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01/2003
Agreement No. PA 329
ALLIANCE FOR AGING, INC.
AREA AGENCY ON AGING FOR MtAMI-DADE AND MONROE COUNTIES
MASTER AGREEMENT
THIS MASTER AGREEMENT is entered into between the Alliance for Aging, Inc., hereinafter referred to as the
"Alliance", and Monroe County Board of Commissioners, hereinafter referred to as the "recipient".
All contracts executed between the recipient and the Alliance shall be subject to the conditions $EN: fortq,in this
agreement for the duration of the contract period(s). Any and all contracts executed betwe@1 t~ re~ienlf3nd the
Alliance during the effective period of this agreement will incorporate this agreement by~f~encB:and ~all be
governed in accordance with the laws, statutes, and other conditions set forth in this ag.nt. ~ "
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The parties agree: :;;~~ _...,
I. Recipient Agrees: :;~r ~ rG
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A. 1. To provide services according to the conditions specified in any contraqi.1s)li}vith~e 1l.!Jance
during the period this agreement is in effect. -
2. This agreement covers all services provided by the recipient under contract with the Alliance.
3. To provide services in compliance with the provisions of the Department of Elder Affairs' Home
and Community-Based Services Handbook.
B. Federal Laws and Regulations:
1. The recipient shall comply with the provisions of 45 CFR, Part 74, and/or 45 CFR, Part 92, and other
applicable regulations.
2. The recipient shall comply with all applicable standards, orders, or regulations issued under Section
306 of the Clean Air Act, as amended (42 U.S.C. 1857(h) et seq.), Section 508 of the Clean Water
Act, as amended (33 U.S.C. 1368 et seq.), Executive Order 11738, and Environmental Protection
Agency regulation (40 CFR Part 15). The recipient shall report any violations of the above to the
Alliance.
3. The recipient must, prior to execution of this agreement, complete the Certification Regarding
Lobbying form, ATTACHMENT I. If a Disclosure of Lobbying Activities form, Standard Form LLL, is
required, it may be obtained from the Alliance's contract manager. All disclosure forms as required
by the Certification Regarding Lobbying form must be completed and returned to the Alliance's
contract manager.
4. The recipient must, prior to execution of this agreement, complete the Certification Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion Contracts/Subcontracts, ATTACHMENT
II.
5. The recipient shall comply with the provisions of the U.S. Department of Labor, Occupational Safety
and Health Administration (OSHA) code, 29 CFR, Part 1910.1030.
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C. Civil Rights Certification:
The recipient 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 benefitting from federal financial assistance. The
recipient agrees to complete the Civil Rights Compliance Questionnaire, DOEA forms 101 A and B, if
services are provided to clients and if fifteen (15) or more persons are employed. For recipients employing
less than 15 persons, the Alliance requests completion of the Civil Rights Compliance Questionnaire.
Agreement No. PA 329
The recipient assures 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
benefitting 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 benefitting from federal
financial assistance.
3. Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681 et seq., which prohibits
discrimination on the basis of sex in education programs and activities receiving or benefitting from
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 of age in programs or activities receiving or benefitting from federal
financial assistance.
5. Section 654 of the Omnibus Budget Reconciliation Act of 1981, as amended, 42 U.S.C. 9849, which
prohibits discrimination on the basis of race, creed, color, national origin, sex, handicap, political
affiliation or beliefs in programs and activities receiving or benefitting from federal financial assistance.
6. The Americans with Disabilities Act of 1990,42 USC 12101, et. seq., which prohibits discrimination
against, and provides equal opportunities for individuals with disabilities, in employment, public
services, and public accommodations.
7. All regulations, guidelines, and standards as are now or may be lawfully adopted pursuant to the
above statutes.
8. The recipient shall establish procedures to handle complaints of discrimination involving services or
benefits through this contract. The recipient shall advise clients, employees, and participants of the
right to file a complaint, the right to appeal a denial or exclusion from the services or benefits from this
contract, and their right to a fair hearing. Complaints of discrimination involving services or benefits
through this contract may also be filed with the Secretary of the Department of Elder Affairs or the
appropriate federal or state agency.
9. The recipient agrees that compliance with these assurances is a condition of continued receipt of or
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Agreement No. PA 329
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.
D. Requirements of Section 287.058, Florida Statutes:
For all contracts covered by this agreement, the recipient agrees:
1. To submit bills for fees or other compensation for services or expenses in sufficient detail for a proper
pre-audit and post-audit. Expenditures prohibited from state funds unless expressly provided by law
include, but are not limited to:
(a) Congratulatory telegrams;
(a) Flowers and/or telephone condolences;
(c) Presentation of plaques for outstanding service;
(d) Entertainment for visiting dignitaries;
(e) Refreshments such as coffee and doughnuts;
(f) Decorative items (globe, statues, potted plants, picture frames, wall hangings, etc.)
(g) Greeting Cards (section 286.27, F.S.);
(h) Alcoholic beverages;
(i) Portable heaters and fans, refrigerators, stoves, microwave ovens, coffee pots, coffee mugs, etc.;
(j) Clocks for private offices;
(k) Meals, except those served to inmates and clients of State Institutions.
(I) Lobbying expenses (see Section I., paragraph L. of this agreement)
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.
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.
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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.
5. To develop procurement procedures for all services purchased pursuant to contracts and subcontracts
subject to this agreement in accordance with state and federal regulations that encourage competition
and promote a diversity of contractors for services for the elder consumers.
E. Withholdings and Other Benefits:
The recipient is responsible for Social Security and Income Tax withholdings.
F. Indemnification:
If the recipient is a state or local governmental entity, pursuant to subsection 768.28(18) Florida Statutes,
the provisions of this section do not apply.
1. Recipient agrees it will indemnify, defend, and hold harmless the Department of Elder Affairs and the
Alliance and all of their officers, agents, and employees from any claim, loss, damage, cost, charge,
or expense arising out of any acts, actions, neglect or omission, action in bad faith, or violation of
federal or state law by the recipient, its agents, employees, or subrecipients during the performance
of all contracts incorporating this agreement by reference, whether direct or indirect, and whether to
any person or property to which the Department, the Alliance or said parties may be subject, except
neither recipient nor any of its subrecipients will be liable under this section for damages arising out
of injury or damage to persons or property directly caused or resulting from the sole negligence of the
Department, the Alliance or any of their officers, agents, or employees.
2. Recipient's obligation to indemnify, defend, and pay for the defense or, at the Department's option,
to participate and associate with the Department in the defense and trial of any claim and any related
settlement negotiations, shall be triggered by the Department's notice of claim for indemnification to
recipient. Recipient's inability to evaluate liability or its evaluation of liability shall not excuse recipient's
duty to defend and indemnify the Department, upon notice by the Department. Notice shall be given
by registered or certified mail, return receipt requested. Only an adjudication or judgment after the
highest appeal is exhausted specifically finding the Department solely negligent shall excuse
performance of this provision by recipients. Recipient shall pay all costs and fees related to this
obligation and its enforcement by the Department. Department's failure to notify recipient of a claim
shall not release recipient of the above duty to defend.
3. It is the intent and understanding of the parties that the recipient nor any of its subrecipients are
employees either of the Department or the Alliance and shall not hold themselves out as employees
or agents of either agency without specific authorization from them. It is the further intent and
understanding of the parties that neither the Department nor the Alliance control the employment
practices of the recipient and shall not be liable for any wage and hour, employment discrimination,
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Agreement Nt:. PA. _29
or other labor and employment claims against the recipient. or its sub recipients.
G. Insurance and Bonding:
..
1. To provide adequate liability insurance coverage on a comprehensive basis and to hold 51J liat:<!
insurance at all times during the effective period of any and all contracts incorporating thi.'3 ::"greer"
by reference. The recipient accepts full responsibility for identifying and determining the type(s;' ;, !~
extent of liability insurance necessary to provide reasonable financial protections for the cedpien: j
the clients to be served under contracts incorporating this agreement by reference. Upon executkn
of each contract covered under this agreement, the recipient shall furnish the Alliance writ"i:C3;
verification supporting both the determination and existence of such insurance coverage:. SU'~
coverage may be provided by a self-insurance program established and operating under tri '3 lav.'::: '
the State of Florida. The Department of Elder Affairs and the Alliance reserve the right to req' .
additional insurance where appropriate.
2. To furnish an insurance bond from a responsible commercial insurance company coverir~q offic
directors, employees and agents of the recipient authorized to handle funds received IX cbblf
under all contracts incorporating this agreement by reference in an amount commensu/<:1k wit;-
funds handled, the degree of risk as determined by the insurance company and consistem .jth f.
business practices.
3. If the recipient is a state agency or subdivision as defined by section 768.28, Florida ':25.
recipient shall furnish, upon request, written verification of liability protection in acc()rC'::i~C::
section 768.28, Florida Statutes. Nothing herein shall be construed to extend any n?t
beyond that provided in section 768.28, Florida Statutes. (See also Indemnification clausE;;.;
H. Abuse Neglect and Exploitation Reporting:
In compliance with Chapter 415, F.S., an employee of the recipient who knows, or has reasomth C2
to suspect, that a child, aged person or disabled adult is or has been abused, neglected, "<ole:
shall immediately report such knowledge or suspicion to the State of Florida's central abu~~~, '.3:ry
tracking system on the statewide toll-free telephone number (1-800-96 ABUSE).
I. Transportation Disadvantaged:
If clients are to be transported under any contracts incorporating this agreement, the recipi:;" '. ,
with the provisions of Chapter 427, Florida Statutes, and Rule Chapter 41-2, Florida Admin::"",'.
sari
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J. Purchasing:
Procurement of Products or Materials with Recycled Content
Any products or materials which are the subject of, or are required to carry out any contr::,!";, ' ~: sr :
agreement shall be procured in accordance with the provisions of Section 403.7065 and 213/<: ;=10:
Statutes.
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K. Sponsorship:
1. As required by -section 286.25, F.S., if the recrpient 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 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 logo on all printed material. This shall
include, but is not limited to, any correspondence or other writing, publication or broadcast that refers
to such program.
Agreement No. PA 329
2. If the recipient is a governmental entity or political subdivision of the state, the Department and the
Alliance request compliance with the conditions specified above.
3. The recipient shall not use the words "The State of Florida, Department of Elder Affairs and the
Alliance for Aging, Inc." to indicate sponsorship of a program otherwise financed unless specific
authorization has been obtained by the Alliance prior to use.
L. Use of Funds For Lobbying Prohibited:
To comply with the provisions of Section 216.347, Florida Statutes, which prohibit the expenditures of
contract funds for the purpose of lobbying the Legislature, a judicial branch or a state agency.
M. Public Entity Crime - Applicable only to state agencies or political subdivisions of the state:
Denial or revocation of the right to transact business with public entities. It is the intent of the
legislature to place the following restrictions on the ability of persons convicted of public entity
crimes to transact business with the Department of Elder Affairs, or the Alliance as the pass through
agent for the department, pursuant to section 287.133, F .5.:
A person or affiliate who has been placed on the convicted vendor list following a conviction for a
public entity crime may not submit a bid on a contract to provide any goods or services to a public
entity, may not submit a bid on a contract with a public entity for the construction or repair of a
public building or public work, may not submit bids on leases of real property to a public entity, may
not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a
contract with any public entity, and may not transact business with any public entity in excess of
the threshold amount provided in section 287.017, F.S., for CATEGORY TWO for a period of 36
months from the date of being placed on the convicted vendor list.
The recipient agrees that compliance with this statute is a condition of receipt or benefit from state
or federal funds and it is binding upon the recipient, it's successors and transferees during the period
of this agreement. The recipient further assures that the recipient, it's officers, directors, senior
management, partners, employees or agents have not been convicted of any public entity crimes
within the last 36 months. If the recipient or any of its officers or directors are convicted of a public
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01/2003 Agreement No. PA 329
entity crime during the period of this agreement, the recipient shall notify the Department of Elder
Affairs and the Alliance immediately. Non-compliance with this statute shall constitute a breach of
oS
contract.
N. Employment
If the recipient is a non-governmental organization, it is expressly understood and agreed the recipient
will not knowingly employ unauthorized alien workers. Such employment constitutes a violation of the
employment provisions as determined pursuant to section 274A(e) of the Immigration Nationality Act
(INA), 8 U.S.C. s.1324 a (e)("section 274A(e)"). Violation of the employment provisions as determined
pursuant to section 274A(e) shall be grounds for unilateral cancellation of any and all contracts
incorporating this agreement by reference.
o. Audits and Records:
1. 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 forreimbursement. This documentation will be made available upon
request for monitoring and auditing purposes.
2. To assure these records shall be subject at all reasonable times to inspection, review, audit, copy, or
removal from premises by state personnel and other personnel duly authorized by the Alliance, the
Department of Elder Affairs, or by federal personnel, if applicable.
3. To maintain and file with the Alliance such progress, fiscal and inventory and other reports as the
Alliance may require within the period of this agreement. Such reporting requirements must be
reasonable given the scope and purpose of the contracts incorporating this agreement by reference.
4. To submit management, program, and client identifiable data as specified by the Department of Elder
Affairs and/or the Alliance. To record and submit program specific data in accordance with
Department of Elder Affairs Client Information Registration and Tracking System (CIRTS) Policy
Guidelines.
5. To provide a financial and compliance audit to the Alliance as specified in ATTACHMENT III and to
ensure all related party transactions are disclosed to the auditor.
6. To include these aforementioned audit and record keeping requirements, including Attachment III,
in all approved subcontracts and assignments.
7. The recipient agrees to provide client information and statistical data for research and evaluative
purposes when requested by the Department of Elder Affairs and/or the Alliance.
8. To provide to the Alliance all fiscal information regarding services contracted pursuant to this
agreement using the application required by the Department of Elder Affairs.
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P. Retention of Records:
Agreement No. PA 329
1. To retain all client records, financial records, supporting documents, statistical records, and any other
documents (including electronic storage media) pertinent to each contract covered under this
agreement for a period of five (5) years after termination of the contract(s), 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. These records may be subject to additional retention
requirements set by law.
2. Persons duly authorized by the Department of Elder Affairs, the Alliance or federal auditors, pursuant
to 45 CFR, Part 92.42(e), (1), and (2), shall have full access to and the right to examine or duplicate
any of said records and documents during said retention period or as long as records are retained,
whichever is later.
Q. Monitoring and Incident Reporting:
1. 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.
2. The Alliance will perform administrative and programmatic monitoring of the recipient to ensure
contractual compliance, fiscal accountability, programmatic performance, and compliance with
applicable state and federal laws and regulations.
3. To permit persons duly authorized by the Department of Elder Affairs or the Alliance to inspect any
records, papers, documents, facilities, goods and services of the recipient which are relevant to
contracts incorporating this agreement by reference, or to the mission and statutory authority of the
Department or the Alliance, and to interview any consumers and employees of the recipient to be
assured of satisfactory performance of the terms and conditions of the contract(s). Following such
inspection the Department or the Alliance will deliver to the recipient a list of its concerns with regard
to the manner in which said goods or services are being provided. The recipient will rectify all noted
deficiencies provided by the Department or the Alliance within the time set forth, or provide either the
Department or the Alliance with a reasonable and acceptable justification for the recipient's failure to
correct the noted shortcomings. The Department or the Alliance shall determine whether such failure
is reasonable and acceptable. The recipient's failure to correct or justify deficiencies within a
reasonable time as specified by the Department or the Alliance may result in either agency taking any
of the actions identified in Section ilL, C., Enforcement, or deeming the recipient's failure to be a
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Agreement No. PA 329
breach of contract.
4. The recipient will notify the Alliance within 24 hours of conditions related to performance that could
impair continued service delivery. Reportable conditions may include:
· proposed consumer terminations
· recipient financial concerns/difficulties
· service documentation problems
· contract non-compliance
· service quality and consumer complaint trends.
Recipient will provide the Alliance with a brief summary of the problem(s) and proposed corrective
action plans and time frames for implementation.
R. Safeguarding Information:
Except as provided for Alliance auditing and monitoring purposes, not to use or disclose any information
concerning a consumer who receives services under contracts incorporating this agreement by reference
or subsequent contracts for any purpose not in conformity with state and federal regulations (45 CFR, Part
205.50), except upon written consent of the consumer, or the consumer's authorized representative.
S. Assignments and Subcontracts:
1. Alliance approval of the service application presented by the recipient shall constitute Alliance
approval of the recipient subcontracts if the subcontracts follow the service and funding information
identified in the service application. The recipient must submit all contracts for services under the
service application to the Alliance for prior approval when the proposed subrecipient is a profit making
organization. No such approval by the Alliance of any assignment or subcontract shall be deemed
in any event or in any manner to provide for the incurrence of any obligation of the Alliance in addition
to the total dollar amount agreed upon in contracts covered by this agreement. All assignments or
subcontracts shall be subject to the conditions of this agreement and the contracts incorporating it by
reference and to any conditions of approval the Alliance shall deem necessary.
2. If the recipient deems a service provider to be a vendor rather than a subrecipient, as defined in OMB
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.
T. Return of Funds:
1. To return to the Alliance any overpayments due to unearned funds or funds disallowed pursuant to
the terms of all contracts for which funds were disbursed to the recipient by the Alliance.
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Agreement No. PA 329
a. The recipient shall return any overpayment to the Alliance within forty (40) calendar days after
either discovery by the recipient, or notificatio~ by the Alliance, of the overpayment.
b. In the event the recipient or its independent auditor discovers an overpayment has been made,
the recipient shall repay said overpayment within forty (40) calendar days without prior notification
from the Alliance. In the event the Alliance first discovers an overpayment has been made, the
Alliance will notify the recipient by letter of such a finding.
c. 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 under the same terms and conditions of this
section. Repayment received by the Alliance shall be reported to the Department of Elder Affairs
and may be either re-allocated to other subrecipient(s) or returned to the department, at the
department's discretion.
2. Should repayment not be made in a timely manner, the Alliance will charge interest of one (1) percent
per month compounded on the outstanding balance forty (40) calendar days after the date of
notification or discovery.
u. Data Integrity:
Pursuant to the accounting and reporting requirements for federal grants management in OMS Circulars
A-102 and A-11 0, which requires certification of data integrity for any procurement document, the recipient
must, prior to execution of this agreement, complete the Data Integrity Certification form, ATTACHMENT
IV.
In the event a data integrity issue results in a delay of service, the recipient agrees to execute their
agency disaster plan to ensure the delivery of service(s) continues.
V. Conflict of Interest:
The recipient hereby agrees to develop and implement a policy to ensure that its employees, board
members, management and subrecipients, will avoid any conflict of interest or the appearance of a
conflict of interest when disbursing or using the funds described in this agreement or when contracting
with another entity which will be paid by the funds described in this agreement. The recipient's board
members and management must disclose to the Alliance any relationship which may be, or may be
perceived to be, a conflict of interest within thirty (30) days of an individual's original appointment or
placement in that position, or if the individual is serving as an incumbent, within thirty (30) days of the
commencement of this agreement. The recipient's employees and service subrecipients must make the
same disclosures described above to the recipient's board of directors.
w. Successors and Transferees:
This agreement and its attachments are binding on the recipient and its successors and transferees.
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II. The Alliance Agrees:
Agreement No. PA 329
A. Contract Payment:
Unless otherwise stated in the contract(s) covered by this agreement between the Alliance and recipient,
payments made by the Alliance to the recipient must be within seven (7) working days after receipt by the
Alliance of full or partial payments from the Department of Elder Affairs in accordance with section
287.0585, F.S.. Failure to pay within seven (7) working days will result in a penalty charged against the
Alliance and paid to the recipient in the amount of one-half of one (1) percent of the amount due, per day
from the expiration of the period allowed herein for payment. Such penalty shall be in addition to actual
payments owed and shall not exceed fifteen (15) percent of the outstanding balance due.
-
B. Vendor Ombudsman:
A Vendor Ombudsman has been established within the Department of Banking and Finance. The duties
of this individual include acting as an advocate for vendors who may be experiencing problems in
obtaining timely payment(s) from a state agency. The Vendor Ombudsman may be contacted at (850)
488-2924 or by calling the State Comptroller's Hotline, 1-800-848-3792.
III. Recipient and Alliance Mutually Agree:
A. Effective Date
1. This agreement shall begin on January 1, 2003 or on the date on which the agreement has been
signed by both parties, whichever is later, and shall end on December 31,2003.
2. All contracts executed between the Alliance and the recipient during the effective period of this
agreement shall reference this agreement by number, incorporating it therein, and shall be governed
by the conditions of this agreement for the duration of the contract period(s).
B. Termination:
1. Termination at Will
Any contract(s) covered by this agreement and incorporating it by reference may be terminated by
either party upon no less than thirty (30) calendar days notice, without cause, unless a lesser time is
mutually agreed upon by both parties, in writing. Said notice shall be delivered by certified mail, return
receipt requested, or in person with proof of delivery. In the event the recipient terminates a contract
at will, the recipient agrees to submit, at the time it serves notice of the intent to terminate, a plan
which identifies procedures to ensure services for consumers pursuant to this agreement or any
subcontract will not be interrupted or suspended by the termination. In the event that an agreement
between the recipient and a subrecipient is terminated, the recipient shall require the subrecipient to
submit to the recipient and the Alliance, a similar plan ensuring services to consumers will not be
interrupted or suspended by the termination.
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Agreement No. PA 329
2. Termination Because of Lack of Funds
.-
In the event funds to finance any contract(s) under this agreement become unavailable, the Alliance
may terminate the affected contract or contracts upon no less than twenty-four (24) hours notice in
writing to the recipient. Said notice shall be delivered by certified mail, return receipt requested, or
in person with proof of delivery. The Alliance shall be the final authority as to the availability of funds.
3. Termination for Breach
Unless the breach is waived in writing by the Department of Elder Affairs and/or the Alliance as the
local agent for the department, or, if the recipient fails to cure the breach within the time specified by
the Department/Alliance, the Department/Alliance may, by written notice to the recipient, terminate
the contract(s) incorporating this agreement by reference upon no less than twenty-four (24) hours
notice. Said notice shall be delivered by certified mail, return receipt requested, or in person with
proof of delivery. If applicable, the Department of Elder Affairs may employ the default provisions in
Chapter 60A-1.006(3), Florida Administrative Code. Waiver of breach of any provisions of anyone
contract covered by this agreement shall not be deemed to be a waiver of any other breach and shall
not be construed to be a modification of the terms of other contracts covered under this agreement.
The provisions herein do not limit the Department's or the Alliance's right to remedies at law or to
damages of a legal or equitable nature.
c. Enforcement:
1. The Department of Elder Affairs, or the Alliance acting on its behalf may, in accordance with
section 430.04, Florida Statutes, take intermediate measures against the recipient, including:
corrective action, unannounced special monitoring, temporary assumption of the operation of one
or more programs, placement of the recipient on probationary status, imposing a moratorium on
recipient action, imposing financial penalties for nonperformance, or other administrative action
pursuant to Chapter 120 Florida Statutes, if the department or the Alliance acting on its behalf
finds that:
· an intentional or negligent act of the recipient has materially affected the health, welfare, or safety
of consumers served pursuant to this agreement, or substantially and negatively affected the
operation of services covered under this agreement.
· the recipient lacks financial stability sufficient to meet contractual obligations or that contractual
funds have been misappropriated.
· the recipient has committed multiple or repeated violations of legal and regulatory standards,
regardless of whether such laws or regulations are enforced by the Department, or the recipient
has committed or repeated violations of Department standards.
· the recipient has failed to continue the provision or expansion of services after the declaration of
a state of emergency.
· the recipient has failed to adhere to the terms of this agreement or the terms of any contract(s)
covered by this agreement and incorporating it by reference.
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01/2003 Agreement No. PA 329
2. In making any determination under this provision the Department of Elder Affairs may rely upon the
findings of another state or federal agency, or other regulatory body. Any claim for breach of contract
is exempt from administrative proceedings and shall be brought before the appropriate entity in the
venue of Leon County. Before the Department formally rescinds the designation of the provider or
initiates any intermediate measure, or either party commences equitable or legal action of any sort,
both parties agree to engage in informal mediation through a meeting of each party's representative
at a place and location designated by the Department.
3. In making any determination under this provision for intermediate measures, the department or the
Alliance acting on its behalf, will be guided by the measures and options as set forth in ATTACHMENT
VI. The purpose of the options set forth in ATTACHMENT VI is to give notice to the recipient of the
range of intermediate measures which would normally be imposed for violations as set forth in this
provision. This range of intermediate measures is based upon a single violation of each provision
listed. Multiple violations of the same provision will be grounds for enhancement of intermediate
measures. The department, or the Alliance acting on its behalf, is entitled to deviate from the range
of intermediate measures provided in ATTACHMENT VI upon a showing of circumstances presented
to the department and/or the Alliance prior to the imposition of an intermediate measure. Such
circumstances which may be considered for enhancement or reduction of intermediate measures
include, but are not limited to:
a. History of previous violations.
b. The magnitude and scope of the damage inflicted upon the general public.
c. The lack of danger to the public health, safety and welfare.
d. The degree of financial hardship incurred by the recipient as a result of the imposition of
intermediate measures.
e. Corrective active taken by the recipient.
f. Steps taken by the recipient to ensure the non-occurrence of similar violations in the future.
D. Notice and Contact:
1. The name, address and telephone number of the Alliance for this agreement is:
Steven Weisberg
9500 South Dadeland Boulevard, Suite 400
Miami, Florida 33156
(305) 670-6500 SC 455-6500
2. The name, address and telephone number of the recipient of the program under this agreement is:
Monroe County Board of Commissioners
1100 Simonton Street
Key West, FL 33040
(305) 292-4573
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01/2003 Agreement No. PA 329
3. The name of the contact person, street address and telephone number where financial and
administrative records are maintained:
01
Louis LaTorre
1100 Simonton Street
Key West, FL 33040
(305) 292-4573
E. Renegotiation or Modification:
1. Modifications of provisions of this agreement and of any and all contract(s) incorporating this
agreement by reference shall only be valid when they have been reduced to writing and duly signed.
The parties agree to renegotiate this agreement and any affected contracts if revisions of any
applicable laws or regulations make changes in this agreement necessary.
2. The rate of payment and the total dollar amount may be adjusted retroactively for any contract(s)
incorporating this Master Agreement by reference to reflect price level increases and changes in the
rate of payment when these have been established through the appropriations process and
subsequently identified inthe Department of Elder Affairs operating budget.
F. Health Insurance Portability and Accountability Act (HIPAA) of 1996
The Alliance and the recipient will comply with all requirements of the Health Insurance Portability
Act (HIPAA) of 1996. The Alliance and the recipient recognize that each may be a "Business
Associate" of the other under the terms of HIPAA. As such and to the degree these apply, each
agrees to the terms as written in ATTACHMENT VII .
IV. The Recipient agrees to the Following Special Provisions:
A. Property
1. Non-expendable property is defined as tangible property of a non-consumable nature with an
acquisition cost of $1000 or more per unit, and expected useful life of at least one year; and
hardback bound books not circulated to students or the general public, with a value or cost of
$250 or more. Hardback books with a value or cost of $25 or more should be classified as an
OeD expenditure only if they are circulated to students or the general public.
2. All property, purchased under contracts covered by this agreement or purchased by the
Department of Elder Affairs or the Alliance acting as its agent 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).
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Agreement No. PA 329
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 01 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.
4. Title (ownership) to all property acquired with funds from any contracts covered by this agreement
or otherwise purchased by the Department of Elder Affairs or the Alliance acting as its agent shall
be vested in the Department upon completion or termination of the contract(s).
5. At no time shall the recipient dispose of non-expendable property except with the permission of,
and in accordance with instructions from the Alliance. Any permanent storage devices (e.g.: hard
drives, removable storage media) must be reformatted and tested prior to disposal to ensure no
confidential information remains.
6. A budget amendment is required to be submitted and approved by the Alliance's contract
manager prior to the purchase of any item of nonexpendable property not specifically listed in the
approved budget.
7. The recipient must adhere to the Department of Elder Affairs' procedures and standards when
purchasing Information Technology Resources (ITR) as part of any contract(s) incorporating this
agreement by reference. An ITR worksheet is required for any computer related item costing
$1,000.00 or more, including data processing hardware, software, services, supplies,
maintenance, training, personnel and facilities. The completed ITR worksheet shall be
maintained in the Alliance for Aging's LAN administrator's file.
B. Copyright Clause
Where activities supported by any contract(s) incorporating this agreement by reference produce
original writing, sound recordings, pictorial reproductions, drawings or other graphic representation
and works of any similar nature, the Department of Elder Affairs or the Alliance acting as its agent
have the right to use, duplicate and disclose such materials in whole or part, in any manner, for any
purpose whatsoever and to have others acting on their behalf do so.
If the materials so developed are subject to copyright, trademark or patent, then legal title and every
right, interest, claim or demand of any kind in and to any patent, trademark, copyright, or application
for the same, will vest in the State of Florida, Department of State, for the exclusive use and benefit
of the state. Pursuant to Section 286.021, F. S., no person, firm or corporation, including parties to
this contract, shall be entitled to use the copyright, patent or trademark without the prior written
consent of the Department of State.
C. Grievance and Appeal Procedures
1. In accordance with ATTACHMENT V, Minimum Guidelines for Consumer Grievance Procedures,
the recipient will develop procedures for handling complaints from persons who complain service
has been denied, terminated or reduced.
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Agreement No. PA 329
2. Recipient will establish complaint procedures for older individuals who are dissatisfied with or
denied services. These procedures must include notice of the right to complain and to have their
complaint reviewed. 01
D. Investigation of Allegations
Any report that implies criminal intent on the part of this or any other recipient and referred to a
governmental or investigatory agency must be sent to the Department of Elder Affairs via the
Alliance. The Alliance must investigate allegations regarding falsification of client information, service
records, payment requests, and other related information. If the Alliance has reason to believe that
the allegations will be referred to the State Attorney, a law enforcement agency, the United States
Attorney's Office, or other governmental agency, the Alliance shall notify the Inspector General at the
Department of Elder Affairs immediately. A copy of all documents, reports, notes or other written
material concerning the investigation, whether in the possession of the Alliance or the recipient must
be sent to the Department of Elder Affairs Inspector General with a summary of the investigation and
allegations.
E. Disaster
In preparation for the threat of an emergency event as defined in the State of Florida Comprehensive
Emergency Management Plan, the Department of Elder Affairs may exercise authority over an area
agency or service provider to implement preparedness activities to improve
the safety of the elderly in the threatened area and to secure area agency and service provider
facilities to minimize the potential impact of the event. These actions will be within the existing roles
and responsibilities of the area agency and its service providers.
In the event the President of the United States or Governor of the State of Florida declares a disaster
or state of emergency, the Department of Elder Affairs may exercise authority over an area agency
or service provider to implement emergency relief measures and/or activities.
In either of these cases, only the Secretary, Deputy Secretary or his/her designee of the Department
of Elder Affairs shall have such authority to order the implementation of such measures. All actions
directed by the department under this section shall be for the purpose of ensuring the health, safety
and welfare of the elderly in the potential or actual disaster area.
F. Volunteers
The recipient will promote the use of volunteers as prescribed in Section 306(a)(12), Older Americans
Act and Section 430.07, Florida Statutes.
G. Business Hours
Recipients who are lead agencies, as defined in 430.203 (9), F.S. or who provide elder helpline
services pursuant to this agreement must at a minimum maintain business hours from 8:00 am to
5:00 pm daily, Monday through Friday.
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Agreement No. PA 329
H. Client Information Registration and Tracking System (CIRTS) and Management Information
Systems.
For all program contracts incorporating tbis agreement by reference for which collection of consumer
data in elRTS is required:
1. The Alliance shall employ a Local Area Network (LAN) Administrator who shall assure the
recipient's compliance with the requirements of the "LAN Administrator Guidelines" adopted by
the department. These "Guidelines" delineate the roles and responsibilities of the Local Area
Network Administrator. The Alliance shall assure any other support necessary for full "LAN
Administrator Guidelines" compliance, including reporting to the department the operational status
of their LAN and Wide Area Network (WAN) in accord with the frequency and format directed in
these "Guidelines".
2. The Alliance will ensure the collection and maintenance of consumer and service information on
a monthly basis from the Client Information Registration and Tracking System (eIRTS) or any
such system designated by the department. Maintenance includes valid exports and backups of
all data and systems according to department standards.
3. The recipient shall enter all required data per the department's elRTS Policy Guidelines for
consumers and services in the elRTS database. The data must be entered into the CIRTS
before the recipient submits its request for payment and expenditure reports to the Alliance. The
Alliance shall establish time frames to assure compliance with due dates for the requests for
payment and expenditure reports to the department.
4. The recipient will run monthly elRTS reports and verify consumer and service data in the CIRTS
is accurate., This report must be submitted to the Alliance with the monthly request for payment
and expenditure report and must be reviewed by the Alliance before the recipient's request for
payment and expenditure reports can be approved by the Alliance.
5. Failure to ensure the collection and maintenance of the elRTS data may result in the Alliance
enacting the "Enforcement" clause of this agreement (see Section III, C.).
6. Computer System Backup and Recovery
Each recipient, among other requirements, must anticipate and prepare for the loss of information
processing capabilities. The routine backing up of data and software is required to recover from
losses or outages of the computer system. Data and software essential to the continued
operation of agency functions must be backed up. The security controls over the backup
resources shall be as stringent as the protection required of the primary resources. It is
recommended that a copy of the backed up data be stored in a secure, offsite location. The
recipient will submit to the Alliance, annually or upon revision, their written policy for backing up
data and software.
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Agreement No. PA 329
I. Consumer Outcomes
1. The recipient will develop consumer outcome measures consistent with those developed by the
Department of Elder Affairs and the Alliance.
2. As required by the legislature for performance-based program budgeting, the Department of Elder
Affairs will set targets for the performance of outcome measures. The Alliance is responsible for
achieving these targets and will incorporate them into its subcontracts with service agencies as
necessary.
J. SurpluslDeficit Report
The recipient will submit a consolidated surplus/deficit report to the Alliance's Programs and Services
Department by the 15th of each month. This report is for all contracts between the recipient and the
Alliance and must include an explanation where there is a projected surplus or deficit of 2% or more.
The report will include the following:
1. A list of subcontractors, if applicable, who are showing a surplus or deficit,
2. the recipient's detailed plan on how the surplus or deficit spending will be resolved or, a
recommendation to transfer surplus funds; and,
3. input from the recipient's Board of Director's on resolution of spending issues, if applicable.
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Agreement No. PA 329
01
IN WITNESS THEREOF, the parties hereto have caused this 37 page agreement to be executed by their
undersigned officials as duly authorized.
RECIPIENT: MONROE COUNTY BOARD
OF COMMISSIONERS
ALLIANCE FOR AGING, INC.
BOARD PRESIDENT OR
AUTHORIZED DESIGNEE
SIGNED ~# >n ~a4J
BY:
SIGNE9 /
BY:...~~ l~
....-- )
NAME: DIXIe, /11. )pe-ha-r
TITLE: ./Yl ayo(
/
DATE: 0 ~ - / '1- 03
NAME: STEVEN WEISBERG. M.S.
TITLE:
PRESIDENT/CEO
DATE:
}/b}" )
19
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Agreement No. PA 329
ATTACHMENT I
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS, GRANTS, LOANS AND COOPERATIVE
AGREEMEN:r
01
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to
any person for influencing or attempting to influence an officer or an employee of any state or federal
agency, a member of congress, an officer or employee of congress, an employee of a member of
congress or an officer or employee of a state legislator, in connection with the awarding of any federal
grant, the making of any federal grant, the making of any federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any
federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a member of congress,
an officer or employee of congress, or an employee of a member of congress in connection with this
federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit
Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all sub-awards at all tiers (including subcontracts, sub-grants, and contracts under
grants, loans and cooperative agreements) and that all sub-recipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction
was made or entered into. Submission of this certification is a prerequisite for making or entering into this
transaction imposed by section 1352, Title 31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each
such failure.
~)J~ >n ~
o d- - \ ~ ~ 03
Date
Signature
RLJc.tb~~
Name of Authoriz Cllndividual
P A 329
Application or Contract Number
Monroe County Board of Commissioners
Gato Building - 1100 Simonton Street
Key West. FL 33040
Name and Address of Organization
1123 ('
\ ;;/"
\\~,,-,\. .~
k-.~.
DOEA Form 103 (Revised November 2002)
> \c_--~~;/ ~-
"'-':~-,---,,~: ~0.
20
01/2003
INSTRUCTIONS
CERTIFICATION REGARDING
DEBARMENT, SUSPENSION, INELIGIBILITY
AND VOLUNTARY EXCLUSION CONTRACTS/SUBCONTRACTS
Agreement No. PA 329
ATTACHMENT II
1. Each recipient whose contract equals or exceeds $25,000 in federal monies must sign this debarment
certification prior to contract execution. Independent auditors who audit federal programs regardless
of the dollar amount are required to sign a debarment certification form. Neither the Department of
Elder Affairs nor its contract recipients can contract with subrecipients if they are debarred or
suspended by the federal government.
2. This certification is a material representation of fact upon which reliance is placed when this contract
is entered into. If it is later determined that the signer knowingly rendered an erroneous certification,
the Federal Government may pursue available remedies, including suspension and/or debarment.
3. The recipient shall provide immediate written notice to its contract manager at the Alliance any time
the recipient learns that its certification was erroneous when submitted or has become erroneous by
reason of changed circumstances.
4. The terms "debarred," "suspended," "ineligible," "person," "principal," and "voluntarily excluded," as
used in this certification, have the meanings set out in the Definitions and Coverage sections of rules
implementing Executive Order 12549 and 45 eFR (Code of Federal Regulations), Part 76. You may
contact the contract manager for assistance in obtaining a copy of those regulations.
5. The recipient further agrees by submitting this certification that, it shall not knowingly enter into any
subcontract with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from
participation in this contract unless authorized by the Federal Government.
6. The recipient further agrees by submitting this certification that it will require each subrecipient of this
contract whose payment will equal or exceed $25,000 in federal monies, to submit a signed copy of
this certification with each contract.
7. The Department of Elder Affairs and its contract recipients may rely upon a certification of a
recipientlsubrecipients that is not debarred, suspended, ineligible, or voluntarily exclude from
contracting/subcontracting unless it knows that the certification is erroneous.
8. If the recipient is an Area Agency on Aging (AAA), the AAA may rely upon a certification of a
recipientlsubrecipient entity that is not debarred, suspended, ineligible, or voluntarily excluded from
contracting/subcontracting unless the AAA knows that the certification is erroneous.
9. The signed certifications of all recipients shall be kept on file with the Alliance.
DOEA FORM 112A
(Revised April 2001 )
21
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CERTIFICATION REGARDING
DEBARMENT, SUSPENSION, INELIGIBILITY
AND VOLUNTARY EXCLUSION CONTRACTS/SUBCONTRACTS
Agreement No. PA 329
ATTACHMENT II
01
This certification is required by the regulation implementing Executive Order 12549, Debarment and
Suspension, signed February; 18, 1986. The guidelines were published in the May 29, 1987 Federal
Register (52 Fed. Reg., pages 20360-20369).
(1) The prospective recipient certifies, by signing this certification, that neither he nor his principals is
presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded
from participation in contracting with the Department of Elder Affairs or the Alliance for Aging acting
as its agent by any federal department or agency.
(2) Where the prospective recipient is unable to certify to any of the statements in this certification, such
prospective recipient shall attach an explanation to this certification.
Signature
L)Ja >n ~
Date
o~-l<::1-03
D, . ~ Q.,hQ ( M CA
Name and Title of Au horized Individual
(Print or type)
(
c~~~
Monroe County Board of Commissioners
Name of Organization
DOEA FORM 1128
(Revised April 2001)
22
01/2003
Agreement No. PA 329
Attachment III
Audit Attachment
The administration of funds awarded by the Department of Eldet 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.
MONITORING
In addition to reviews of audits conducted in accordance with OMB Circular A-133 and section 215.97, F.S., 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 OMB 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 OMB 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 OMB
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 or passed through 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 e 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 OMB 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).
23
01/2003 Agreement No. PA 329
4. Information regarding audit requirements contained in OMB Circular A-133 and 215.97, Florida Statutes
(F. S.), can be obtained from the following web-sites:
http://www.whitehouse.gov/omb/circulars/
and:
http://www.leg.state.f1.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, F.S.; 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 Department of Elder
Affairs through the Alliance for Aging, 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, F.S. This includes submission of a
reporting package as defined by section 215.97, F.S., 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 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, F.S., is not required. In the event 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, F.S., the cost of the audit must be paid from non-State
funds (Le., the cost of such an audit must be paid from the recipient's resources obtained from other than
State entities).
PART III: REPORT SUBMISSION
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
9500 South Dadeland Boulevard, Suite 400
Miami, FL 33156
24
01/2003
B.
Agreement No. PA 329
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:
Bureau of the Census
1201 East 10th Stteet
Jeffersonville, IN 47132
e. 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:
Attention: Pedro Jove, Director of Administration
9500 South Dadeland Boulevard, Suite 400
Miami, Florida 33156
B. The Auditor General's Office at the following address:
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 F.S., 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.
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01/2003
PART IV: RECORD RETENTION
Agreement No. PA 329
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 any of these agencies.
PART V: SPECIFIC REQUIREMENTS OF DEPARTMENT ADMINISTERED PROGRAMS
1. The Department of Elder Affairs requires a supplemental schedule of functional expenses be prepared in
a format provided by the department, which presents costs by service (as defined by the department),
including units of service delivered, for recipients or subrecipients expending state or federal awards for
services performed by their employees, contractors, and other payees who receive payment from
department-administered funds for units of service recorded in the department's Client Registration and
Tracking System (eIRTS). This supplemental schedule shall be prepared using the same methodology
as used in determining the contractual rates.
2. 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 Comptroller's Voucher Processing Handbook, and OMB Circular A-122 or
A-87, whichever is 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.
3. Interest earned on federal funds or general revenue funds must be returned to the Alliance. A chart is
included in all contracts identifying the funding source(s), program titles, applicable eFDA or eSFA
numbers and the amount of funds granted.
4. 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.
26
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N
01/2003
Agreement No. PA 329
Attachment III
EXHIBIT - 1
MANAGEMENT ATTESTATION LETTER
(To be completed at the end of reCipient oJ sub-recipient's fiscal year)
Contract or Agreement Number:
I,
, hereby attest under penalty of perjury
(recipient's authorized representative)
that
, based on the criteria
(recipient agency name)
set forth in the Audit Attachment, PARTS I and II, that:
B. 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.
C. 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-a7, 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)
29
01/2003
Agreement No. PA 329
Attachment III
Exhibit - 2
Oath of Not for PrQ,fit Status
Contract or Agreement Number:
As an authorized representative for the Recipient identified herein, and in the above referenced
document(s), I do hereby swear under oath that this entity is currently a "not for profit"(non-profit)
organization as defined in section 501 (c)(3)of the Internal Revenue Code. If this non-profit status changes
for any reason during the life of the above referenced contract or agreement, the Alliance for Aging will be
notified in writing immediately.
Name of Recipient entity
Signature of Authorized Representative
Printed name and Title of Authorized Representative
Date of Oath
30
01/2003
Agreement No. PA 329
CERTIFICA TION REGARDING DATA INTEGRITY COMPLIANCE ATTACHMENT IV
FOR CONTRACTS, GRANTS, LOANS AND
COOPERA TIVE AGREEMENTS
Federal Grants Management regulations and the Florida Single Audit Act require financial management systems for
recipients of state and federal funds to be capable of providing certain information, assuring accuracy and accountability,
in accordance with prescribed reporting requirements. These reporting requirements may require certain calculations or
the provision of specified data to fully disclose the financial results of each federally funded or state-sponsored program.
To ensure the integrity of the State's accounting systems are not compromised, the following language was composed to
protect the interests of the State and the elderly population of Florida who rely on the programs in place to assist them in
preserving the quality and duration of their lives.
The undersigned, an authorized representative of the recipient named in the contract or agreement to which this form is
an attachment, hereby certifies that:
(1) The recipient and any sub-recipients of services under this contract have financial management systems capable
of providing certain information, including: (1) accurate, current, and complete disclosure of the financial results of
each grant-funded project or program in accordance with the prescribed reporting requirements; (2) the source and
application of funds for all contract supported activities; and (3) the comparison of outlays with budgeted amounts
for each award. The inability to process information in accordance with these requirements could result in a return
of grant funds that have not been accounted for properly.
(2) Management Information Systems used by the recipient, sub-recipient(s), or any outside entity on which the
recipient is dependent for data that is to be reported, transmitted or calculated, have been assessed and verified
to be capable of processing data accurately, including year-date dependent data. For those systems identified to
be non-compliant, recipient(s) will take immediate action to assure data integrity.
(3) If this contract includes the provision of hardware, software, firmware, microcode or imbedded chip technology, the
undersigned warrants that these products are capable of processing year-date dependent data accurately. All
versions of these products offered by the recipient (represented by the undersigned) and purchased by the State
will be verified for accuracy and integrity of data prior to transfer.
In the event of any decrease in functionality related to time and date related codes and internal subroutines that
impede the hardware or software programs from operating properly, the recipient agrees to immediately make
required corrections to restore hardware and software programs to the same level of functionality as warranted
herein, at no charge to the State, and without interruption to the ongoing business of the state, time being of the
essence.
(4) The recipient and any sub-recipient(s) of services under this contract warrant their policies and procedures include
a disaster plan to provide for service delivery to continue in case of an emergency including emergencies arising
from data integrity compliance issues.
The recipient shall require that the language of this certification be included in all subcontracts, subgrants, and other
agreements and that all sub-contractors shall certify compliance accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by OMB
Circulars A-102 and A-110.
Monroe County Board of Commissioners. 1100 Simonton Street. Kev West. FL 33040
Name and Address of Recipient
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Date
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Name of Authorized Sig~er 5 z~tt.: ' ,LITTON
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(Revised November 2002)
01/2003
Agreement No. PA 329
ATTACHMENT V
MINIMUM GUIDELINES FOR RECIPIENT GRIEVANCE PROCEDURES
APPLICABLE TO ALL ADVERSE ACTIONS DEEMED TERMINATIONS, SUSPENSIONS, OR REDUCT IONS IN SERVICE
Medicaid Waiver clients have the right to request a fair hearing from the Department of Children and Fam i1ies(DCAF) Office of
Appeal Hearings in addition to or as an alternativ e to these procedures.
NOTICE TO THE RECIPIENT OF THE ADVERSE ACTON TO BE TAKEN AND EXPLANATION OF THE GRIEVANCE
PROCEDURES FOR REVIEWING T HAT DECISION
. The recipient must be informed by the decision maker of the action, in writing, no less than 10 calendar* day s prior to
the date the adverse action will be tak en.
(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 term inated, nor any adverse action taken during the 10 day period.
. The Notice must contain:
a statement of what action is intended to be tak en;
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 indiv idual);
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 rev iew proceedings.
. All records of the above activities must be preserved in the client's file.
GRIEVANCE REVIEW PROCEDURE UPON T IMEL Y 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 indiv idual;
the opportunity to informally present argument, evidence, or witnesses without undue interference at a reasonable time
before or during the rev iew;
a contact person for any accommodations required under the Americans with Disabilities Act; and assistance, if needed,
in order to attend the rev iew; and the stopping of the intended action until all appeals are ex hausted.
. 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 determ ination of the action in question.
. The reviewer(s) must provide written notification to the requester, within 7 calendar* day s after the grievance review,
stating:
the decision, the reasons theref ore in detail;
the effect the decision has on current benefits, if favorable, or the circumstances regarding continuation of current
benefits until all appeals are ex hausted;
the individual's right to appeal an adverse decision to the Alliance for Aging by written request within 7 calendar* day s,
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01/2003
Agreement No. PA 329
except in decisions inv olving the professional judgem ent of a legal assistance prov ider;
the availability of assistance in writing, subm itting 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 com plaints
related to the actuallega~ representation prov ided. 01
PROCEDURE FOR APPEALS OF A GRIEVANCE REVIEW DECISION UPON T IMEL Y RECEIPT OF A WRITTEN APPEAL
TO THE ALLIANCE FOR AGING - AREA AGENCY ON AGING (AAA
· 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 f or 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 tim e before the appeal the indiv idual's own case record to date, and to a
copy of such case record at no cost to the indiv idual;
the opportunity to informally present argument, evidence, or witnesses without undue interf erence during the appeal;
assistance, if needed, in order to attend the appeal;
and the stopping of the intended action until all appeals are ex hausted.
· 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 determ ination 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 theref ore in detail;
the effect the decision has on current benefits, if favorable, or the circumstances regarding continuation of current
benefits until all appeals are ex hausted;
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 as required
by the ADA.
· 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.
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Agreement No. PA 329
INTERMEDIATE MEASURES
Attachment VI
INDICA TORS MEASUREMENT INTERMEDIA TE MEASURES
Section 430.04 (2), F.S. 01 Section 430.04 (2), F.S.
Lacks financial stability sufficient to . Failure within the same fiscal . Temporary assumption of
meet contractual obligations or that year in which due to pay short- operations and functions related
contractual funds have been term loans to the problem area within the
misappropriated . Failure to transfer at the agency
appropriate time, due to lack of . Placement on probationary status
funds for a specified period sufficient
0 Taxes withheld on the to address identified problems
income of employees . Impose a time limited moratorium
0 Employer and employee on agency
contributions for . Reduce any advances for the
federal social security following year to 30 days and
or any pension, examine surpluses for
retirement, or benefit redistribution.
plan or an employee
. Failure for one pay period to pay,
due to lack of funds
0 Wages and salaries
owed to employees
0 Retirement benefits
owed to former
employees
. An unreserved or total fund
balance or retained earnings
deficit for which sufficient
resources are not available to
cover the deficit for 2 successive
years
An intentional or negligent act of the . Intentional or Repeated violations . Impose a time limited moratorium
agency has materially affected the of the requirement to serve APS on agency
health, welfare, or safety of clients, clients within 72 hours . Temporary assumption of
or substantially and negatively . Any other verifiable report of operations and functions related
affected the operation of an aging such actions to the problem area within the
services program agency
Committed multiple or repeated . Achievement levels from . Unannounced special monitoring
violations of legal and regulatory monitoring reviews . Reduction in advances for
requirements or department . Any other verifiable report of following year and review of
standards such actions surpluses for redistribution
. Appropriate Corrective action
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01/2003
Agreement No. PA 329
INTERMEDIATE MEASURES
ATTACHMENT VI (cant.)
INDICA TORS MEASUREMENT INTERMEDIATE MEASURES
Section 430.04 (2), F.S. 01 Section 430.04 (2). F.S.
Failed to adhere to terms of its . Achievement levels from . Placement on probationary
contract with the Department as monitoring reviews status for a specified period
passed through the Alliance . Adherence to Area Plan to address identified problems
. Any other verifiable report of . Financial penalties
such action . Re-allotment of surplus funds
to other planning and service
areas
. Appropriate Corrective action
Failed to implement and maintain . Achievement levels from . Appropriate Corrective action
department approved client monitoring reviews
grievance resolution procedure . Any other verifiable report of
such action
Failed to continue the provision or . Achievement levels from . Temporary assumption of
expansion of services after the monitoring reviews agency operations and
declaration of a state of . Any other verifiable report of functions to implement
emergency such action emergency service plan
35
.
01/2003
Agreement No. PA 329
Attachment VII
Health Insurance Portability and Accountability Act (HIPAA) of 1996
The Alliance and the recipient will comply with all requirements of the Health Insurance Portability
and Accountability Act (HIPAA) of 1996. The Alliance and the recipient recognize that each may be
a "Business Associate" of the other under the terms of HIPAA. As such and insofar as these apply,
each agrees to the following:
1. That neither party will use or disclose protected health information for any purpose other than as
authorized by law, by this contract, or by separate agreement between the parties.
2. That each party will not use or disclose protected health information in a manner which would be
a prohibited use or disclosure if made by the other.
3. That each party will maintain safeguards as necessary to ensure that the protected health
information is not used or disclosed except as provided by law, by this contract, or by separate
agreement between the parties.
4. That each party will report to the other any use or disclosure of the protected health information
of which it becomes aware that is not provided for by law, by this contract, or by separate agreement
between the parties.
5. That each party will ensure that any of its subcontractors or agents to whom it provides
protected health information received from the other agree to the same restrictions and conditions
that apply to each other with respect to such information.
6. That each party will follow an agreed upon process established to provide access to protected
health information to the subject of that information when the other has made any material alteration
to the information. This process will be determined prior to April 14, 2003, and will include how each
party would determine in advance how the other would know or could readily ascertain when a
particular individual's protected health information has been materially altered by the other and how it
could provide access to such information. This process will establish how each party would provide
access to protected health information to the subject of the information in circumstances where the
information is being held by the other.
7. That each party will provide health information to the subject of the information in accordance
with the subject's right to access, inspect, copy, and amend their health information.
8. That each party will make available to the other its internal practices, books and records relating
to the use, disclosure, and tracking of disclosure of protected health information received from the
other or its agents for the purposes of enforcing compliance with HIPAA.
9. Each party will assist the other in meeting its obligation to provide, at an individual's request, an
accounting of all uses and disclosures of personal health information which are not related to
treatment, payment, or operations within 60 days of the request of an accounting.
10. That each party will incorporate any amendments or corrections to protected health information
when notified by the other that the information is inaccurate or incomplete.
11. That at the termination of this contract, unless a new contract is agreed upon, each party will
return or destroy all protected health information received from the other that it still maintains in any
form.
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01/2003
Agreement No. PA 329
12. That individuals who are the subject of disclosed protected health information are intended as
third party beneficiaries of this contract provision.
13. That either party may terminate this contract if it learns that the other has repeatedly violated a
term of this contract provision.
01
14. That each party will disclose only the minimum amount of information necessary to accomplish
the permitted use of the protected health information. This minimum use requirement does not apply
to information provided for treatment or to disclosures required by law.
15. That each party will limit the use and disclosure of protected health information to the minimum
number of employees necessary by class of employee and type of information to accomplish the
permitted use of the information.
16. That each party will meet at least the minimum security requirements for the protection of
protected health information as required by HIPAA.
17. That each party is bound by the terms of the "Notice of Practices" of the other with regard to
protected health information it receives from the other.
37