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1.1 The designated State unit (DSU) eligible to submit the State Plan for Independent Living (SPIL or the plan) and authorized under State law to perform the functions of the State under the State Independent Living Services (SILS) and Centers for Independent Living (CIL) programs.

1.2 The separate State agency eligible to submit the plan and authorized under State law to provide vocational rehabilitation (VR) services to individuals who are blind.

1.3 The Statewide Independent Living Council (SILC) that meets the requirements of section 705 of the Act and is authorized to perform the functions outlined in section 705(c) of the Act in the State.

2.1A Check the appropriate boxes in the SPIL Instrument table indicating the types of IL services to be provided to meet the objectives identified in section 1.2 of this SPIL, and whether the services will be provided by the CILs or by the DSU (directly and/or through contract or grant).

2.1B Describe any service provision priorities, including types of services or populations, established for meeting the SPIL objectives identified in section 1.2.

The priority services identified by Maine SILC through its forums and online questionnaire are as follow:

1. Organizational Capacity of SILC Goal: Increase the capacity of the organization and its members' effectiveness.

2. Transportation Goal: Provide people with disabilities a better understanding of available transportation services in Maine.

3. Emergency Planning and Preparedness Goal: Educate people with disabilities regarding individual emergency planning and preparedness and collaborate with local officials to ensure that they are aware of the needs and rights of people with disabilities before emergencies occur.

4. Housing Goal: Promote increased housing opportunities for people with disabilities in accessible, affordable, integrated settings.

5. Community-Based Living Goal: Promote and advocate for more community-based living situations for people with disabilities in Maine.

6. Economic Self-Sufficiency Goal: Investigate resources available to increase the economic self-sufficiency of people with disabilities in Maine.

2.1C If the State allows service providers to charge consumers for the cost of services or to consider the ability of individual consumers to pay for the cost of IL services, specify the types of IL services for which costs may be charged and for which a financial need test may be applied, and describe how the State will ensure that:

• Any consideration of financial need is applied uniformly so that all individuals who are eligible for IL services are treated equally; and
• Written policies and consumer documentation required by 34 CFR 364.59(d) will be kept by the service provider.

In Maine, services to develop an IL plan are provided without a financial needs test. However, within the Title VII part B, IL program individual consumer financial resources are assessed on a case by case basis using a standardized worksheet to determine consumer participation.

Various programs have financial eligibility requirements e.g. the mPower the Adaptive Equipment Loan Program has established financial procedures through the Finance Authority of Maine FAME to ensure equitable service provision.

2.2A If the DSU will provide any of the IL services identified in section 2.1A through grants or contractual arrangements with third parties, describe such arrangements.

The Division of Vocational Rehabilitation (DVR), is administrator of Part B funds for both DVR and DBVI, and develops an annual contract with Maine's CIL to deliver independent living services funded under part B of title VII of the federal 1973 Rehabilitation Act. The funding is used to provide for delivery of essential services to individuals with disabilities so they can live more independent lives. These services are identified in Table 2.1A. The three-year State Plan for Independent Living (SPIL) establishes priorities for the SILC funding and how it shall be used.

2.2B If the State contracts with or awards a grant to a center for the general operation of the center, describe how the State will ensure that the determination of an individual's eligibility for services from that center shall be delegated to the center.

Maine is a 722 state; the general operation of the CIL is not funded under state contract.

Provide an overview of the existing network of centers, including non-Part C-funded centers that comply with the standards and assurances in section 725 (b) and (c) of the Act, and the geographic areas and populations currently served by the centers.

Maine is served by Alpha One which has three offices in Maine. They are located regionally so as to make service available to consumers where needed. Offices are in South Portland, Bangor, and Presque Isle, each about two hours apart. Alpha One receives funding to deliver IL services from Part B, Part C, SSA and state funds.

Describe the design for the further expansion of the network, including identification of the unserved and underserved areas in the State and the order of priority for serving these areas as additional funding becomes available (beyond the required cost-of-living increase).

Alpha One is the only center for independent living in Maine. Alpha One delivers services statewide through a network of offices, home visits, and outreach. Founded in 1978, Alpha One continues to develop programs that extend its array of IL services to reach all Maine citizens with disabilities. Expansion of the IL network is not anticipated at this time. Alpha One surveys individuals who contact them or use their students to better understand unmet needs and to shape program development.

Alpha One will be funded at the same Part C level as last year. Alpha One will receive 100% of any additional Part C funds. If a Cost of Living Adjustment is approved, Alpha One will receive the associated increase in funding.

3.3A If the State follows an order of priorities for allocating funds among centers within a State that is different from what is outlined in 34 CFR 366.22, describe the alternate order of priority that the DSU director and the SILC chair have agreed upon. Indicate N/A if not applicable.

N/A

3.3B Describe how the State policies, practices and procedures governing the awarding of grants to centers and the oversight of these centers are consistent with 34 CFR 366.37 and 366.38.

N/A

4.1A Describe the administrative support services to be provided by the DSU for the SILS (Part B) program and, if the State is a Section 723 State, for the CIL (Part C) program.
Refer to the SPIL Instructions for additional information about administrative support services.

Maine SILC is a 501(c)3 and through a contract with administered by DVR carries out its own administrative support activities. The DVR DSU is the contract manager for the Maine SILC contract on behalf of both general VR and the Division for the Blind and Visually Impaired. DVR provides administrative support to oversee the SILC contract.

DVR, on behalf of both itself and DBVI, contracts with AlphaOne to deliver Part B Independent Living services and provides administrative and fiscal oversight of that contract. DVR is available to provide technical support and assistance to Alpha One on grant related issues. The contract provisions require that Alpha One will follow appropriate fiscal and programmatic record keeping, meet EEO requirements, as well as that they will comply with all requirements of the American Recovery and Reinvestment Act.

4.1B Describe other DSU arrangements for the administration of the IL program, if any.

N/A

5.1A Describe the resource plan prepared by the SILC in conjunction with the DSU for the provision of resources, including staff and personnel, made available under parts B and C of chapter 1 of title VII, section 101(a)(18) of the Act, and from other public and private sources that may be necessary to carry out the functions of the SILC identified in section 705(c). The description must address the three years of this SPIL.

• Refer to the SPIL Instructions for more information about completing this section.

The SILC budget resources for this SPIL period are detailed in 1.3 A Financial tables. It is anticipated the SILC will be level funded at $ 27,500 from Title VII part B funds in each of year of this SPIL. The SILC, also, relies heavily on the numerous hours volunteered by its membership and other interested parties to further IL services to Maine's citizens. The SILC also benefits from use of state agency conference rooms and teleconferencing systems for meetings. The CIL also donates meeting space for meetings.

5.1B Describe how the following SILC resource plan requirements will be addressed.

• The SILC's responsibility for the proper expenditure of funds and use of resources that it receives under the resource plan.

The DSU carefully monitors the Maine SILC contract with DVR and works closely with them to ensure proper expenditures of funds according to the resource plan. Resources available to the SILC for their annual contract at this time are Title VII part B and SSA reimbursement funds.

The SILC did receive a grant from a private organization several years ago to use to fund special projects. This is not reflected in the SILC resource plan as this fund is in a separate bank account and its use is reported to the SILC quarterly. As a 501(c)3 organization non-profit, Maine SILC is not a state agency. The Maine SILC carefully monitors and shepherds resources, finding in-kind opportunities when necessary.

• Non-inclusion of conditions or requirements in the SILC resource plan that may compromise the independence of the SILC.

The DSU mandates no requirements that would compromise the independence of the SILC.

• Reliance, to the maximum extent possible, on the use of resources in existence during the period of implementation of the State plan.

The SILC will maximize the available resource plan funding during the period of this state plan.

Describe how the establishment and placement of the SILC ensures its independence with respect to the DSU and all other State agencies. Refer to the SPIL Instructions for more information about completing this section.

The Maine SILC became incorporated in the State of Maine as Statewide Independent Living Council, and it received federal 501(c)3 tax exempt status in 2004. The Maine SILC is an independent organization and is not contained within any State agency.

Describe the process used by the State to appoint members to the SILC who meet the composition requirements in section 705(b). Refer to the SPIL Instructions for more information about completing this section.

The SILC membership committee recruits individuals to serve on the Council, and a list is developed to be approved by the SILC membership. These nominees are asked to make formal application to the Governor for appointment to the Council. The Governor has appointed all members to the Council. Individuals are able to serve two three-year terms according to the by-laws.

Describe how the following SILC staffing requirements will be met.

• SILC supervision and evaluation, consistent with State law, of its staff and other personnel as may be necessary to carry out its functions.

The SILC staffing is carried out by its employee, who is the administrative assistant. It is a part-time position of 10 to 20 hours per month. The chair of the SILC is the administrative assistant's supervisor. The representative of the DSU provides an interface of communication between both division directors to the SILC and from SILC to the division directors.

The DSU representative is responsible for annual reporting and SPIL submission to RSA after the reports have been developed in conjunction with the SILC.

• Non-assignment of duties to SILC staff and other personnel made available by the DSU, or any other State agency or office, that would create a conflict of interest while assisting the SILC in carrying out its duties.

N/A

• Inclusion of personnel who are specialists in the development and provision of IL services and in the development and support of centers.

Alpha One, the CIL, ensures that these requirements are carried out under the contract between DVR and Alpha One which is monitored by the DSU and the contract manager.

• Availability, to the maximum extent feasible, of personnel able to communicate (1) with individuals with significant disabilities who rely on alternative modes of communication, such as manual communication, nonverbal communication devices, Braille, or audio tapes and (2) in the native languages of individuals with significant disabilities whose English proficiency is limited and who apply for or receive IL services under title VII of the Act.

Alpha One provides effective communication with deaf or blind individuals and have individuals with disabilities on staff. Both the SILC and CIL provide materials in alternative formats as needed and upon request. (The DSU also has ASL skills)

• Establishment and maintenance of a program of staff development for all classes of positions involved in providing IL services and, where appropriate, in administering the CIL program, improving the skills of staff directly responsible for the provision of IL services, including knowledge of and practice in the IL philosophy.

The CIL is responsible for maintaining and encouraging staff development for it's employees. The Director of the CIL provides the history and philosophy of IL for both the staff of Alpha one and new members to SILC.

• Affirmative action to employ and advance in employment qualified individuals with significant disabilities on the same terms and conditions required with respect to the employment of individuals with disabilities under section 503 of the Act.

Reports are made to the Maine SILC upon request. Alpha One is an affirmative action agency and a program of regular staff development.

There is a contract between the Division for the Blind and Visually Impaired and the IRIS Network http://www.theiris.org/ for individuals receiving services under OIB. This program specializes in services for individuals with vision loss.

• Adoption of those fiscal control and fund accounting procedures as may be necessary to ensure the proper disbursement of and accounting for funds made available through parts B and C of chapter 1 of title VII of the Act, in addition to complying with applicable EDGAR fiscal and accounting requirements.

The SILC, under Maine state law and in accordance with operations as a 501 (c) 3 non-profit, has selected Alpha One Enterprises to act as fiscal intermediary for the State Independent Living Council (SILC) and to maintain appropriate internal controls to ensure the proper disbursement of and accounting for funds made available to the SILC. On an annual basis, SILC records maintained by Alpha One Enterprise are further reviewed by an independent accounting firm.

• Maintenance of records that fully disclose and document the information listed in 34 CFR 364.35.

Financial records for the State Independent Living Council (SILC) as maintained by Fiscal Intermediary, Alpha One Enterprises, are kept at Alpha One Enterprises main facility at 127 Main Street, South Portland, Maine. Access shall be made available to duly authorized personnel upon request. Quarterly and annual financial reports are submitted as required by contract.

The contracts and additions financial records for both contracts are kept by the contract managers at the DVR as well as by SILC and Alpha One. Access is made available to duly authorized representatives as requested. Both the SILC and CIL submit annual reports as deemed necessary by the Secretary.

• Submission of annual performance and financial reports, and any other reports that the Secretary determines to be appropriate

The contracts and additions financial records for both contracts are kept by the contract managers at the DVR as well as by SILC and Alpha One.

• Access to the Commissioner and the Comptroller General, or any of their duly authorized representatives, for the purpose of conducting audits, examinations, and compliance reviews, to the information listed in 34 CFR 364.37.

Access is made available to duly authorized representatives as requested. Both the SILC and CIL submit annual reports as deemed necessary by the Secretary.

The DSU contracts directly with both the SILC and with the CIL. The CIL’s only financial connection with the SILC is as its contracted fiscal agent.

• Eligibility of any individual with a significant disability, as defined in 34 CFR 364.4(b), for IL services under the SILS and CIL programs.

The DSU does not provide direct independent living services and contracts with the CIL to provide said services.

The eligibility of individuals seeking independent living services for IL is established rules adopted through the Maine Administrative Procedure Act. The Independent Living Services rules promulgated in 2008 eligibility and nondiscrimination language is below. These rules can be found at http://www.maine.gov/sos/cec/rules/12/152/152c007.doc. The ILS Program is operated in compliance with the Federal Rehabilitation Act of 1973, as Amended. The legal authorities for the policies contained in the ILS Services Policy Manual are Title 29 U.S.C. 720 et seq.; Title 34 CFR Part 365 in the Federal Register, and Title 26 M.R.S.A., Chapter 19, section 1411, et seq.

Independent Living Services rules state:

An individual is eligible for ILS Program services if an evaluation documents the following:

A. That the individual has a significant physical or mental disability which for that individual constitutes or results in a severe limitation(s) in ability to function independently in family or community setting;

B. That IL Services may reasonably be expected to assist the individual to function independently in a family or community setting; and

C. The consumer’s ability to direct the IL service planning and selection with or without assistance.

D. The evaluation(s) shall take into consideration any relevant case record materials available from the ILS Program or other sources. A special diagnostic study(ies) shall be conducted for purposes of determining eligibility for IL Services only if already available information is not complete, relevant, or current. The evaluation(s) shall be sufficient in scope to determine which services will best meet the current needs of the individual for functioning more independently in family or community setting.

• Ability of any individual to seek information about IL services under these programs and to request referral to other services and programs for individuals with significant disabilities.

Independent Living Services rules state:

When appropriate, ILS Program staff shall provide advocacy or referral necessary to support people with significant disabilities in securing needed services or goods from other agencies and organizations.

• Determination of an individual's eligibility for IL services under the SILS and CIL programs in a manner that meets the requirements of 34 CFR 364.51.

Independent Living Services rules state:

Any person who applies for services shall undergo an eligibility determination, the results of which shall be shared with the individual. An applicant is anyone who signs a dated application or letter requesting IL Services. An evaluation(s) will take place, at no cost to the consumer, to provide information for the eligibility decision. At any time in this process that it is determined the individual is not eligible for IL Services, the evaluation shall cease. Appropriate notification will be provided to the individual.

• Application of eligibility requirements without regard to age, color, creed, gender, national origin, race, religion, or type of significant disability of the individual applying for IL services.

Independent Living Services rules state:

When appropriate, ILS Program staff shall provide advocacy or referral necessary to support people with significant disabilities in securing needed services or goods from other agencies and organizations.

• Non-exclusion from receiving IL services of any individual who is present in the State and who is otherwise eligible for IL services, based on the imposition of any State or local residence requirement.

Independent Living Services rules state:

There is no residency requirement which would exclude from services a person living in Maine.

• Provision of IL services in accordance with an IL plan complying with Sec. 364.52 and mutually agreed upon by the individuals with significant disabilities and the appropriate service provider staff unless the individual signs a waiver stating that an IL plan is unnecessary.

Independent Living Plans are developed in conjunction with and signed by the consumer and Alpha One. All consumers are informed of their right to waive the development of an IL plan waiver. Consumers who waive the right to develop a waiver are still able develop IL goals and to receive IL services to achieve those goals.

• Use of accessible formats to notify individuals seeking or receiving IL services under chapter 1 of title VII about the availability of the CAP program, the purposes of the services provided under the CAP, and how to contact the CAP.

The CAP information is available on line from the BRS website http://www.maine.gov/rehab/cap.shtml; there is also a link directly to the Website http://www.caresinc.org/cap.htm. The contact information includes this CAP contractor, the street address, as well as local and toll-free telephone/TTY numbers.

Alpha One regularly informs consumers about the existence and purpose of the CAP program.

• Adoption and implementation of policies and procedures meeting the requirements of 34 CFR 364.56(a), to safeguard the confidentiality of all personal information, including photographs and lists of names.

Safeguards for individuals seeking independent living services are detailed in the Independent Living Services rules promulgated in 2008 in the Confidentiality section. These rules can be found at http://www.maine.gov/sos/cec/rules/12/152/152c007.doc. (Please, see example below.)

The rules governing the OIB program also address confidentiality and privacy of these rules can be found at http://www.maine.gov/sos/cec/rules/12/150/150c105.doc and over promulgated in 2007.

SECTION 2. CONFIDENTIALITY

All personal information acquired by the ILS shall only be used and released for purposes directly connected with the administration of the ILS Program. Use and release of personal information acquired by the ILS Program shall conform with applicable Federal Regulations and State laws. Personal information will be released with the informed written consent of the consumer or their duly authorized representative.

1.For purposes of this policy, informed written consent shall mean a document that:

A. is in language and a communication format that the person understands. Alternative communication shall be provided to the consumer, such as voice, American Sign Language, Braille, or augmented technology, and shall be documented in the case record as declared by the consumer for the purpose of releasing or sharing specific information with parties designated by the consumer;

B. is signed and dated by the consumer or duly authorized representative;

C. is specific in designating the ILS Program as the agency or person authorized to disclose information;

D. is specific as to the nature of the information which may be released;

E. specifically designates the parties by whom the information may be used;

F. specifically indicates the duration of the release of information.

2. Release to Consumer or Duly Authorized Representative

Upon informed written consent by the individual with disabilities or duly authorized representative, all information in the case record shall be made available in a timely manner, except:

A. information obtained from outside the ILS Program may be released only under the conditions established by the outside agency or organization.

3. Release To Other Programs

Upon informed written consent of the individual with disabilities or duly authorized representative, Maine ILS Program may release to another agency or organization information that may be released to the individual with disabilities and only to the extent that the other agency demonstrates that the information is necessary for its program.

A. Maine ILS Program must release personal information, with or without consent of the individual, if required by State and Federal law, if in response to investigations in connection with law enforcement, fraud, or abuse, (except where expressly prohibited by Federal or State laws or regulations), and in response to an order issued by a judge, magistrate, or other authorized judicial officer.

B. The Maine ILS Program may release personal information without informed written consent of the individual in order to protect the individual or others when the individual poses a threat to his/her safety or the safety of others except for HIV test results which may not be released without informed written consent of the individual.

4. Release for Audit, Evaluation or Research

At the discretion of the ILS Program Manager/Supervisor, personal information may be released to an organization, agency or individual engaged in audit, evaluation, or research only for purposes directly connected with the administration of the ILS Program, or for purposes which would significantly improve the quality of life for people with disabilities and only if the organization, agency or individual assures that:

A. the information shall be used only for the purposes for which it is being provided;

B. the information shall be released only to persons officially connected with the audit, evaluation or research;

C. the information shall not be released to the involved individual;

D. the information shall be managed in a manner to safeguard confidentiality; and

E. the final product will not reveal any personal identifying information without the informed written consent of the involved individual or duly authorized representative.

5. Release of Records for Testimony

An employee of a Maine ILS Program shall not testify in court or in an administrative hearing; nor release records without the consent of the individual or their duly authorized representative unless ordered to do so by a judge, magistrate, or other authorized judicial officer.

Alpha One's policies also address confidentiality which can be found on their web page www.Alphaonenow.org.

All programs require that release of information forms be explained to individuals prior to their signature.

Identify any State-imposed requirements contained in the provisions of this SPIL.

Maine has no state imposed means test. . However, within the Title VII part B IL program individual consumer financial resources are assessed on a case by case basis using a standardized worksheet to determine consumer participation.

Various programs have financial eligibility requirements e.g. the mPower the Adaptive Equipment Loan Program has established financial procedures through the Finance Authority of Maine FAME to ensure equitable service provision.

The following information is captured by the MIS.