Chapter 4: Reporting

Revision 19-0; Effective March 1, 2019

 

4.1 Self-Evaluation and Performance Measurement

A CIL must:

Information must be available about the:

 

4.2 CIL Responsibility to Inform HHSC of Changes

The CIL must inform the HHSC contract manager when any of the following conditions occur:

 

4.3 Budget Revision

The service provider prepares a work plan with activities for carrying out the Independent Living Base Grant Program. Work plan activities are required for all service providers. The service provider has the responsibility to fulfill the approved work plan and comply with the Independent Living Base/Operational Grant Standards for Service Providers requirements.

The contract budget shall reflect anticipated costs associated with the activities outlined in the work plan.

Costs are to be budgeted under the following cost categories:

Funds budgeted by cost category cannot be moved to other cost categories without requesting and receiving approval from HHSC through a formal budget revision.

To request a budget revision, the service provider must submit an HHSC Centers for Independent Living Program Contract Budget Revision, reflecting the revised budget request (with the justification included) for review and approval by the contract manager.

 

4.4 Required Reports

A CIL that receives HHSC funding must submit reports as described below. CIL records must support all data reported, including that amounts in fiscal reports match amounts in accounting records.

 

Program Reports
Name Cycle Due Date Submit To
Form 3161, Demographic Information Monthly By day 8 of the following month Contract Manager
Form 3160, Program Performance Report Quarterly Within 30 calendar days of the end of the quarter, or in the case of the Q4 (annual) Quarterly Performance Report, within 45 days of the end of the quarter Contract Manager
Annual Performance Report for the State Independent Living Services Program, (RSA 704 Report, Part II) Annual By December 31

Contract Manager

SILC

Consumer Satisfaction Survey results Annual 30 days after the end of the grant period Contract Manager

 

Financial Reporting
Name Cycle Due Date Submit To
Budget Workbook (includes):      
  • original budget
Annual With Application/ Renewal Contract Manager
  • Form 3157, Base/Operational Grant Quarterly Financial Report and Analysis
Quarterly Due within 30 days after the close of the quarter Contract Manager
  • Form 3470, Request for Advance or Reimbursement (RAR) Centers for Independent Living Base/Operational Grant
Monthly

Request for Reimbursement: Due within 30 days after the close of the reporting month.

Advances: No more than 30 days prior to the month of the advance request.

Contract Manager
As needed As needed Contract Manager
Single Audit (if applicable) Annual

The earlier of

  • 30 days after receipt of the auditor's report; or
  • nine months after the end of the CIL's fiscal year

HHS OIG

Contract Oversight and Support

Contract Manager

Audited Financial Statements (if not subject to single audit requirement) Annual

The earlier of

  • 30 days after receipt of the auditor's report; or
  • nine months after the end of the CIL's fiscal year
Contract Manager

 

4.5 Program Reports

Consumer Demographic Information

Each month, CILs use Form 3161, Consumer Demographic Information, to list the number of consumers served, the number of services provided and the types of services provided.

Quarterly Program Performance Report

Each quarter, CILs use Form 3160, Quarterly Program Performance Report, to report progress and achievements on goals and objectives contained in the work plan as part of the CIL grant.

Annual Performance Report for the State Independent Living Services Program, (RSA 704 Report, Part II)

All HHSC-funded CILs must submit a copy of the RSA 704 Part II report to HHSC and the State Independent Living Council (SILC). This report should be submitted electronically, preferably as an electronic file that can be edited, or alternatively, scanned and emailed to the HHSC Program Specialist for Policy and Reporting (PSPR).

Consumer Satisfaction Survey Results

The Consumer Satisfaction survey measures consumer satisfaction about benefits received from services. The CIL must provide the results of the consumer satisfaction survey to the HHSC PSPR no later than 30 days after the end of the grant period (typically August 31).

 

4.6 Financial Reports

Financial reports including the original annual budget, quarterly financial report, program income report, and budget revision request are included in the budget workbook, an Excel workbook. Reports are linked in order to support ongoing budget oversight. When a report is due, it should be saved separately, named appropriately and submitted to the contract manager.

The CIL should request approval from the contract manager when the CIL needs to use funds within budget categories differently than is shown in the budget justification worksheets.

 

4.6.1 Request for Advance or Reimbursement (RAR)

HHSC will process an RAR to advance up to 30 days of operating funds if the CIL meets the requirements of the contract and requests to use advances. If the CIL selects reimbursement of actual costs, the payment will reflect the allowable costs for the period billed. An RAR must be submitted by the 10th day of each month and approved by HHSC before payment. The RARs must be submitted at least every 90 days.

 

4.7 Audit Requirements

All CILs are required to obtain annual financial audits conducted by an independent auditor in compliance with Generally Accepted Auditing Standards (GAAS), as published by the American Institute of Certified Public Accountants.

Single Audit (if applicable)

The CIL must arrange for a financial and compliance audit (single audit) if required by OMB Circular A-133. The resulting single audit report must be approved by the CIL board and, if necessary, a corrective plan must be developed. The CIL must comply with the following requirements:

Audited Financial Statements

If a single audit is not required, the CIL still must obtain an annual financial audit. All CIL financial statements must be audited annually, regardless of grant size.

Audited financial statements must include:

The audited financial statements must be submitted to the designated HHSC contract manager within one of the deadlines below, whichever is earlier: