Resolution 253-1987
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, .
Louis LaTorre, Director
Social Services Department
RESOLUTION NO. 253 -1987
A RESOLUTION OF THE BOARD OF COUNTY COMMIS-
SIONERS OF MONROE COUNTY, FLORIDA, APPROVING
AND AUTHORIZING THE MAYOR TO EXECUTE
CONTRACT #88-55-878 BY AND BETWEEN THE UNITED
WAY OF DADE COUNTY, INC./AREA AGENCY ON AGING
FOR DADE AND MONROE COUNTIES AND THE BOARD OF
COUNTY COMMISSIONERS OF MONROE COUNTY
CONCERNING MONROE COUNTY IN-HOME SERVICES.
BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF
MONROE COUNTY, FLORIDA, that said Board hereby approves and
authoriz~ the Mayor to execute Contract #88-55-878 by and
between the United Way of Dade County, Inc./Area Agency on Aging
for Dade and Monroe Counties and the Board of County
Connnissioners of Monroe County, a copy of same being attached
hereto, concerning Monroe County In-Home Services.
PASSED AND ADOPTED by the Board of County Connnissioners of
Monroe County, Florida, at a special meeting of said Board held
on the 22ndday of June., A. D. 1987.
BOARD OF COUNTY COMMISSIONERS
OF MONROE COUNTY, FLORIDA
(SEAL)
ATTEST:DANNX 14 KOLHAGE, Clerk
J~
AIRMAN
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TITLE
CONTRACT # 88-55-878
GENERA L REVENUE
CONTRACT BETWEEN
UNITED WAY OF DADE COUNTY, INC.
AREA AGENCY ON AGING FOR DADE AND MONROE COUNTIES
THIS CONTRACT is entered into between the UNITED WAY OF DADE
COUNTY/AREA AGENCY ON AGING FOR DADE AND MONROE COUNTIES/. here-
inafter referred to as the "Area Agency," and MONROE COUNTY BOARD OF
COu~TY COMMTSSTONERSI.MONROE IN-HOME SERVICES
, hereinafter referred to as the "Lead Agency."
The Parties agree:
I. The Lead Agency agrees:
A. To provide services according to the conditions
specified in Attachment I.
B. Federal and State Laws and Regulations
1. If this contract contains Federal funds, the Lead
Agency shall comply with the provisions of 45 CFR,
Part 74, and other applicable regulations as
specified in Attachment I.
2. If this contract contains Federal funds and is over
$100,000, the Lead Agency shall comply with all
applicable standards, orders, or regulations issued
pursuant to the Clean Air Act as amended (42 USC
1857 et seq.) and the Water Pollution Control Act as
amended (33 USC 1368 et seq. >.
3. The Lead Agency agrees to complete the Civil Rights
Compliance Questionnaire, HRS Forms 946 A, and B if
so requested by the department.
C. Audits and Records
1. To maintain books, records and documents in
accordance with accounting procedures and practices
which sufficiently and properly reflect all
expenditures of funds provided by the Area Agency
under this contract.
2. To assure that these records shall be subject at all
times to inspection, review, or audit by Area Agency
and Department of Health and Rehabilitative
Services, State of Florida, personnel and other
personnel duly authorized by the Department, as well
as by Federal personnel.
3. To ~aintain and file with the Area Agency such
progress, fiscal, inventory and other reports as the
Area Agency many require within the period of this
contract.
4. To include these aforementioned audit and record-
keeping requirements in all approved subcontracts
and assiglUl1ents.
5. To allow public access to all documents, papers,
letters or other material subject to the provisions
of Chapter 119, F.S., and made or received by the
Lead Agency in conjunction with this contract. It
is expressly understood that substantial evidence of
the Lead Agency's refusal to comply with this
provision shall constitute a breach of contract.
D. Retention of Records
1. To retain all financial records, supporting
documents, statistical records, and any other
documents pertinent to this contract for a period of
five (5) years after termination of this contract,
or if an audit has been initiated and audit findings
have not been resolved at the end of five (5) years,
the records shall be retained until resolution of
the audit findings.
2. Persons duly authorized by the Area Agency, and
Federal Auditors, pursuant to 45 CFR, Part 74.24
(a.>, (b), and (d) shall have full access to, and the
right to examine any of said records and documents
during said retention period.
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E. Monitoring
1. To provide progress reports, including data
reporting requirements as specified in Attachment I.
These reports will be used for monitoring progress
or performance of the contractual services as
specified in Attachment I.
2. To provide access to, or to furnish whatever
information is necessary to effect this ~onitoring.
3. To permit the Area Agency to monitor the
aforementioned service program operated by the Lead
Agency or subcontractor or assignee according to
applicable regulations of the State and Federal
goverlUl1ents. Said monitoring will include access to
all client records.
F. Indemnification
The Lead Agency shall be liable, and agrees to be liable
for, and shall indemnify, defend, and hold the Area
Agency harmless from all claims, suits, judgements or
damages, including court costs and attorney fees,
arising out of negligence or omissions by the Lead
Agency in the course of the operation of this contract.
G. Insurance
The responsibility for providing adequate liability
insurance coverge on a comprehensive basis shall be that
of the Lead Agency and shall be provided at all times
during the existence of this contract. Upon the
execution of this contract, the Lead Agency shall
furnish the Area Agency with written verification of the
existence, of such insurance coverage.
H. Safeguarding Information
The Lead Agency shall not use or disclose any
information concerning a recipient of services under
this contract for any purpose not in conformity with the
State Regulations and Federal Regulations (45 CFR, Part
205.50), except upon written consent of the recipient,
or his responsible parent or guardian when authorized by
law.
I. Client Information
The Lead Agency shall submit to the Depart~ent manage-
ment and program data, including client identifiable
data, as specified by the Area Agency in Attachment I
for inclusion in the HRS Client Information System.
J. AssiglUl1ents and Subcontracts
The Lead Agency shall neither assign the responsibility
of this contract to another party nor subcontract for
any of the work contemplated under this contract without
prior written approval of the Area Agency. No such
approval by the Area Agency of any assignment or
subcontract shall be deemed in any event or in any
manner to provide for incurrence of any obligation of
the Area Agency in addition to the total dollar a~ount
agreed upon in this contract. All such assignments or
subcontracts shall be subject to the conditions of this
contract (except Section 1, paragraph 0) and to any
conditions of approval that the Area Agency shall deem
necessary. The Lead Agency will be responsible for the
performance of any subcontractor. The Lead Agency shall
provide and subcontract for services in accordance with
the CCE Plan of Action.
K. Financial Reports
To provide financial reports to the Area Agency as
specified in Attachment I. A final expenditure report
will be made to the Area Agency within forty (40) days
after the termination of this contract.
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L. Return of Funds
The Lead Agency agrees to return to the Area Agency any
overpayments due to unearned funds or funds disallowed
pursuant to the terms of this contract that were
disbursed to the Lead Agency by the Area Agency. Such
funds shall be considered Area Agency funds and shall be
refunded to the Area Agency. The refund shall be due
within forty (40) days from the time the overpayment is
discovered unless otherwise authorized by the AREA
AGENCY in writing and attached to this contract.
M. Unusual Incident Reporting
If services to clients will be provided under this
contract the Lead Agency and any subcontractors shall
report to the Area Agency unusual incidents in a manner
prescribed in HRSR 0-10-1.
N. Transportation Disadvantaged
If clients will be transported under this contract, the
Lead Agency will subcontract with the designated
co~unity Coordinated Transportation Provider, or other-
wise comply with the provisions of Chapter 427, Florida
Statutes. The Lead Agency shall submit to the Area
Agency the reports required pursuant to Volume 10, HRS
Accounting Procedures Manual.
O. Purchasing
It is expressly understood and agreed that any articles
which are the subject of, or required to carry out this
contract shall be purchased from Prison Rehabilitative
Industries and Diversified Enterprises, Inc. (PRIDE)
identified under Chapter 946, F.S., in the same Nanner
and under the procedures set forth in Section 946.15
(2), (4), F.S.; and for purposes of this contract the
person, firN, or other business entity carrying out the
provisions of this contract shall be deemed to be
substituted ~or this agency insofar as dealings with
PRIDE. This clause is not applicable to any
subcontractors, unless otherwise required by law.
P. Civil Rights Certification
The Lead Agency gives this assurance in consideration of
and for the purpose of obtaining Federal grants, loans,
contracts (except contracts of insurance or guaranty),
property, discounts, or other Federal financial
assistance to programs or activities receiving or
benefiting ~rom Federal financial assistance.
The Lead Agency assures that it will comply with:
1. Title VI of the Civil Rights Act of 1964, as
amended, 42 U.S.C. 2000d et. seq., which prohibits
discrimination on the basis of race, color, or
national origin in programs and activities receiving
or benefiting from Federal financial assistance.
2. Section 504 of the Rehabilitation Act of 1973, as
aNended, 29 U.S.C. 794, which prohibits
discrimination on the basis of handicap in programs
and activities receiving or benefiting from Federal
financial assistance.
3. Title IX of the Education Amendroents of 1972, as
amended, 20 U.S.C. 1681 et seq., which prohibits
discriNination on the basis of sex in education
programs and activities receiving or benefiting froN
Federal financial assistance.
4. The Age Discrimination Act of 1975, as amended, 42
U.S.c. 6101 et seq., which prohibits discrimination
on the basis o~ age in programs or activities
receiving or benefiting froN Federal financial
assistance.
5. The ONnibus Budget Reconciliation Act of 1981, P.L.
97-35, which prohibits discrimination on the basis
of sex and religion in programs and activities
receiving or benefiting from Federal financial
assistance.
6. All regulations, gUidelines, and standards lawfully
ado~ted under the above statutes.
I I . The
A.
III. The
A.
B.
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The Lead Agency agrees that compliance with this
assurance constitutes a condition of continued receipt
of or bene~it from Federal financial assistance, and
that it is binding upon the Lead Agency, its successors,
transferees, and assignees for the period during which
such assistance is provided. The Lead Agency further
assures that all contractors, subcontractors,
subgrantees or others with whom it arranges to provide
services or benefits to participants or employees in
connection with any of its programs and activities are
not discriminating against those participants or
employees in violation of the above statutes,
regulations, guidelines, and standards. In the event of
failure to comply, the Lead Agency understands that the
Grantee ~ay, at its discretion, seek a court order
requiring compliance with the terms of this assurance or
seek other appropriate judicial or administrative
relief, to include assistance being ter~inated and
further assistance being denied.
Area Agency Agrees:
Contract AJw10unt
To pay for contracted services according to the
conditions of Attachment I in an amount not to exceed
$399.679 subject to the availability of funds. The
Area Agency performance and obligation to pay under this
contract is contingent upon the annual appropriation by
the Legislature.
Lead Agency and Area Agency Mutually Agree:
Effective Date
1. This contract shall begin on July 1. 1987 or the
date on which the contract has been signed by both
parties, whichever is later.
2. This contract shall end on June 30. 1988.
Termination
1. Termination at Will
This contract may be ter~inated by either party upon
no less than thirty (30) days notice, without cause.
Said notice shall be delivered by Certified Mail,
return receipt requested, or in person with proof of
delivery.
2. Termination Because of Lack of Funds
In the event funds to finance this contract become
unavailable, the Area Agency may terminate the
contract upon no less than twenty-four (24) hours
notice in writing to the Lead Agency. Said notice
shall be delivered by Certified Mail, return receipt
requested, or in person with proof of delivery. The
Area Agency shall be the final authority as to the
availability of funds.
3. Termination for Breach
Unless the Lead Agency breach is waived by the Area
Agency in writing, the Area Agency may, by written
notice to the Lead Agency, terminate this contract
upon no less than twenty-four (24) hours notice.
Said notice shall be ~elivered by Certified Mail,
return receipt requested, or in person with proof of
delivery. If applicable, the Area Agency may e~ploy
the de~ault provisions in Chapter 13A-1, Florida
Administrative Code. Waiver of breach of any
provisions of this contract shall not be deemed to
be a waiver of any other breach and shall not be
contrued to be a modification of the terms of this
contract. The provisions herein do not limit the
Area Agency's right to re~edies at law or to
damages.
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C. Notice and Contact
The Contract Manager for the Area Agency for this
contract is Paul C. Hunt. The re~resentative of the
Lead Agency responsible for the administration of the
program under this contract is Louis LaTorre
In the event that different representatives are
designated by either party after execution of this
contract, notice of the name and address of the new
representative will be rendered in writing to the other
party and said notification attached to the originals of
this contract.
D. Renegotiation or Modification
1. Modifications of provisions of this contract shall
only be valid when they have been reduced to writing
and duly signed. The parties agree to renegotiate
this contract if Federal and/or State revision of
any applicable laws, or regulations ~ake changes in
this contract necessary.
2. If this contract contains a fixed-price ~ethod of
payment section, and the rate of payment is
determined through the appropriations process, then
this contract may be amended to reflect the new rate
established through the appropriations process
retroactive to the e~fective date of this contract.
3. If the contract contains either a cost-reimbursement
or a fixed-price method of payment, the rate of
payment and the total dollar amount ~ay be adjusted
prospectively to reflect price-level increases
determined through the appropriations process and
subsequently identified in the Area Agency's
operating budget.
E. Name and Address of Payee
The name and addres of the official payee to whom the
payment shall be made:
Louis LaTorre, Executive Director
Monroe County Board of In-Home Services
Public Service Building. Wing III
Stock Island
Key West. Florida 33040
F. All Ter~s and Conditions Included
This contract and its attachments as referenced,
(ATTACHMENTS I, II, III, IV and V) contain all the terms
and conditions agreed upon by the parties.
Attachment I: Conditions
Attachment II: Financial and Compliance Audits
Attachment III: Civil Rights Certificate
Attachment IV: Plan of Action
Attachment V: Lead Agency Application
IN WITNESS THEREOF, the parties hereto have caused this
12 page contract to be executed by their undersigned officials
as duly authorized.
LEAD AGENCY
UNITED WAY OF DADE cOUNTY/
AREA AGENCY ON AGING FOR DADE
AND MONROE COUNT I ES
Signed By:
Signed By:
Name:
Name: Paul C. Hunt
(Please Print)
Title:
Title:
Director
Date:
Date:
contract.cce
6/10/87
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Aging and Adult Services
co~unity Care for the Elderly
ATTACHMENT I
CONDITIONS
A. Services to be Rendered:
1. The attached application for Community Care for the
Elderly FundinQ (Attachment V), hereinafter referred to
as the "A~~lication." and the attached Plan of Action
(Attachment IV), and any revisions thereto approved by
the Area Agency, by physical attachMent to this contract,
is a part of this legal agreement and prescribes the
services to be rendered by the Lead Agency.
B. Manner of Service Provision:
1. The services will be provided in a Nanner consistent with
and as described in the A~~lication (Attachment V), and
the Plan of Action (Attachment IV).
c. Method of-Payment:
1. Subject to the availability of funds, all funds
identified in the estimated budget attached hereto
(Attachment V) are to be expended for the provision of
core services and case manageMent and for payment of
other directly related costs to those eligible under the
eligibility requirements set forth in Chapter 410.021-
410.29 F.S. 10A-I0 F.A.c. and HRSM 140-4. All requests
for payment will be made using HRS Form 578, Request for
Pay~ent/Refund-Deficit Notice. The Lead Agency ~ay
request an advance of one month funds for each of the
initial two Months expected cash needs. Subsequent
request for payments using HRS Form 578, will be made on
the basis of the net expenditures identified on HRS For~
577, Report on Receipts and Expenditures. Each request
for payment with the exception of the initial two
advances will be accompanied with a completed HRS ForN
577 in accordance with instructions provided by the Area
Agency.
2. Said funds shall consist of $ 399,679 in State
General Revenue. The Lead Agency and/or suhcontractors
Must Match this amount with cash and/or in-kind of
$44,409
3. Requests for payment shall be submitted to JaMes
S~rinQfield. Area Agency Senior Associate/Fiscal
Operations at the following location: 600 Brickell
Avenue. Miami. Florida 33131.
4. The Lead Agency with appropriate justification ~ay
request extraordinatry cash in addition to the above
advance requests in accordance with Schedule A in the
Application for co~unity Care for the Elderly or as
otherwise necessary. Request for extraordinary cash can
be ~ade on HRS Form 578 in addition to funds requested
based on net expenditures. Funds received on the basis
of extraordinary cash need are considered an advance.
5. All interest earned on contract fund advances, (the
initial two months payments and any requests for extra-
ordinary cash) Must be rep~rted and returned according to
instructions.
6. The Lead Agency must submit the final request for payment
to the Area Agency no more than forty (40) days after the
contract ends or is terminated and if the Lead Agency
fails to do so, all rights to payment are forfeited and
the Area Agency will not honor any request submitted
after the aforesaid agreed-upon period. All Monies which
have been paid to the Lead Agency which have not been
used to retire outstanding obligations of this contract
must be refunded to the Area Agency along with the
closeout package.
7. Any payment due under the terMS of this contract May be
withheld until all evaluations, required program and
financial reports due frOM the Lead Agency, and necessary
adjustments thereto, have been approved by the Area
Agency.
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8. A final Receipt and Expenditures, HRS Form 577, Report
will be forwarded to the Area Agency within forty (40)
days after the contract ends or is ter~inated.
D. Match:
Total CCE Lead Agency Natch for this contract period will be
at least $44.409 The Lead Agencies contribution will
be Nade in the form of cash and/or in-kind resources equaling
at least ten (10) percent of the contract. Matching a~ounts
provided must be in proper proportion to General Revenue
funds expended. If match is not proportional to General
Revenue funds expended, the Lead Agency Nust provide the Area
Agency with a written explanation indicating the
circumstances for the undermatch. At the end of the contract
period, all General Revenue funds expended must be properly
Natched.
E. Special Provisions:
1. State Laws and ReQulations
a. The Lead Agency agrees to comply with applicable
parts of the Florida Statutes, State Rule 10A-I0,
F.A.c., promulgated for administration of Chapter
410.021-410.029, Florida Statutes, and HRSM 140-4.
b. The Lead Agency agrees to comply with State licensing
standards, all applicable standards, criteria,
manuals and guidelines of the Aging and Adult
Services Program, and any other applicable manuals,
guidelines or criteria established by the Area
Agency.
2. Service Re~orts
The Lead Agency agrees to furnish the Area Agency with a
service report on the effectiveness or the program and
include statistics and information that the Area Agency
~ay require. Said reports shall be made dating from the
effective date of this contract in a format and according
to a schedule provided by the Area Agency for each
report.
3. MonitorinQ
Lead Agency agrees to conduct monitoring of subcon-
tractors according to a schedule described in HRSM 140-4
or other Area Agency related documents. Copies of
reports of such monitoring visits and the notification
letter with agenda will be submitted to the Area Agency
and other appropriate agents on a format and within ti~e
frames approved by the Area Agency.
4. Subcontracts
a. Area Agency approval of the Lead Agency application
for cCE funds shall constitute Area Agency approval
of the Lead Agency subcontracts if the subcontracts
follow the service and funding information as
identified in the approved Lead Agency application.
b. The Area Agency agrees to provide technical
assistance to all Lead Agencies and to the Lead
Agency subcontractors, if requested by the Lead
Agency.
5. Sus~ension
a. The Area Agency may, f9r reasonable cause,
temporarily suspend the use of funds by the Lead
Agency pending corrective action, or pending a
decision to terminate the contract.
b. The Area Agency Nay prohibit the Lead Agency froN
receiving further payments and may prohibit the Lead
Agency from incurring additional obligations of
funds. The suspension may apply to only part, or all
of the Lead Agency's operations.
c. To suspend operations of the Lead Agency, the Area
Agency will notify the Lead Agency in writing by
Certified Mail of the action to be taken; the
reason(s) for such action and the conditions of the
suspension. The notification will also indicate what
corrective actions are necessary to remove the
suspension; the Lead Agency's right to a hearing; and
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will grant the Lead Agency with a reasonable ti~e
period to request a hearing before the effective date
o~ the suspension (unless Lead Agency actions warrant
an i~ediate suspension).
6. Non-Exnendable Pronerty
a. "PROPER~ is equipment, fixtures, and other tangible
personal property of a non-consumable nature, the
value of which is $100.00 or more, and the nor~al
operational life of which is one year or more.
Property also includes hard-back covered- bound books,
the value or cost of which is $25.00 or Nore.
b. All such property shall be listed on the property
record, HRS-AA ForN 4013. Such property shall be
inventoried annually, and the current HRS-AA Form
4013 shall be subNitted to the Area Agency annually
with the cONmunity Care for the Elderly application
and updated as property is obtained. Disposition of
non-expendable property shall be in confor~ance with
HRSM 140-4.
c. Upon terNination of this contract, the said property
shall be disposed of in a manner consistent with HRSM
140-4, Chapter 21.
d. No real property is to be purchased with cCE funds.
7. Travel
a. Travel expenses shall be paid in accordance with
rates specified in Section 112.061, F.S., governing
payments by the State for travel expense and HRSR
40-1 (Official Travel of HRS Employees and Non-HRS
ENployees).
b. Travel- expenses may be reimbursed in an amount not to
exceed the maximum amount established by HRSR 40-1.
c. Receipts for items such as car rental, other ground
transportation and air transportation are required
for reimbursement.
d. The Lead Agency AUSt retain on file in an auditable
forAat, documentation of all travel expenses to
include the following data eleNents: name of the
traveler, dates of travel, travel destination,
purpose of travel, hours of departure and return, per
diem or meals allowance, map mileage, incidental
expenses, signature of payee and payee's supervisor.
e. Lead Agency may consolidate the travel expense claiNs
for each individual to include travel for a specific
period of time. Consolidated reports must be
supported by a travel log which details each trip for
which travel expense is claimed.
8. conyriqht Clause
Where activities supported by this project produce
original writing, sound recordings, pictorial
reproductions, drawings or other graphic representation
and works of any similar nature, the Area AGency has the
right to use, duplicate and disclose such Aaterials in
whole or in part, in any manner, for any purpose
whatsoever and to have others acting on behalf of the
Area Agency do so. If the, material is copyrightable, the
Lead Agency Nay copyright such ~aterial, with approval of
the Area Agency, but the Area Agency will reserve a
royalty-free, non-exclusive and irrevocable license to
reproduce, publish, and use such materials, in whole or
in part, and to authorize other acting on behalf of the
Area Agency to do so.
9. Snonsorshin
The Lead Agency assures that all notices, inforNational
pamphlets, press releases, advertiseNents, descriptions
of the sponsorship of the prograA, research reports, and
si~ilar public notices prepared and released by the Lead
Agency, shall include the statement: "Sponsored by the
Department of Health and Rehabilitative Services and the
State of Florida." If the sponsorship reference is in
written material, the words, "State of Florida" shall
appear in the same size letters or type as the naAe of
the organization.
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10. CIS Reportinq
This clause supercedes Section 1.1 as the Area Agency
does not engage in direct service provision. The Area
Agency will assure through contractual provision in their
subcontracts with CCE Lead Agencies that HRS Client
Infor~ation System data is recorded and submitted to the
Department in accordance with HRSP 50-10.
11. Financial and Compliance Audits
a. The Lead Agency will have an annual financial and
compliance audit covering its entire organization for
its fiscal year performed by an independent auditor.
b. Service providers under contract with the Lead Agency
must also have annual financial and compliance audits
performed by an independent auditor, covering their
entire organization for their fiscal year and
annually thereafter.
c. The annual financial and compliance audits will be in
accordance with Standards for Audits of Governmental
Orqanization. Proqraros. Activities and Functions by
the Comptroller General of the United States,
February 27, 1981. For the purposes of this
Attachment, the scope of Audits performed will
include only financial and compliance.
d. Local government providers will comply with the
Office of Management and Budget Circular A-128,
"Audits of State and Local Governments" dated April
15, 1985.
e. Nonprofit providers will comply with the Office of
Management and Budget Circular A-I10, "Grants and
Agreements with Institutions of Higher Education,
Hospitals and Other Nonprofit Organizations."
f. All Provider audits (Local Government and Non.rofit)
will comply with OMB Circular A-128, Sections 5.f.,
6, 7, 8, 12, 13, 14, and 15.
g. Audit work papers and reports will be retained for a
minimUN of three (3) years from the date of tke audit
unless the auditor is notified by the Area Agency to
extend the retention period. Audit workpapers will
be made available upon request to the Area Agency or
its designee.
h. Audit reports are due to the Area Agency on or by one
hundred-ten (110) days after the end of the Aqency's
fiscal year.
12. Bondinq
The Lead Agency agrees to furnish an insurance bond fro~
a responsible co~ercial surety company covering all
officers, employees and agents of the Lead Agency
authorized to handle funds received or disbursed under
thiS contract. This bond will be in an amount
co~ensurate with the funds handled, the degrees of risk
as determined by the surety company and consistent with
good business practice.
13. Automated Financial Records
The use of computers in financial management is
encouraged, but it is not ~ substitute for traditional
accounting methods and permanent accounting records. The
Lead Agency utilizing automated systems must remember
that there is an obligation to abide by their contract
agreement with the Department o~ Health and Rehabilita-
tive SerVices, Sections: I.e., Audits and Records; I.D.,
Retention of Records; and I.E., Monitoring.
In order to Neet the requirements of I.e., I.D., and
I.E., original records must be kept in a reasonable for~,
namely:
a. A permanent written (printed and dated) record of
financial transactions must be developed and verified
by the Lead Agency and retained in a manner to
facilitate inspection by auditors and prograro
monitors.
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b. Co~puter maintained financial records must be printed
out at least monthly, properly recorded/dated,
initialed by the fiscal officer or project director
and placed into a permanent binder (general ledger).
It is also reco~ended that the diskette containing
this inforNation be retained in the event that there
is a future need to review the fiscal infor~ation
required for the reporting period.
c. Proper reference and back-up materials such as
invoices, canncelled checks and bank state~ents ~ust
be properly dated and grouped accordingly on a
~onthly basis.
d. All records and documentation must be kept for at
least five (5) years.
ATTACHMENT II
Financial and Com~liance Audits
The Lead Agency agrees to have an annual financial and compliance
audit performed, by independent auditors in accordance with
Standards for Audit of Governmental OrGanizations. ProGrams.
Activities. and Functions developed by the Comptroller General of
the United States, dated Februrary 27, 1981 (also referred to as
the "yellow book" and generally accepted governmental auditing
standards). State and local governments shall comply with Office
of Management and Budget (OMB) Circular A-128, "Audits of State
and Local Governments" dated April 15, 1985. Universities,
hospitals and other nonprofit providers shall comply with OMB
Circular A-I10, "Grants and Agreements with Institutions of
Higher Education, Hospitals, and Other Nonprofit Organizations."
Such audits shall cover the entire organization for the
organiztaion's fiscal year.
Section 5.f, 6., 7., 8., 12., 13., 14. and 15. of OMB Circular
A-128 shall apply to all audits. The Lead Agency shall assure
that audit workpapers and reports are retained for a minimum of
three (3) years from the date of the audit report, unless the
auditor is notified in writing by the Area Agency to extend the
retention period. The Lead Agency shall also ensure that audit
workpapers are made available upon request to the Area Agency or
its designee.
The scope of Standards for Audit of Governmental OrGanizations.
ProGrams. Activities. and Functions (the "yellow book") includes
(1) financial and compliance, (2) economy and efficiency and (3)
program results. 'For purposes of this attachment, the scope of
audits performed should include only financial and compliance.
Contracts containing Federal funds shall be audited for fiscal
years beginning after June 30, 1985. For example, the first
audit required by this Attachment for contracts ending June 30,
1986 is for the period July 1, 1985 through June 30, 1986. All
contracts beginning after June 30, 1986, whether containing
Federal funds or not; shall be audited in accordance with these
provisions.
Eight copies of the audit report must be sudmitted as follows:
a. One copy of the audit report must be submitted to the
Office of Audit and Quality Control SerVices, Audit
Administrator, 1317 Winewood Boulevard, Tallahassee,
Florida 32301.
b. Seven copies to the Area Agency on Aging within one
hundred-ten (110) days after the end of the Lead Agency's
fiscal year unless otherwise required by Florida
Statutes. If a management letter or any other reports or
correspondence relating to the audit findings or
reco~endations are issued in connection with the audit,
copies must accompany the audit report.
ATTACHMENT III
CIVIL RIGHT CERTIFICATE
ASSURANCE OF COMPLIANCE WITH TITLE VI OF THE CIVIL RIGHTS ACT OF
1964, SECTION 504 OF THE REHABILITATION ACT OF 1973, TITLE IX OF
THE EDUCATION AMENDMENTS OF 1972, THE AGE DISCRIMINATIN ACT OF
1975, AND THE OMNIBUS BUDGET RECONCILIATION ACT OF 1981.
The applicant provides this assurance in consideration of and for
the purpose of obtaining Federal grants, loans, contracts (except
contracts of insurance or guaranty), property, discounts, or
other Federal financial assistance to programs or activities
receiving or benefiting from Federal financial assistance.
The applicant assures that it will comply with:
1. Title VI of the Civil Rights Act of 1964, as amended, 42
U.S.C. 2000d et ~., which prohibits discrimination on
the basis of race, color, or national origin in programs
and activities receiving or benefiting from Federal
financial assistance.
2. Section 504 of the Rehabilitation Act of 1973, as
amended, 29 U.S.C. 794, which prohibits discrimination on
the basis of handicap in programs and activities
receiving or benefiting from Federal financial
assistance.
3. Title IX of the Education Amen~ents of 1972, as amended,
20 U.S.C. 1681 et ~., which prohibits discrimination on
the basis of sex in education programs and activities
receiving or benefiting from Federal financial
assistance.
4. The Age Discrimination Act of 1975, as amended, 42 U.S.C.
6101 et ~., which prohibits discrimination on the basis
of age in programs or activities receiving or benefiting
from Federal financial assistance.
5. The OMnibus Budget Reconciliation Act of 1981, P.L.
97-35, which prohibits discrimination on the basis of sex
and religion in programs and activities receiving or
benefiting from Federal financial assistance.
6. All regulations, guidelines, and standards lawfully
adopted under the above statutes.
The applicant agrees that compliance with this assurance
constitutes a condition of continued receipt of or benefit from
Federal financial assistance, and that it is binding upon the
applicant, its successors, transferees, and assignees for the
period during which such assistance is provided. The applicant
further assures that all contractors, subcontractors, subgrantees
or others with whom it arranges to provide services or benefits
to participants or employees in connection with any of its
programs and activities are not discriminating against those
participants or employees in violation of the above statues,
regulations, guidelines, and standards. In the event of failure
to comply, the applicant understands that the Grantor may, at its
discretion, seek a court order requiring compliance with the
terms of this assurance or seek other appropriate judicial or
a~inistrative relief, to include assistance being terminated and
further assistance being denied.
attach-1.cce
6/10/87