON-SITE REVIEW
 
Draft Issued:  August 20, 2003
                        
Final Issued:
 
Rehabilitation Services Administration
 
Region V Chicago
  
INTRODUCTION
 
On May 20, 2002 through May 24, 2002 the Rehabilitation Services
Administration (RSA) conducted an On-Site Review of the Indiana
Independent Living program for the purpose of assessing its compliance
with Title VII of the Rehabilitation Act of 1973, as amended, (the Act),
the regulations implementing the Act, and the Indiana Statewide Plan for
Independent Living (SPIL). The Indiana Division of Disability, Aging and
Rehabilitative Services (DDARS) is Indiana’s Designated State Unit (DSU)
for the Independent Living Program and the Indiana Council of
Independent Living (ICOIL) is the Statewide Independent Living Council
(SILC), which the State is required to establish in order to receive
federal financial assistance.  DDARS and ICOIL are charged jointly under
federal law with the development, implementation, monitoring and
evaluation of the Indiana SPIL.  The On-Site Review also included review
of the Title VII, chapter 2 Independent Living Services for Older
Individuals who are Blind program administered by DDARS.
 
The review focused on four elements of the independent living program in
Indiana and the report is organized around these four elements as
follows:
 
1.         DDARS administration of the State Independent Living Services
program 

2.      DDARS administration of the Older Blind Program 
 
3.         The composition, function and processes of ICOIL 
 
4.         The Indiana State Plan for Independent Living (SPIL)
 
The review team consisted of the following:
 
Mr. Seymour Levy, Financial Management Specialist, RSA Region V office
in Chicago
 
Ms. Janette Shell, Independent Living Specialist and review team leader,
RSA Region V office in Chicago 
 
Dr. Edna Johnson, Project Coordinator of the Older Blind Program, RSA
Central Office in Washington, D.C.
 
Mr. James Billy, Branch Chief for Independent Living Services, RSA
Central Office in Washington, D.C.
 
Mr. Douglas Usiak, Director of the Rehabilitation Research and Training
Center for Independent Living Management and Director of the Western New
York Independent Living Project in Buffalo, New York, as the Non-Federal
Reviewer.
 
The review was conducted in the offices and environs of DDARS Central
Office located in the Indiana Government Center, Indianapolis, Indiana.
One off-site interview was conducted with the Indiana Protection and
Advocacy Program, provider of the Client Assistance Program (CAP), also
located in Indianapolis.  
  
For this review, the team utilized the following documents and
resources:
 

--  DDARS and ICOIL policies, procedures, financial records, by-laws,
minutes, correspondence, and contracts 
 
-- the currently approved SPIL 
 
-- previously developed versions of the approved SPIL 
 
-- Twenty case service records which were drawn from each federally and
state funded center for independent living (14 records) in the state as
well as each providers of Older Blind Services (six records)
 
--  Report provided by Ms. Kathleen Kleinmann as independent observer of
ICOIL meetings
 
-- the Indiana Open Door Law, Indiana Code 5-14-1.5-5 
 
-- the Rehabilitation Act of 1973, as amended (the Act), 29 USC 701, et
seq. 
 
-- Federal Regulations for independent living at 34 CFR Parts 364
through 367 
 
-- the Education Department General Administrative Regulations (EDGAR)
at 34 CFR Part 76 and Part 80.
 
Face-to-face or telephone interviews were conducted with the following
stakeholders in Indiana:
 
-- six DDARS staff 
 
-- six current or former ICOIL members 
 
-- one applicant for ICOIL membership 
 
--three CAP or State Rehabilitation Council (SRC) representatives 
 
--two center directors 
 
- one Governor’s office staff person 
 
-three providers of Older Blind services
 
- three consumers of Older Blind services.  
 
An additional component to the On-Site Review was the observation of the
process of ICOIL during its business meetings for the months of March,
April and May of 2002.  Ms. Kathleen Kleinmann, director of Tri-County
Patriots for Independent Living in Pennsylvania, was retained by RSA to
act as an independent observer of these meetings. Ms. Janette Shell of
RSA also attended these meetings as part of the review.  Ms. Kleinmann
provided a report to RSA concerning her observations that RSA considered
in the course of drafting this report.
 
The following report identifies findings of non-compliance and the
corrective actions necessary to bring DDARS, ICOIL, and the State of
Indiana into compliance with Federal law.  The resolution of the issues
raised will require the communication and negotiation in good faith of
all stakeholders responsible for the administration of the independent
living program in Indiana.
  
PART ONE: DDARS ADMINISTRATION OF 
 
THE INDEPENDENT LIVING PROGRAM
 
1.         Solicitation of Matching Funds from Centers
 

A.        Legal References
 
Section 712(b) of the Act  The Federal share with respect to any State
for any fiscal year shall be 90 percent of the expenditures incurred by
the State during such year under its State plan approved under section
706.
   
34 CFR 365.14 (a) - A State may not condition the award of a grant,
subgrant, or contract under section 713 of the Act or a grant, subgrant,
or assistance contract under section 723 of the Act on the requirement
that the applicant for the grant or subgrant make a cash or in-kind
contribution of any particular amount or value to the State.  
 
Indiana SPIL FY 1999-2001 - Section 7.2, Attachment 9, pages 2, 3, 10,
and Attachment 12, page 1; Indiana SPIL FY2002-2004 - Section 7.2,
Attachment 1, pages 24, 27, 31, and Attachment 2, page 7.
 
B.         Verification Sources  
 
Interviews with DDARS staff; review of primary and secondary accounting
records provided by DDARS; review of correspondence between DDARS and
CILs.
 
C.        Findings   
 
In the Indiana SPIL for FY 1999-2001 and for FY2002-2004, the State
agreed to provide the 10% match required in order to access Part B
funds.  Although the State does not indicate the sources of the match in
the SPIL, for the three years reviewed for this report, Federal Fiscal
Years 1999, 2000, and 2001, Indiana provided RSA with information that
showed that Indiana used General Revenue funds, cash match from CILs,
and in-kind match from CILs to match its Title VII-B funds.  Cash or
in-kind contributions from centers are permissible under 34 CFR §§365.13
and 365.15 as long as the State does not condition the award of a grant
or contract on the requirement that the center make such a contribution.

 
Indiana also identifies in its SPILs the amount of funding that CILs,
both new and existing, are to receive.  However, DDARS informed CILs, in
the context of contract negotiations, that the CILs would not receive
the amount of funding identified in the State plan because DDARS did not
have sufficient funds to meet its matching requirements.  DDARS told the
CILs that they would be given the opportunity to provide the remaining
match amounts in order for DDARS to draw down the entire Title VII-B
award and, thereby, provide each CIL with the amount specified in the
SPIL.  Although 
 
DDARS denies that it has conditioned the awards to centers on the
requirement that the centers make a cash or in-kind contribution to the
State, a practice prohibited by 34 CFR 365.14, at least two CILs
informed RSA that they believed DDARS was telling them   that the only
way they could receive the amount of funding identified in the State
plan was to contribute cash or in-kind match to the State.
 
Although the State may have believed it was not conditioning its award
of Part B funds to centers on the requirement that the centers provide a
contribution to the State, RSA’s review of the correspondence between
DDARS and two CILs shows that the CILs understood that DDARS was
requiring the centers to choose between providing a contribution to the
State toward match and receiving their full Part B award or providing no
contribution and receiving less of an award.   A practice of
conditioning the award of Part B funds to center contributions violates
34 CFR 365.14.  RSA requested that DDARS cease engaging in this
practice.  In response, for FY 2002 and FY 2003, DDARS decided to avoid
any appearance of violating 365.14, and found sources of match, other
than contributions from CILs, to meet the required 10% in order to draw
down Part B funds.
 
D.        Corrective Action Required  
 
DDARS must provide RSA with a corrective action plan within 45 days from
the date of receipt of this report that includes the method DDARS will
use to provide match in subsequent fiscal years without requiring
contributions from centers in order to be awarded the amount of Part B
funds the centers are designated as receiving under the SPIL.  RSA is
available to provide technical assistance in identifying permissible
sources of match for the State.  DDARS must consult with ICOIL in the
development of the corrective action plan.   
 
2.         Conflict of Interest 
 
A.        Legal References
 
Section 705(e)(3) of the Act - Conflict of Interest
 
34 CFR 364.21(j)(2) - While assisting the SILC in carrying out its
duties, staff and other personnel made available to the SILC by the DSU
may not be assigned duties by the designated State agency or DSU, or any
other agency or office of the State, that would create a conflict of
interest.
 
B.         Verification Sources   
 
Interviews with Independent Living Program Director; Interim Director
for Bureau of Vocational Rehabilitation; written job description for
Independent Living Director.  
 
C.        Findings  
 
The position description for the Independent Living Program Director for
DDARS, Ms. Nancy Young, states that she has coordination and
collaboration responsibilities with and minimal support functions to
ICOIL.  While it may be permissible for Ms. Young to perform routine
staff duties for the SILC, such as making meeting arrangements or
distributing ICOIL meeting reports, she has also been placed in the
position of implementing ICOIL policy, while at the same time,
implementing policy developed by DDARS.  (Ms. Young has at times
apparently been assigned the duty of the Deputy Director of Vocational
Rehabilitation Services’ designee as the DSU ex-officio representative
to ICOIL).  
 
Her duties as Independent Living Program Director cause a potential, if
not actual, conflict with her position as ICOIL staff person, when her
responsibilities as an ICOIL staff person require her to perform on
behalf of ICOIL tasks other than simply administrative ones.  In such
cases, she may be placed in the position of acting on behalf of two
entities -- DDARS and ICOIL -- whose positions on specific matters of
policy may not necessarily coincide.  For example, as the IL program
director for DDARS, Ms. Young is responsible for DDARS’ part in
developing, monitoring, reviewing, and implementing the State Plan.  As
the ICOIL staff person, Ms. Young has been asked to act on behalf of
ICOIL as a participant in Planning Committees for developing the State
plan and is expected to carry out the wishes of ICOIL in developing,
monitoring, reviewing and implementing the State plan.  She is expected
to act on behalf of both DDARS and ICOIL when each entity has separate
responsibilities to fulfill and often has different perspectives on how
to achieve certain IL objectives in the State.  Ms. Young’s assigned
responsibilities from DDARS appear to create a conflict of interest when
she is expected to provide more than merely administrative assistance as
an ICOIL staff person and therefore, are not in compliance with Federal
law. 
 
D.        Corrective Action Required  
 
DDARS must submit a corrective action plan to RSA within 45 days of the
date of receipt of this report that includes the steps that it and ICOIL
will take to ensure that conflict of interest is not created with any
staff or personnel made available by DDARS to ICOIL.  DDARS must
reevaluate the functional job duties of all staff assigned to ICOIL to
ensure that the duties assigned by DDARS do not create a conflict of
interest with the DDARS employee’s responsibility to assist ICOIL in
carrying out its duties.  Staff persons should be supporting ICOIL
activities, not directing them.  DDARS must work with ICOIL to outline
clearly how ICOIL will accomplish its work if it chooses to use DDARS
staff support.  DDARS must consult with ICOIL in the development of the
plan.   
3.         Case Service Record Review 
 
A.        Legal References  
 
Section 704(e) of the Act - SPIL Requirements; Section 725(b)(2),
(c)(3), and (c)(14) - Standards and Assurances 
 
34 CFR 364.40, 364.51, 364.52, and 364.53 
 
Indiana SPIL FY 2002-2004 - Section 12
 
B.         Verification Sources  
 
Consumer Service Record (CSR) review; interviews with DDARS staff.
 
C.        Findings  
 
The on-site review included a case service record review consisting of
14 case records from the IL program, 64% (9) from Part C funded centers
and 36% (5) from State funded centers. The following patterns emerged:
 
1) The service provider must determine an applicant’s eligibility for IL
services and maintain documentation that the applicant has met the
eligibility requirements. (34 CFR 364.40, 364.51, 364.53(a)).  Regarding
eligibility, only 50% (7) of case records reviewed included a statement
of the consumer’s eligibility for services as required by federal
regulation.  Of the 50% that did not have a statement of eligibility,
14% (2) were records from Part C-funded centers and 36% (5) were from
State-funded centers.  
 
2)         The IL plan or waiver of IL plan must be signed by the
individual with a significant disability and maintained in the consumer
service record.  (34 CFR 364.52(b)(2) and 34 CFR 364.53(c))  The
consumer’s signature appeared on the Independent Living Plan or the
Waiver of the need for an independent living plan in 78.5% (11) of the
total number of CSRs reviewed.  Of the 21.5% (3) that did not include
the consumer’s signature on either document, all were from State-funded
centers.            
 
D.        Corrective Action Required 
 
DDARS must submit a corrective action plan to RSA within 45 days of the
receipt of this report that includes the measures it will take to ensure
(1) that service providers are made aware of the consumer service record
documentation, including the signature requirements of individuals
regarding an IL plan, that is required by law and assured in the Indiana
SPIL; (2) that the records maintained by those service providers
actually include the required documentation.  In order to assess
compliance, it is recommended that DDARS consider reviewing consumer
records as part of a regularly scheduled programmatic review of centers
in Indiana.  DDARS must consult ICOIL in the development of the plan.

 
4.        Standards for Centers for Independent Living
 
A.        Legal References  
 
Section 704(g) - Network of Centers and Section 725 - Standards and
Assurances for Centers for Independent Living 
 
34 CFR 364.25 (a) The State plan must include a design for the
establishment of a statewide network of centers that comply with the
standards and assurances in section 725(b) and (c) of the Act and
subparts F and G of 34 CFR part 366.  
 

Indiana SPIL FY 2002-2004 - Section 13.1 and Attachment 1, pages 23 - 31
 
B.         Verification Sources  
 
DDARS Independent Living Program files; interviews with the Independent
Living Program Director and the Interim Deputy Director of Bureau of
Vocational Rehabilitation Services.
 
C.        Findings  
 
In order to be included in the State’s network of centers, a center need
not receive federal funding under Part C but, like federally funded
centers, it must comply with the standards and assurances set forth in
section 725.   Indiana law requires that in order to be eligible to
receive State funds, a center for independent living must meet the
requirements for federal funding for a center for independent living
under Part C and 34 CFR Parts 364 through 366.  See Ind. Code §
12-12-8-4.  Although RSA monitors the compliance with section 725 of
centers receiving Part C funding, it is the State’s responsibility to
ensure the compliance with section 725 of all other centers it includes
in its network of centers.  Indiana includes all of its CILs in its
network of centers, including those not funded under Part C, and,
therefore, it is DDARS’ responsibility to ensure that those centers that
do not receive Part C funding are in compliance with section 725 when
those centers participate in the network.      
 
 
 
Interviews with DDARS staff revealed that, although DDARS has conducted
fiscal audits of certain centers, it has no policy or procedure
addressing the methods it will use to ascertain whether centers are
complying with the standards and assurances set forth in section 725 of
the Act.
 
D.        Corrective Action Required
 
DDARS must submit a corrective action plan to RSA within 45 days of the
receipt of this report that includes the methods it will use to ensure
that CILs in its network of centers are in compliance with the standards
and assurances of section 725. DDARS must consult with ICOIL in the
development of the plan.   
 
5.         Written Standards for Referrals and Applications
 
A.        Legal References  
 
34 CFR 365.30- What are the standards for processing referrals and
applications?  The DSU shall develop, establish, and maintain written
standards and procedures to be applied by service providers to assure
expeditious and equitable handling of referrals and applications for IL
services from individuals with significant disabilities. 
 
B.         Verification Sources  
 
None 
 
C.        Finding  
 
DDARS did not provide the review team with written standards and
procedures for processing referrals and applications by service
providers, including centers for independent living. 
 
D.        Corrective Action Required  
 
DDARS must submit a corrective action plan to RSA within 45 days of the
receipt of this report that includes written standards and procedures
for service providers regarding referrals and applications consistent
with 34 CFR 365.30.  DDARS must consult with ICOIL in the development of
the plan.
 
6.         Assessment of Consumer Satisfaction
 
A.        Legal References   
 
Section 704(n) of the Act - Evaluation. 
 
34 CFR 364.38 - The State plan must establish a method for the periodic
evaluation of the effectiveness of the plan in meeting the objectives
established in §364.42, including evaluation of satisfaction by
individuals with significant disabilities who have participated in the
program.  
 
Indiana SPIL FY 2002-2004, section 15, Attachment 3, page 2.
    
B.         Verification Sources 
 
FY 2002-2004 SPIL; interviews with DDARS staff, ICOIL members, and past
and current chairpersons of ICOIL; official minutes of ICOIL business
meetings.
 
C.        Findings   
 
The State has not surveyed the satisfaction of consumers in order to
evaluate the effectiveness of the FY 2002-2004 plan.  The FY 2002-2004
SPIL indicates results of consumer satisfaction surveys done by each
center would be used as an evaluation tool annually, but no statewide
surveys have been conducted.
 
D.        Corrective Action Required  
 
DDARS must submit a corrective action plan to RSA within 45 days of the
receipt of this report that includes the method the State will use to
conduct and a timeline for conducting an assessment of consumer
satisfaction with the IL program in Indiana.   DDARS must consult with
ICOIL in the development of the plan.   
 
7.         The Ruben Center         
 
A.        Legal References  
 
Section 704(g) - Network, and section 713(3) - Authorized Uses of Funds.

 
34 CFR 76.140 - Amendments to a State Plan
 
FY1999-2001 SPIL, section 14, Attachment 9, page 2; and FY2002-2004,
Attachment 1, pages 24, 26-27, and Attachment 2, pages 6-8. 
 
B.         Verification Sources 
 
Review of FY 1999-2001 Indiana SPIL; FY 2002-2004 SPIL; Application for
Funding – Ruben Center  
 
C.        Findings  
 
The Ruben Center received a title VII, Part C grant on August 25, 1998
after successfully competing as an applicant for a new center beginning
October 1, 1998 in Indiana.  Because the Ruben Center met all of the
Federal requirements to be considered a center and received Part C
funding under Indiana’s FY 1999-2001 SPIL, that SPIL should have been
amended to reflect the existence of the Ruben Center as a CIL providing
IL services within the State.  In the FY 2002-2004 SPIL, Indiana does
recognize the existence of the Ruben Center, but describes its first
year of operation as starting in October 1, 2002.  
 
D.        Corrective Action Required 
 
DDARS must submit a corrective action plan to RSA within 45 days of the
receipt of this report that includes an assurance that when RSA finds
that a center meets the Federal requirements to be considered a center
by providing funds to that center under Part C of the Act, Indiana will
recognize the existence of that center and apply the same practices,
policies, and procedures to that center as it does other centers in the
State, and amend the SPIL as appropriate.  DDARS must consult with ICOIL
in the development of the corrective action plan.   
 
PART TWO:  DDARS ADMINISTRATION OF THE OLDER BLIND PROGRAM
 
1.         Solicitation of Matching Funds from Contractors providing
Older Blind Services
 
A.        Legal References
 
Section 752(f) of the Act - Matching Funds
 
34 CFR 367.4(d)(2) cites 34 CFR 365.14 as applicable to the Older Blind
program; 34 CFR 365.14(a) - A State may not condition the award of a
grant, subgrant, or contract under section 713 of the Act or a grant,
subgrant, or assistance contract under section 723 of the Act on the
requirement that the applicant for the grant or subgrant make a cash or
in-kind contribution of any particular amount or value to the State.  
 
Indiana Application for Chapter 2 Older Blind Funds FY2000-2004, Section
B - Budget Summary Non-Federal funds; Indiana SPIL FY 2002-2004 -
Attachment 1, Pages 4-5.   
 
B.         Verification Sources  
 
Indiana Application for Chapter 2 Older Blind Funds FY2000-2004; Indiana
SPIL FY 2002-2004; DDARS contracts for Older Blind program services
FY2000, FY2001 and FY2002.
 
C.        Findings  
 
The State is responsible for providing 10% of the funding in match for
the Older Blind program.  In its application for Older Blind funding,
the State indicated that it intended to use contractual costs as its
source for providing the bulk of its required 10% match.  Until FY2001,
Indiana provided its chapter 2 funds to only one organization to conduct
the Older Blind program in Indiana.  In FY2001, it awarded eight new
contracts to establish chapter 2 programs.  One of these new
organizations contacted RSA to question Indiana’s requirement in its
request for proposals that a 10% cash or in-kind match would be needed.
The contracts reviewed by RSA for Older Blind services between DDARS and
the service providers require the applicant for the contract to identify
the source of the 10% matching funds the applicant will provide.  The
contracts provide that the State will provide 90% of the costs of the
program with the applicant putting up the other 10% in cash or in-kind
match.  Even if DDARS did not intend to condition the contract for Older
Blind Services on the requirement that the applicant provide a
contribution to the State, a violation of 34 CFR 365.14, RSA’s review of
the contract and discussions with service providers reveals that the
service providers understood that DDARS was requiring them to come up
with the 10% match in order to be considered as an applicant for an
award of Older Blind funds.  Such a practice violates 34 CFR 365.14 and
must cease.
 
D.        Corrective Action Required
 
DDARS must provide RSA with a corrective action plan within 45 days from
the date of receipt of this report that includes the method DDARS will
use to provide match in subsequent fiscal years for the Older Blind
program without requiring service providers, as part of the application
process, to identify sources of match they would provide if they
received the award.  RSA is available to provide technical assistance in
identifying permissible sources of match for the State. 
  
PART THREE:  ICOIL COMPOSITION, FUNCTION, AND PROCESS 
 
1.         Establishment of the ICOIL 
 
A.        Legal References
 
Section 705(a) of the Act - Statewide Independent Living Council
 
34 CFR 364.21(a)
 
(1)- To be eligible to receive assistance under chapter 1 of title VII
of the Act, each State shall establish a SILC that meets the
requirements of section 705 of the Act. 
 
(2)-The SILC may not be established as an entity within a State agency,
including the designated State agency or DSU.  The SILC shall be
independent of the DSU and all other State agencies.      
 
Indiana SPIL FY 2002-2004 - Section 4.2
 
B.         Verification Sources   
 
Interviews with ICOIL members, past and current ICOIL chairpersons, and
Interim Deputy Director of Bureau of Vocational Rehabilitation; ICOIL
business meeting minutes; RSA attendance at ICOIL meetings; DDARS
Independent Living Program files, consultation with legal counsel for
DDARS.
 
C.        Findings  
 
Section 4 of the FY 2002-2004 Indiana SPIL indicates that the Secretary
of Family and Social Services established the SILC pursuant to Indiana
Code 12-8-1-7(8).   That section of the Indiana Code provides that the
Secretary of Family and Social Services may create advisory bodies to
advise the Secretary about any matter relating to the implementation of
this article.   However, RSA found no official state directive or
executive order establishing the ICOIL as the Statewide Independent
Living Council (SILC) for Indiana and describing its placement within
the State government organization (apart from any State agency), its
composition, and duties consistent with Section 705 of the Act.  A copy
of such directive or order was not produced when requested.    Although
ICOIL operates under a set of by-laws, apparently drafted by the Council
itself, there is no indication that the State, as required by section
705, has created ICOIL in a manner consistent with statutory
requirements.    
 
D.        Corrective Action Required  
 
DDARS must submit to RSA within 45 days of receiving this report
documentation that shows that the State has independently established
ICOIL consistent with the requirements of section 705 of the Act and 34
CFR 364.21.  DDARS must consult with ICOIL in the development of the
plan. 

2.         Independence of ICOIL - Administration
 
A.        Legal References
 
Section 705(a) of the Act - Establishment
 
34 CFR 364.21(a)(2)-The SILC may not be established as an entity within
a State agency, including the designated State agency or DSU.  The SILC
shall be independent of the DSU and all other State agencies.  
 
FY 2002-2004 SPIL, Sections 4.2 and Attachment 1, pages 10 and 11, item
B- Bylaws, Policies and Procedures.
 
B.         Verification Sources  
 
ICOIL minutes; interviews with ICOIL members, current and former
chairpersons; interview with Interim Deputy Director of BVR; Kleinmann
report; RSA attendance at ICOIL meetings.
 
C.        Findings  
 
RSA confirmed Indiana’s statement in the SPIL that the SILC lacks some
policies and procedures that are needed to operate effectively and
doesn’t consistently implement policies and procedures that currently
exist.  As a result, ICOIL depends on DDARS to make certain decisions
regarding the conduct of SILC business, compromising the independence of
the SILC.  In addition, although DDARS conducts the administrative
activities of the SILC, DDARS has no policies or procedures to assist it
in this role in order to ensure that DDARS does not assume activities
that the SILC should be conducting. ICOIL has no paid staff of its own.
ICOIL does not maintain records separately from DDARS.  DDARS staff
arrange for meeting space, meeting notifications, accommodations,
recording and preparation of meeting minutes, etc.
 
ICOIL depends on DDARS as an information conduit, using the same mailing
address as DDARS and relying on DDARS staff to determine what
correspondence is forwarded to ICOIL.  ICOIL has discovered that it is
not uncommon for it to miss correspondence directed to its attention.
Brochures and announcements of training opportunities, conferences and
other business of the SILC are not always passed on to council members.

 
D.        Corrective Action Required  
 
DDARS and ICOIL must jointly submit a corrective action plan to RSA
within 45 days of the receipt of this report that includes policies,
practices and procedures developed to ensure that ICOIL’s independence
in fulfilling its duties is preserved.  DDARS must develop practices,
policies and procedures that support ICOIL to fulfill its independent
role, and ICOIL must develop procedures, practices and policies that
specifically address how it will achieve the ICOIL objectives in the
SPIL and accomplish its duties working with DDARS, but without
compromising its independence.  
 
3.         Independence of ICOIL - Fiscal
 
A.        Legal References  
 
Section 704 (c) of the Act - Designation of State Unit; Section 705
(e)(1) - SILC Resource Plan 
   
34 CFR 364.21(i)(3)(4) - (3) No conditions or requirements may be
included in the SILC’s resource plan that may compromise the
independence of the SILC. (4) The SILC is responsible for the proper
expenditure of funds and use of resources that it receives under the
resource plan.
 
Indiana SPIL FY 2002-2004 - Section 4.2 and Attachment 1, page 11, item
C- Control of SILC Resources
 
B.         Verification Sources  
 
FY 2002-2004 Indiana SPIL; primary accounting records; interviews with
Independent Living Program Coordinator, Interim Deputy Director of BVR
and fiscal staff; interviews with ICOIL members. 
 
C.        Findings   
 
RSA confirmed Indiana’s observation in the SPIL that the SILC does not
exercise control over its staff or financial resources and does not have
a mechanism in place to monitor and direct the activities of its current
fiscal agent, the DSU.  Interviews indicated that ICOIL depends on DDARS
to conduct the financial activities of ICOIL, rather than to provide
support to those activities, compromising the independence of ICOIL.
ICOIL does not control its funds nor do its members have a clear
understanding of the composition of its budget/resource plan. ICOIL
members have had no involvement in development and execution of a
budget. According to the minutes of ICOIL business meetings, ICOIL
reviews expenditures of its funds after the fact versus authorizing
expenditures of its funds.    
 
The DDARS fiscal system supporting the SPIL Resource Plan has weak
internal controls. Financial reports provided to ICOIL by DDARS do not
provide information on the source of funds, date of expenditures,
consistent use of expenditure codes and a key for those codes.
 
D.        Corrective Action Required   
 
DDARS and ICOIL must jointly submit a corrective action plan to RSA
within 45 days of the receipt of this report that includes policies,
practices and procedures that facilitate the responsibility of ICOIL for
directing the expenditure of its funds. These policies, practices and
procedures must provide clear and consistent methods of accountability
for ICOIL funds.  
 

  4.       ICOIL Composition and Appointment: Center Representative and
Ex Officio Members
 
A.        Legal References: 
 
Section 705(b)(2)(A) and (B) of the Act - SILC Composition and
Appointment; 
 
34 CFR 364.21(b)(2)(i)- The SILC must include A) At least one director
of a center chosen by the directors of centers within the State and B)
As ex officio, nonvoting members, a representative from the DSU and
representatives from other State agencies that provide services to
individuals with disabilities.
 
Indiana SPIL FY 2002-2004 - Section 4.1 and Attachment 1, page 11
 
B.         Verification Sources  
 
Interview with Governor’s Executive Assistant for Board Appointments;
interviews of ICOIL members, former and current chairpersons of ICOIL;
RSA attendance at ICOIL Nominating Committee meeting; ICOIL By-laws; FY
1999-2001 Indiana SPIL; interviews of DDARS staff; Indiana SPIL FY
2002-2004 Section 4.1, page 5 and Attachment 1, Area 2, Coordination &
Collaboration Issues, pages 12-13. 
 
C.        Finding  
 
The Act requires that certain persons be included as members on the
SILC.  Those persons are 1) at least one director of a CIL chosen by the
directors of CILs within the State; 2) as an ex officio, nonvoting
member, a representative from the DSU; and 3) as ex officio, nonvoting
members, representatives from other State agencies that provide services
for individuals with disabilities.  The Governor makes all appointments
to a SILC, including the center representative, after he or she is
chosen by the center directors, and the ex officio members.  From the
information RSA has gathered, it appears that in Indiana, the Governor
has not appointed the ex officio members nor has he appointed the center
representative because a dispute existed over which centers are eligible
to vote for such a representative.
 
1.         Center Representative:  Section 705(b)(2)(A) permits the
directors of CILs within the State to choose one director of a CIL to
serve on the SILC.  There is no clearly mandated representative of
center directors, chosen by center directors, appointed by the Governor
to ICOIL. This stems from a disagreement among center directors
regarding which entities are eligible to be considered centers under the
law and to vote for the center director representative.  One group,
composed of Part C funded centers only, elected one representative.
Another group, composed of both State funded and Part C funded centers,
elected a different representative who already sat on the council as a
person with a disability.   
 
RSA has issued a clarification of the law and regulations on this matter
in a policy directive dated August 8, 2003 (RSA-PD-03-06).   In
interpreting the law, RSA finds that any organization that meets the
definition of center under the Act is included in the references in
Parts A and B of Title VII to centers, regardless of funding source.  A
center is defined in section 702 as a consumer-controlled, community
based, cross-disability, nonresidential private nonprofit agency that is
designed and operated within a local community by individuals with
disabilities and provides an array of independent living services.
Therefore, any center in Indiana meeting the definition of center in the
Act, regardless of funding source, is eligible to vote on the center
representative to ICOIL.  
 
2.  DSU representative:  Indiana indicates in Section 4.1 of the FY
2002-2004 SPIL that the Governor has not appointed a representative of
the DSU to serve as an ex-officio member of the SILC as required by law.
It is the Governor’s prerogative to select the DSU representative to the
Council, not DDARS.  DDARS cannot, of its own accord, change its
representative to the SILC since the law provides that the Governor
appoints all members and those members’ terms are calculated from the
date of appointment.  
 
3.  Although the FY2002-2004 SPIL indicates in section 4.1 that there
are representatives from other State agencies that provide services to
individuals with disabilities as ex officio members of ICOIL, in
Attachment 1, page 11 to the SPIL, Indiana states that the Governor has
not appointed any of these representatives of other State agencies as
ex-officio members of ICOIL.  All ex-officio members must still be
appointed by the Governor.  ICOIL appears to have problems attracting
representatives from other State agencies to serve on the Council and
maintaining their involvement.  ICOIL has had problems with this since
at least 1998, according to RSA records associated with the submission
of the FY 1999-2001 SPIL. The State Rehabilitation Council and the
Indiana Protection and Advocacy Program (the CAP in Indiana) have been
members of the Council in the past.  Each indicates that they are not
attending ICOIL meetings due to the needs and time commitments of a
council in conflict, weighed against their organizations’ work
priorities.  
 
D.        Corrective Action Required   
 
DDARS must submit a corrective action plan to RSA within 45 days of the
receipt of this report that includes a plan and timeline for ICOIL
membership concerning the center representative, the ex-officio
representative of the DSU, and the ex-officio representatives of other
agencies that serve individuals with disabilities to come into
compliance with the law.  Specifically, as to the center representative,
the plan must state how and when all centers in Indiana will be informed
that they can vote for the center representative and a date by which the
centers will hold the election for center representative.  The plan must
also include an assurance that the Governor will appoint all members to
ICOIL, including the center representative, the DSU representative, and
members of the state agencies that provide services to individuals with
disabilities. 
 
5.         SILC Composition and Appointment - Selection of Chairperson
 
A.        Legal Reference   
 
Section 705(b)(5) of the Act - SILC Composition and Appointment;
Chairperson 
 
34 CFR 364.21(e)(2) In States in which the Governor does not have veto
power pursuant to State law, the Governor shall designate a voting
member of the SILC to serve as the chairperson of the SILC or shall
require the SILC to so designate a voting member.
 
Indiana SPIL FY2002-2004 - Section 4.1 
 
B.         Verification Source  
 
Interview with Governor’s Executive Assistant for Board Appointments;
interviews of ICOIL members, former and current chairpersons of ICOIL;
RSA attendance at ICOIL Nominating Committee meeting; ICOIL By-laws; FY
1999-2001 SPIL; interviews of DDARS staff.
 
C.        Finding  
 
RSA issued a letter to Governor O’Bannon on February 6, 2003, finding
that the Governor’s appointment of the SILC chairperson on November 13,
2001 was consistent with his authority under Federal law and regulation
because the Governor of Indiana does not have veto power over ICOIL’s
selection of its chairperson pursuant to State law.   Therefore, in
Indiana the Governor has the authority to designate a voting member of
the SILC to serve as the chairperson of the SILC or to require the SILC
to so designate a voting member. 
 
D.        Corrective Action Required 
 
None.  
 
6.         SILC Composition and Appointment- Length and Number of Terms
and Vacancies.
 

A.        Legal Reference  
 
Sections 705(b)(6) (A) and (B) and 705(b)(7)
 
34 CFR 364.21(f)(3) Each member of the SILC shall serve for a term of
three years, except that no member of the SILC may serve for more than
two consecutive full terms.
 
B.         Verification Source  
 
Interview with Governor’s Executive Assistant for Board Appointments;
interviews of ICOIL members, former and current chairpersons of ICOIL;
RSA attendance at ICOIL Nominating Committee meeting; ICOIL By-laws; FY
1999-2001 SPIL; interviews of DDARS staff.
 
C.        Finding 
 
Currently, the terms of 36% (4) of the SILC members have expired but
these members have not been re-appointed or replaced.  Members continue
to serve in the expired appointments.  The ICOIL’s practice is to permit
members to continue to serve after their terms have expired until the
Governor makes a new appointment. The practice of permitting members to
serve past the expiration of their term is not in compliance with
Federal law and regulation.  Federal law at section 705(b)(7)(A)
recognizes that there will be times when appointments to the SILC will
be vacant and provides that any vacancy on the council shall not affect
the power of the remaining members to execute the duties of the Council.
It is the Governor’s responsibility to fill vacancies in the membership
of the SILC unless he delegates that responsibility to the remaining
voting members of the SILC under section 705(b)(7)(B) of the Act.
 
D.        Corrective Action Required 
 
DDARS must submit a corrective action plan to RSA within 45 days of the
receipt of this report that includes documentation showing that ICOIL’s
practice is consistent with the requirements of the law regarding SILC
members’ length and number of terms and how vacancies in membership are
filled.  ICOIL must include an assurance for DDARS to submit in the
corrective action plan that ICOIL will not recognize as a member any
individual who has served beyond the date that his or her term expired.
DDARS must consult with ICOIL in the development of the corrective
action plan. 
 
7.  SILC Duties:  Monitor, Review and Implement State Plan and
Coordinate Activities with Other Councils 
            
A.        Legal References 
 
Section 705(c)  - SILC Duties 
 
34 CFR 364.21(g) The SILC shall
            ***
 
(2)        Monitor, review, and evaluate the implementation of the State
plan; 
 
(3)        Coordinate activities with the State Rehabilitation Council
established under section 105 of the Act and councils that address the
needs of specific disability populations and issues under other Federal
law; 
 
Sections 14 and 15 of the Indiana SPIL FY 2002-2004 
 
B.         Verification Sources  
 
ICOIL business meeting minutes; DDARS Independent Living Program files;
interview with Independent Living Program Director.
 
C.        Finding 
 
There is no evidence in the official business meeting minutes of ICOIL
to indicate that there have been any efforts to monitor, review and
evaluate the implementation of the State plan.  No committee reports or
discussion during meetings addressed this topic.  Although consumer
satisfaction surveys and a needs assessment are identified in the
FY2002-2004 SPIL as means to evaluate the implementation of the plan,
there has been no discussion by ICOIL regarding conducting or using any
surveys or assessment as a basis for the evaluation of the SPIL or the
development of the FY 2005-2007 SPIL.
 
In addition, the official business meeting minutes of ICOIL reveal no
efforts to coordinate activities with the State Rehabilitation Council
(SRC) or other councils.  ICOIL does have a representative attending SRC
meetings, but there are no reported coordinated efforts.  SRC has no
representative on ICOIL. 
 
Based on the information gained during RSA’s monitoring and from the
scant information contained in ICOIL minutes of meetings, it does not
appear that ICOIL is making efforts to fulfill all of its duties under
the statute.  
 

D.        Corrective Action Required  
 
DDARS must submit a corrective action plan to RSA within 45 days of the
receipt of this report that includes information on how ICOIL intends to
fulfill its responsibility to monitor, review and implement the State
plan and how it intends to coordinate its activities with the SRC and
other councils that address the needs of specific disability populations
and issues.  DDARS must consult with ICIOL in the development of the
plan.
 
7.         SILC Duties: Public Meetings 
 
A.        Legal References
 
Section 705(c)(4) of the Act
 
34 CFR 364.21(g)(4) - The SILC shall ensure that all regularly scheduled
meetings of the SILC are open to the public and sufficient advance
notice is provided.
 
B.         Verification Sources  
 
ICOIL business meeting minutes; DDARS Independent Living Program files;
Indiana Open Door Law (Indiana Code 5-14-1.5-5); interview with
Independent Living Program Director; Kleinmann report; RSA observations
of ICOIL meetings.
 
C.        Finding 
 
One aspect of an open meeting is accessibility. Accommodating members or
guests of ICOIL attending ICOIL public meetings is inconsistent, at
best.  At one ICOIL meeting, a member of the public requested that rules
of the meeting posted on the wall, addressing procedure for both members
and guests, be read for those persons requiring such accommodation.  The
chairperson denied this request, although a member of ICOIL did read the
rules aloud.  On occasions, printed materials are distributed to ICOIL
members and the public, but electronic versions for persons requiring
screen reading accommodation sometimes are not provided, even though
there is routinely at least one person with such need in attendance at
each meeting.  One ICOIL meeting was scheduled for a state facility
thought to be accessible by its inhabitants.  On the day of the meeting,
some members were delayed in entering the meeting room due to problems
with doorways too narrow to allow motorized wheelchair passage. ICOIL
does not have an established policy or procedure on requesting or
providing accommodation to participate in a meeting - open to the
public.
 
D.        Corrective Action Required  
 
DDARS must submit a corrective action plan to RSA within 45 days of the
receipt of this report that includes policies and procedures, developed
by ICOIL and submitted to DDARS to include in the plan, to ensure that
ICIOL meetings are accessible for persons with disabilities.  RSA
encourages ICOIL to establish written procedures for the general conduct
of its regularly scheduled meetings as well.      
 
PART FOUR:  STATE PLAN REQUIREMENTS
 
1.         Written Procedures for Public Meetings
 
A.        Legal References   
 
Section 704(m)(6) of the Act  
 
34 CFR 364.20(g)(2) - The State plan must assure that the DSU and SILC
establish and maintain a written description of procedures for
conducting public meetings in accordance with the following
requirements: . . .
 
Indiana SPIL FY 2002-2004 - Section 3.3
 
B.         Verification Sources  
 
Official transcripts of developmental hearings for FY 2002-2004 Indiana
SPIL; DDARS Independent Living Program Files; official ICOIL business
meeting minutes; interviews with current and past chairpersons of ICOIL.

 
C.        Finding  
 
ICOIL and DDARS have no written description of procedures for conducting
public meetings for input on the State plan, as required by Federal
regulation. 
 
D.        Corrective Action Required  
 
DDARS must submit a corrective action plan to RSA within 45 days of the
receipt of this report that includes written procedures for conducting
public meetings regarding the SPIL, including public notification of the
meeting.  DDARS must consult with ICIOL in the development of the plan. 
 
2.         Identification of State-Imposed Requirements 
            
A.        Legal Reference  
 

34 CFR 364.20(h) -The State Plan must assure that, at the public
meetings to develop the State plan, the DSU and SILC identify those
provisions in the State plan that are State-imposed requirements. 
 
Indiana SPIL FY 2002-2004 - Section 3.3(b)(iv)
 
B.         Verification Sources 
 
Official transcripts of public hearings; interviews with DDARS staff,
members of ICOIL; official minutes of ICOIL business meetings;
interviews of present and past chairpersons of ICOIL. 
 
C.        Finding   
 
The DSU and SILC failed to identify, at the public meetings to develop
the FY 2002-2004 State plan, the provisions in the State plan that are
State-imposed requirements.  The transcripts of the public hearings to
develop the FY 2002-2004 SPIL indicate that no State-imposed
requirements were identified for the public during the hearings.  In
addition, none of the documents available for the public to review
during the public meeting period (FY1999-2001 SPIL, RSA pre-print of
SPIL with no State information filled in, FY 1999-2001 SPIL with
proposed changes) identified the provisions of the State plan that were
State-imposed requirements.
 
D.        Corrective Action Required   
 
DDARS must submit a corrective action plan to RSA within 45 days of the
receipt of this report that includes an assurance that DDARS and ICOIL
will identify those provisions in the State plan that are State-imposed
requirements at the public meetings to develop the State plan for
FY2005-2007 and for subsequent fiscal years.  DDARS must consult with
ICOIL in the development of the corrective action plan.   
 
CONCLUSION
 
Based upon the findings in this monitoring report, DDARS is required to
submit a comprehensive corrective action plan for RSA approval within 45
days of the date of receipt of this report, developed in collaboration
and consultation with ICOIL.  The submitted plan must address each
corrective action plan item noted in this report.  The corrective action
plan is to be submitted to the Chicago Regional Office to the attention
of Ms. Janette Shell, Regional Representative for Independent Living.
Any questions regarding the contents of this report should be directed
to Ms. Shell at 312-886-8631.      
 
RSA recognizes that 45 days is a short timeframe considering the number
of items that must be included in the corrective action plan.  However,
many of the areas of noncompliance relate to issues that must be
resolved in order for DDARS and ICOIL to work together to jointly the
develop the FY2005 - 2007 SPIL, and according to the FY2002 - 2004 SPIL,
development of the next State plan should have begun in January 2003.
RSA is available for technical assistance in order to ensure that the
Indiana FY2005 - 2007 SPIL is developed in accordance with Federal law
and regulations, including the following requirements:
 
1.         Establish a SILC consistent with section 705 of the Act,
including members who provide statewide representation; represent a
broad range of individuals with disabilities from diverse backgrounds;
are knowledgeable about CILs and IL services.
 
2.         All members of the SILC must be appointed by the Governor,
including the director of a CIL, chosen by the directors of CILs within
the State, and the ex-officio representatives of the DSU and the other
State agencies that provide services for individuals with disabilities.
 
3.         No members of the SILC may serve beyond the expiration of
their terms.   
 
4.         The SILC must be independent from the DSU in its
administration and fiscal responsibilities, and the DSU shall not assign
duties to any employee serving as a SILC staff person or other personnel
that creates a conflict of interest. 
 
5.         The DSU and SILC must take action so that, in the SPIL, they
can address the needs in the State for IL services, the statewide
network of centers, and the working relationships between IL service
providers, including centers, and the VR program under title I and other
programs serving individuals with disabilities. 
 
6.         The DSU and SILC must establish and maintain written
procedures for public meetings held in connection with the development
of the SPIL and must actively consult in the development of the SPIL
with the Director of the CAP program in Indiana.
 
7.         The DSU and the SILC must identify the State-imposed
requirements in connection with the State’s operation of IL programs
under the Act in the SPIL and at the public meetings held in connection
with the SPIL.  The State may meet the requirement to identify any
State-imposed requirements at the public meetings if it either lists the
requirements in a draft of the State plan and that draft is available
for review at the meetings or if the State participants discuss the
requirements at the meetings.  

 
 








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