Survey Validation And On-Site Assessments

The survey results allowed a preliminary categorization, but as suggested by federal CMS and in public comments, the State is using other methods to reach a final assessment of its settings’ initial compliance with the federal HCBS rules. The State’s final assessment will be reached through the following steps:

• For all settings, the State will consider public input. The State published a list of Category 3 and 4 sites in the Illinois Register on April 1^st, 2016, and solicited public comment on the sites included and omitted from the list. The public notice is available below:

April 1, 2016 Solicitation of Public Comment on HCBS Settings

• For all settings preliminary listed in Categories 3 and 4, the State’s assessment will be determined by an on-site visit conducted by the agency with normal oversight of the setting to be visited. For example, HFS will conduct the on-site visit for the Supportive Living Program, and DHS will conduct the on-site visit for a Community Integrated Living Arrangement. These visits will be based on the survey validation tool available below:

Survey Validation Assessment Tool

• Settings preliminarily listed in Categories 1 and 2 will not be asked to host an on-site assessment unless they are randomly selected as part of the statistically valid sample of settings the State visits to validate its self-assessment survey results, as required by CMS.
  • Category 1 and 2 sites not randomly selected for an on-site visit will be assessed as either initially compliant or near compliant, and need only maintain or demonstrate compliance at the next regular monitoring visit.  
  • Category 1 and 2 sites selected for an on-site visit will host on-site assessment visits just as Category 3 and 4 sites will, and their initial compliance will be assessed by the results of those visits.

For all settings that receive an on-site assessment, the results of the assessment will undergo an HFS desk audit, with oversight from a multi-agency committee. This committee will review the results of a sample of the visit reports, and will review all reports for Category 3 and 4 settings, in light of its knowledge of each site and other State records.

In total, the State will conduct on-site assessments on 336 Category 1 and 2 sites and 85 Category 3 and 4 sites, for a total of 421 visits. The chart below shows the number of visits broken down by HCBS program operating agency.