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Amendment 001 'fittc-'- Original AMENDMENT 001 AGREEMENT NO PA 229 THIS AMENDMENT, entered into between the Alliance for Aging, Inc., hereinafter referred to as the "Alliance", and the Monroe County Board of Commissioners, hereinafter referred to as the "provider", amends Master Agreement PA-229. The purpose of this amendment is to update sections of the Master Agreement to reflect changes needed in contract language. 1. Part I, Section C, Civil Rights Certification, Paragraph 9, is hereby amended to read: The recipient agrees that compliance with these assurances is a condition of continued receipt of or benefit from federal financial assistance, and that it is binding upon the recipient, its successors, transferees, and assignees for the period during which such assistance is provided. The recipient further assures that all subrecipients, vendors, 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 recipient understands that the Alliance and/or the Department of Elder Affairs may, at their discretion, seek a court order requiring compliance with the terms of this assurance or seek other appropriate judicial or administrative relief, including but not limited to, termination of and denial of further assistance. 2. Part I, Section D, Requirements of Section 287.058, Florida Statutes, Paragraphs 2, 3, and 4 are hereby amended to read: Paragraph 2: To follow the policies of the Department of Elder Affairs regarding any and all business travel pursuant to this agreement and to submit bills for any travel expenses in accordance with section 112.061 , Florida Statutes. The State Comptroller approved Reimbursement of Travel Expenses form, or an equivalent form developed by the recipient, must be completed for all travel funded by contract(s) covered by this agreement. Receipts for car rental, air fare, lodging, and incidental expenses allowed by statute are required documentation to be retained on file to support expenditures. Conference and convention travel require an agenda. Conference, convention, and out-of-state travel funded by contracts covered by this agreement require written authorization from the appropriate authority at the department. Per diem and meal reimbursement will be paid in accordance with the time periods and rates specified in the statutes. Paragraph 3: To provide units of deliverables, including reports, findings, and drafts as specified in the contracts, the contract attachments, and the service applications developed by the recipient, to be received and accepted by the contract manager prior to payment. Paragraph 4: To allow public access to all documents, papers, letters, or other materials subject to the provisions of Chapter 119, Florida Statutes, and made or received by the recipient in conjunction with this agreement and any contracts incorporating this agreement by reference. It is expressly understood that substantial evidence of the recipient's refusal to comply with this provision shall constitute a breach of contract. Page 1 AMENDMENT 001 AGREEMENT NO PA 229 3. Part I, Section K, Sponsorship, Paragraph 1, is hereby amended to read: As required by Section 286.25, Florida Statutes, if the recipient is a non-governmental organization which sponsors a program financed wholly or in part by state funds, including any funds obtained through contracts executed in accordance with this agreement, it shall in publicizing, advertising or describing the sponsorship of the program, state: "Sponsored by the Monroe County Board of Commissioners, the State of Florida, Department of Elder Affairs and the Alliance for Aging, Inc.". If the sponsorship reference is in written material the words "State of Florida, Department of Elder Affairs and the Alliance for Aging, Inc." shall appear in the same size letters and type as the name of the organization. The recipient shall also display a graphic of the Department's Pillars logo and the Alliance's Answers on Aging logo on all printed materials as displayed in Attachments VI and VII respectively. This shall include, but is not limited to, any correspondence or other writing, publication or broadcast that refers to such program. 4. Part I, Section N, Audits and Records, Paragraph 1, is hereby amended to read: To maintain books, records, and documents (including electronic storage media) in accordance with generally accepted accounting procedures and practices which sufficiently and properly reflect all revenues and expenditures of funds provided by the Alliance under all contracts under this agreement. Recipient agrees to maintain records including paid invoices, payroll registers, travel vouchers, copy logs, postage logs, time sheets, etc., as supporting documentation for service cost reports and for administrative expenses itemized for reimbursement. This documentation will be made available upon request for monitoring and auditing purposes. 5. Part I, Section N, Audits and Records, Paragraph 6, is hereby amended to read: To include these aforementioned audit and record keeping requirements, including Attachment III, in all approved subcontracts and assignments. 6. Part I, Section P, Monitoring and Incident Reporting, Paragraph 1, is hereby amended to read: The recipient will provide progress reports, including data reporting requirements as specified by the Department of Elder Affairs to be used for monitoring progress or performance of the contractual services as specified in the area plan submitted by the Alliance to the department as well as in the service application submitted by the recipient to the Alliance. Following the norms set down by the Department of Elder Affairs, the Alliance will establish performance standards for recipients with weights assigned to each standard. Standards will be tracked monthly by Alliance staff through desk reviews of available fiscal, CIRTS, and research production reports and any other system or process designated by the department. This information will allow staff to determine if on-site monitoring of the recipient is necessary. Examples of review criteria are surplus/deficit, independent audits, internal controls, reimbursement requests, subrecipient monitoring, targeting, program eligibility, outcome measures, service provision to clients designated as "high risk" by the Department of Children & Families, Adult Protective Services program, data integrity, co-payments, client satisfaction, correspondence, and client file reviews. Page 2 AMENDMENT 001 AGREEMENT NO PA 229 7. Part I, Section R, Assignments and Subcontracts, is hereby amended to include a second paragraph as follows: If the recipient deems a service provider to be a vendor rather than a subrecipient, as defined in OMS Circular A-133, subpart B, section .210, this determination must be documented in writing. When a vendor relationship is identified, a contract with all of the terms and conditions set forth in this agreement is not required. However, a written agreement outlining services to be performed and conditions for procurement, receipt and payment for services, in compliance with the contracts covered by this agreement, is required. The recipient is responsible for assuring program compliance and performance, and any applicable conditions of this agreement and the contracts covered by it, that were not passed down to subrecipients and vendors. 8. Part I, Section S, Return of Funds, is hereby amended to include a third subpart under paragraph one, as follows: Overpayments to subrecipients due to unallowable or un-allocable expenses or to vendors or subrecipients due to billing discrepancies must be returned to the Alliance under the same terms and conditions as this section. Information indicating recipients have been overpaid as a result of over- budgeting on the unit cost methodology can be used by the Alliance to negotiate lower rates in subsequent years. Continuous overpayment to recipients due to over budgeting may result in a demand for repayment to the Alliance or the Department of Elder Affairs under the same terms and conditions of this section. Repayment received by the Alliance must be reported to the Department and may be either re-allocated to other subrecipient(s) or returned to the Department, at the Department's discretion. 9. Part IV, Section A, Property, paragraphs 2 and 3, are hereby amended to read: Paragraph 2: All property, purchased under contracts covered by this agreement or purchased by the Alliance and received by the recipient shall be listed on the property records of the recipient. Said listing shall include a description of the property, model number, manufacturer's serial number, funding source, information needed to calculate the federal and/state share, date of acquisition, unit acquisition cost, property inventory number and information on the location, use and condition, transfer, replacement or disposition of the property (including fair market value and sales price at disposition). Paragraph 3: A physical inventory of equipment shall be taken and the results reconciled with the equipment records at least once every two years. Discrepancies shall be investigated to determine the difference. Any loss, damage or theft of equipment shall be fully investigated and fully documented and if the equipment is purchased with state or federal funds, shall be reported to the Alliance. The property records must be maintained on file and shall be provided to the Alliance upon request. 10. Attachment III, Audit Attachment, is hereby amended to read: The administration of funds awarded by the Department of Elder Affairs to the Alliance and to any sub- recipient through contracts with the Alliance may be subject to audits and/or monitoring as described in this section by the department, and other authorized state personnel or federal personnel. Page 3 AMENDMENT 001 MONITORING AGREEMENT NO PA 229 In addition to reviews of audits conducted in accordance with OMB Circular A-133, as revised (see "AUDITS" below), monitoring procedures may include, but not be limited to, on-site visits by department staff, limited scope audits as defined by OMS Circular A-133, as revised, and/or other procedures. By entering into this agreement, the recipient agrees to comply and cooperate with any monitoring procedures/processes deemed appropriate by the department. In the event the department determines that a limited scope audit of the recipient is appropriate, the recipient agrees to comply with any additional instructions provided by the department to the recipient regarding such audit. The recipient further agrees to comply and cooperate with any inspections, reviews, investigations, or audits deemed necessary by the Comptroller, Auditor General or federal personnel. OTHER REQUIREMENTS If the recipient is a non profit organization, the Oath of Not for Profit Status form (EXHIBIT 2 of this attachment) must be completed and returned to the Alliance with the signed contract. AUDITS PART I: FEDERALLY FUNDED This part is applicable if the recipient is a State or local government or a non-profit organization as defined in OMS Circular A-133, as revised. 1. In the event that the recipient expends $300,000 or more in Federal awards in its fiscal year, the recipient must have a single or program-specific audit conducted in accordance with the provisions of OMS Circular A-133, as revised. Federal funds awarded through the Alliance by this agreement, if any, are indicated in Section II. A. of the contract(s) of which this document is an attachment. In determining the Federal awards expended in its fiscal year, the recipient shall consider all sources of Federal awards, including Federal funds received from the Alliance. The determination of amounts of Federal awards expended should be in accordance with the guidelines established by OMB Circular A- 133, as revised. An audit of the recipient conducted by the Auditor General in accordance with the provisions OMB Circular A-133, as revised, will meet the requirements of this part. 2. In connection with the audit requirements addressed in Part I, paragraph 1., the recipient shall fulfill the requirements relative to auditee responsibilities as provided in Subpart C of OMB Circular A-133, as revised. 3. If the recipient expends less than $300,000 in Federal awards in its fiscal year, an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, is not required. In the event that the recipient expends less than $300,000 in Federal awards in its fiscal year and elects to have an audit conducted in accordance with the provisions of OMS Circular A-133, as revised, the cost of the audit must be paid from non-Federal funds (Le., the cost of such an audit must be paid from recipient resources obtained from other than Federal entities). 4. Information regarding audit requirements contained in OMB Circular A-133 and 215.97, Florida Page 4 AMENDMENT 001 AGREEMENT NO PA 229 Statutes (F. S.), can be obtained from the following web-sites: http://www.whitehouse.gov/omb/circulars/ and http://www.leg.state.fl.us/ PART II: STATE FUNDED This part is applicable if the recipient is a non-state entity as defined by Section 215.97, Florida Statutes. 1. In the event that the recipient expends a total amount of State awards (Le., State financial assistance provided to the recipient to carry out a State project) equal to or in excess of $300,000 in any fiscal year of such recipient, the recipient must have a State single or project-specific audit for such fiscal year in accordance with Section 215.97, Florida Statutes; applicable rules of the Executive Office of the Governor and the Comptroller, and Chapter 10.600, Rules of the Auditor General. State grants and aids amounts awarded through the Alliance by this agreement are indicated in Section II., A. of the contract(s) of which this agreement is an attachment. In determining the State awards expended in its fiscal year, the recipient shall consider all sources of State awards, including State funds received from the Alliance, other state agencies, and other non-state entities except that State awards received by a non-state entity for Federal program matching requirements shall be excluded from consideration. 2. In connection with the audit requirements addressed in Part II, paragraph 2, the recipient shall ensure that the audit complies with the requirements of Section 215.97, Florida Statutes. This includes submission of a reporting package as defined by Section 215.97, Florida Statutes, and Chapter 10.550 (local governmental entities) or 10.650 (nonprofit and for-profit organizations), Rules of the Auditor General, to include an auditor's examination attestation report, management assertion report (alternatively, management's assertion may be included in the management representation letter), and a schedule of State financial assistance. The department additionally requires a supplemental schedule of functional expenses be prepared, by service, as defined by the department, including units of service delivered. This supplemental schedule shall be prepared using the same methodology as used in determining the contractual rates. The auditor's examination attestation report must indicate whether management's assertion as to compliance with the following requirements is fairly stated, in all material respects: activities allowed or unallowed; allowable costs/cost principles; matching (if applicable), and; reporting. 3. If the recipient expends less than $300,000 in State awards in its fiscal year, an audit conducted in accordance with the provisions of Section 215.97, Florida Statutes, is not required. In the event that the recipient expends less than $300,000 in State awards in its fiscal year and elects to have an audit conducted in accordance with the provisions of Section 215.97, Florida Statutes, the cost of the audit must be paid from non-State funds (i.e., the cost of such an audit must be paid from the recipient's resources obtained from other than State entities). 4. If an audit is not required or performed, the head of the recipient entity or organization must provide a written attestation, under penalty of perjury, that the recipient has complied with the allowable cost provisions (congruent with the department's Client Services Manual, the Comptroller's Voucher Processing Handbook, and OMB Circular A-122 or A-87, if applicable). EXHIBIT 1 to this attachment provides an example attestation document that should be used by the agency head or authorized signatory for contracts to attest to compliance with these provisions. Page 5 AMENDMENT 001 PART III: REPORT SUBMISSION AGREEMENT NO PA 229 1. Copies of reporting packages for audits conducted in accordance with OMB Circular A-133, as revised, and required by PART I of this attachment shall be submitted, when required by Section .320 (d), OMB Circular A-133, as revised, by or on behalf of the recipient directly to each of the following within 45 days of receipt of the report but no later than nine (9) months of recipient's fiscal year end: A. The Alliance for Aging, Inc., at the following address Attn.: Pedro Jove, Director of Administration 500 South Dadeland Boulevard, Suite 400 Miami, FL 33156 B. The Federal Audit Clearinghouse designated in OMB Circular A-133, as revised (the number of copies required by Sections .320 (d)(1) and (2), OMB Circular A-133, as revised, should be submitted to the Federal Audit Clearinghouse), at the following address: Federal Audit Clearinghouse . Bureau of the Census 1201 East 10th Street Jeffersonville, IN 47132 C. Other Federal agencies and pass-through entities in accordance with Sections .320 (e) and (f), OMB Circular A-133, as revised. 2. The recipient shall submit a copy of the reporting package described in Section .320 (c), OMB Circular A-133, as revised, and any management letters issued by the auditor, to the Alliance at the following address within 45 days of receipt of the report but no later than nine (9) months of recipient's fiscal year end: Alliance for Aging, Inc. Attn: Pedro Jove, Director of Administration 9500 South Dadeland Boulevard, Suite 400 Miami, FL 33156 3. Copies of audits and reporting packages required by PART II of this attachment shall be submitted by or on behalf of the recipient directly to each of the following within 45 days of receipt of the report but no later than nine (9) months of recipient's fiscal year end: A. The Alliance for Aging, Inc. at the following address: Alliance for Aging, Inc. Attention: Pedro Jove, Director of Administration 9500 South Dadeland Boulevard, Suite 400 Miami, Florida 33156 Page 6 AMENDMENT 001 B. The Auditor General's Office at the following address: AGREEMENT NO PA 229 State of Florida Auditor General Room 574, Claude Pepper Building 111 West Madison Street Tallahassee, Florida 32302-1450 4. Any reports, management letters, or other information required to be submitted to the Alliance pursuant to this attachment shall be submitted timely in accordance with OMB Circular A-133, 215.97 Florida Statutes, and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for-profit organizations), Rules of the Auditor General, as applicable and should indicate the date that the reporting package was delivered to the recipient in correspondence accompanying the package. 5. Recipients, when submitting the above referenced audit reports to the Alliance, should indicate the date that the audit report was delivered to the recipient in correspondence accompanying the audit report. PART IV: RECORD RETENTION The recipient shall retain sufficient records demonstrating its compliance with the terms of this attachment for a minimum period of five (5) years from the date the audit report is issued or longer if requested by the Alliance in writing, and shall allow the Alliance, the Department of Elder Affairs or its authorized designee and the Comptroller or Auditor General access to such records upon request. The recipient shall ensure that audit working papers are made available to the Alliance, the Department of Elder Affairs or its designee, and the Comptroller or Auditor General upon request, for a minimum period of five (5) years from the date the audit report is issued, or longer if requested in writing by the department. PART V: SPECIFIC REQUIREMENTS OF DEPARTMENT ADMINISTERED PROGRAMS Interest earned on general revenue funds must be returned to the department. Interest earned on federal funds may be used to expand, improve, or sustain the program from which it is generated. A chart is included in all contracts identifying the funding source(s), program titles, applicable CFDA or CSFA numbers and the amount of funds granted. Specific requirements for match, co-payments, and program income applicable to programs administered by the department are outlined in the following applicability chart. Brief definitions of terms used in the chart are included. Page 7 , . AMENDMENT 001 AGREEMENT NO PA 229 11. Exhibit 1 to Attachment III, Audit Attachment, is re-formatted and amended to read as follows: MANAGEMENT ATTESTATION LETTER Contract or Agreement Number: I, (recipient's authorized representative) , hereby attest under penalty of perjury that , based on the criteria (recipient agency name) set forth in the Audit Attachment, PARTS I and II, that: 1. The above named recipient agency is not required to provide an audit report or reporting package because [check applicable statement(s)]: D the above-named entity does not expend $300,000 or more in total federal awards in its fiscal year and therefore is not required to have a single or program-specific audit performed in accordance in OMB Circular A- 133, as revised, and/or; D the above-named entity does not expend a total amount equal to or in excess of $300,000 in state awards in its fiscal year and therefore is not required to have a State single or program-specific audit in accordance with section 215.97, Florida Statutes. 2. The recipient has complied with the allowable cost provisions [congruent with State and Federal law, the Department of Elder Affairs' Client Services Manual, the Comptroller's Voucher Processing Handbook, and Office of Management and Budget (OMB) Circular A-122, A-110, or A-87, whichever is applicable]. By making this statement the recipient has considered not only funding or awards from the department, but all sources of Federal and State funding or awards. Fiscal year ended (Month, day, year) (Signature) (Title) (Date) Page 8 AMENDMENT 001 AGREEMENT NO PA 229 12. Attachment V, Minimum Guidelines for Consumer Grievance Procedures, is hereby amended to read: MINIMUM GUIDELINES FOR RECIPIENT GRIEVANCE PROCEDURES APPLICABLE TO ALL ADVERSE ACTIONS DEEMED TERMINATIONS, SUSPENSIONS, OR REDUCTIONS IN SERVICE . Medicaid Waiver clients have the right to request a fair hearing from the Department of Children and Families(DCAF) Office of Appeal Hearings in addition to or as an alternative to these procedures. NOTICE TO THE RECIPIENT OF THE ADVERSE ACTON TO BE TAKEN AND EXPLANATION OF THE GRIEVANCE PROCEDURES FOR REVIEWING THAT DECISION · The recipient must be informed by the decision maker of the action, in writing, no less than 10 calendar* days prior to the date the adverse action will be taken. (Prior notice is not applicable where the health or safety of the individual is endangered if action is not taken immediately; however, notice must be made as soon thereafter as practicable.) · Services cannot be reduced or terminated, nor any adverse action taken during the 10 day period. . The Notice must contain: a statement of what action is intended to be taken; the reasons for the intended action; an explanation of: 1) the individual's right to a grievance review if requested in writing and delivered within 10 calendar* days of the Notice postmark (assistance in writing, submitting and delivering the request must be offered and available to the individual); 2) in Medicaid Waiver actions, the individual's right to request a fair hearing from DCAF; 3) the individual's right, after a grievance review, for further appeal; 4) the right to seek redress through the courts if applicable; a statement that current benefits will continue if a grievance review is requested, and will continue until a final decision is made regarding the adverse action; and a statement that the individual may represent himself/herself or use legal counsel, a relative, a friend, or other qualified representative in the requested review proceedings. · All records of the above activities must be preserved in the client's file. GRIEVANCE REVIEW PROCEDURE UPON TIMELY RECEIPT OF A WRITTEN REQUEST FOR REVIEW · Within 7 calendar* days of the receipt of a request for review, the provider must acknowledge receipt of the request by a written statement delivered to the requester. This statement must also provide notice of: the time and place scheduled for the review; the designation of one or more impartial reviewers who have not been involved in the decision at issue; the opportunity to examine, at a reasonable time before the review, the individual's own case record, and to a copy of such case record at no cost to the individual; the opportunity to informally present argument, evidence, or witnesses without undue interference at a reasonable time before or during the review; a contact person for any accommodations required under the Americans with Disabilities Act; and Page 9 AMENDMENT 001 AGREEMENT NO PA 229 assistance, if needed, in order to attend the review; and the stopping of the intended action until all appeals are exhausted. . All grievance reviews must be conducted at a reasonable time, date and place by one or more impartial reviewers who have not been directly involved in the initial determination of the action in question. . The reviewer(s) must provide written notification to the requester, within 7 calendar* days after the grievance review, stating: the decision, the reasons therefore in detail; the effect the decision has on current benefits, if favorable, or the circumstances regarding continuation of current benefits until all appeals are exhausted; the individual's right to appeal an adverse decision to the Area Agency on Aging by written request within 7 calendar* days, except in decisions involving the professional judgement of a legal assistance provider; the availability of assistance in writing, submitting and delivering the appeal to the appropriate agency; the opportunity to be represented by himself/herself or by legal counsel, a relative, a friend or other qualified representative; for legal assistance service appeals, the individual's right to file a grievance with the Florida Bar regarding complaints related to the actual legal representation provided. PROCEDURE FOR APPEALS OF A GRIEVANCE REVIEW DECISION UPON TIMELY RECEIPT OF A WRITTEN APPEAL TO THE AREA AGENCY ON AGING · Within 7 calendar* days of the receipt of a notice of appeal of a grievance review decision, the AAA must acknowledge receipt of the notice of appeal by a written statement delivered to the appellant. This statement must also provide notice of: the time and place scheduled for the appeal; the designation of one or more impartial AAA officials who have not been involved in the decision at issue; the opportunity to examine at a reasonable time before the appeal the individual's own case record to date, and to a copy of such case record at no cost to the individual; the opportunity to informally present argument, evidence, or witnesses without undue interference during the appeal; assistance, if needed, in order to attend the appeal; and the stopping of the intended action until all appeals are exhausted. · All appeals of grievance reviews must be conducted at a reasonable time, date and place by one or more impartial AAA officials who have not been directly involved in the initial. determination of the action in question. · The designated AAA official(s) must provide written notification to the requester within 7 calendar* days after considering the grievance review appeal, stating: the decision, and the reasons therefore in detail; the effect the decision has on current benefits, if favorable, or the circumstances regarding continuation of current benefits until all appeals are exhausted; the individual's right to appeal, if applicable. · Except for Medicaid Waiver actions, the decision of the AAA shall be the final decision; and the availability of assistance in requesting a fair hearing, including a notice regarding accommodations Page 10 AMENDMENT 001 as required by the ADA. AGREEMENT NO PA 229 · All records of the above activities must be preserved and remain confidential. A copy of the final decision must be placed in the client's file. * In computing any period of time prescribed or allowed by these guidelines, the last day of the period so computed shall be included unless it is a Saturday, Sunday, or legal holiday, in which event the period shall run until the end of the next day which is neither a Saturday, Sunday, or legal holiday. Page 11 AMENDMENT 001 AGREEMENT NO PA 229 This amendment shall begin on the date on which the amendment is signed by both parties. All provisions in the agreement and any attachments thereto in conflict with this amendment shall be and are hereby changed to conform with this amendment. All provisions not in conflict with this amendment are still in effect and are to be performed at the level specified in the agreement and the contracts covered by this agreement. This amendment and all its attachments are hereby made a part of the contract. IN WITNESS WHEREOF, the parties hereto have caused this 12 page amendment to be executed by their officials thereunto duly authorized. PROVIDER: MONROE COUNTY BOARD OF COMMISSIONERS ALLIANCE FOR AGING, INC. FOR DADE AND MONROE COUNTIES SIGNED () JJ BY: n .. TITLE: TITLE: PRESIDENT/CEO ~~~ UJ~~ ) !'" C1 'S3 t'l ~<~ NAME: STEVEN WEISBERG. M.Sf~~~~::'~ n' r t,:;!~ . ~i~ ~o ~~; -\ r-- --< 0, :r: .. ;-'1., l"- -n G) r ~i )">- r.......' (.u,:.) fC'.::> "I >-..,,) -::l :::--:: .." r- p, CJ .." c> ?:) :.-r:l p' (J o :-u CJ NAMECH~S (VlCco<--( IV\ It~ Q~ :;'::\J N .r.:- DATE: / .' / , 3 /-z--tJ! '2-- ;' I DATE: ~~ FEDERAL ID NUMBER: PROVIDER FISCAL YEAR ENDING DATE: Page 12