Item C42Meeting Date: 6-15-2011
Bulk Item: Yes X No
Division: _County Administrator.
Department: Social Services/In-Home Services
Staff Contact Person/Phone 4: Sheryl Graham/X45 10
AGENDA ITEM WORDING: Approval of the Home Care for the Elderly (HCE) Contract KH-I 172
between the Alliance for Aging, Inc. (Area Agency on Aging) and the Monroe County Board of County
Commissioners (Social Services/In-Home Services) for fiscal year 7/1 /11 to 12/3 1 /11.
ITEM BACKGROUND: Approval of the HCE Contract will enable Monroe County In -Home
Services to continue providing services to Monroe County's elderly population under the Home Care
for the Elderly Grant
PREVIOUS RELEVANT BOCC ACTION: Prior approval granted to the Home Care for the Elderly
(HCE) Grant Contract 9KE1072 on 6-16-10.
CONTRACT/AGREEMENT CHANGES: none
STAFF RECOMMENDATIONS: Approval
TOTAL COST: $16,628.00 INDIRECT COST: --O--BUDGETED: Yes X No
COST TO COUNTY: $0 (No Cash Match Required) SOURCE OF FUNDS:
REVENUE PRODUCING: Yes No X AMOUNT PER MONTH Year
tAPPROVED BY: County Att OMB/Purchasing X Risk Management _X_
DOCUMENTATION: Included X Not Required
DISPOSITION: AGENDA ITEM #
Revised 1/09
Contract with: Alliance for Aging, Inc. Contract # KH-I 172
Effective Date: July 1, 2011
Expiration Date: December 31, 2011
Contract Purpose/Description: Approval of the Home Care for the Elderly (HCE) Contract#KH-I 172 will enable
Monroe County In -Home Services to continue providing services to Monroe County's elderly population.
Contract Manager: Sheryl Graham 4510 Social Services/Stop I
(Name) (Ext.) (Department/Stop #)
For BOCC meeting on 6/15/2011 Agenda Deadline: 5/31/2011
CONTRACT COSTS
Total Dollar Value of Contract: $16,628.00 Current Year Portion: $
Budgeted? Yes X No Account Codes: 125-6f53641-- -
Grant: $16,62 8.00 (Fiscal Year)
County Match: $0 (No Cash Match required)
I Estimated Ongoing Costs: $ /yr
(Not included in dollar value above)
ADDITIONAL COSTS
For:
CONTRACT REVIEW
Changes
Date Out
Division Director
Pa� In,
N�
Re i wer
Ye No
o
Risk Management
V
Yes
O.M &/Purchasing
Yes
County Attorney
Yes
Comments:
"AlID r UF111 IMCV ISeU Z/ Z / / U I JVII-,r 7T/.
Contracts -*-
HOME CARE FOR THE ELDERLY CONTRACT
2011-2012
THIS 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 "provider." THIS CONTRACT IS SUBJECT TO FURTHER
MODIFICATION IN ORDER TO INCORPORATE CERTAIN PASS -THROUGH
LANGUAGE REQUIRED BY THE STATE OF FLORIDA DEPARTMENT OF ELDER
AFFAIRS. ALL SUBSEQUENT MODIFICATIONS WILL BE MADE THROUGH
AMENDMENTS TO THIS CONTRACT.
Attachment I, II, III, IV, V, VI, VII, VIII and IX are integral to this Agreement
I. Recipient Agrees:
A. Services to be Provided:
1. The recipient's service provider application for state fiscal year 2011, and any
revisions thereto approved by the Alliance and located in the contract manager's
file, are incorporated by reference in this contract between the Alliance and the
recipient, and prescribe the services to be rendered by the recipient.
2. Consumers may not be enrolled in a Department of Elder Affairs' state general
revenue funded program, including HCE, who are also enrolled in a Medicaid
capitated long term care health plan or program. These programs include the Frail
Elder Program operated by United Health Care, the Channeling Program operated
by Miami Jewish Home and Hospital for the Aged, the Long Term Care Community
Diversion Program and the Program of All Inclusive Care for the Elderly (PACE)
program scheduled to begin operation in the Miami -Dade County area.
B. Manner of Service Provision:
The services will be provided in a manner consistent with and described in the
recipient's service provider application for state fiscal year 2011 and the 2010
Department of Elder Affairs Client Home And Community Based Services Handbook. In
the event the manual is revised, such revision will automatically be incorporated into the
contract and the recipient will be given a copy of the revisions.
11. The Alliance Agrees:
A. Contract Amount:
To pay for Case Management and Case Aide services in an amount not to exceed
$6,347, subject to the availability of funds. As a matter of reference, the Alliance projects
to process and pay the basic subsidy to qualified caregivers participating in the HCE
program of approximately $16,628.
At the time of execution of this contract, no funds are projected to be available for
Special Subsidy including, Specialized Medical Equipment and Supplies —Vendor
(SCSV) and Specialized Medical Equipment and Supplies -Consumer reimbursement
(SCSM). The Alliance will notify the recipient when funds become available for the
provision of these services.
Contract Number KH 1172
Im
Obligation to Pay:
The Alliance's performance and obligation to pay under this contract is contingent upon
an annual appropriation by the Legislature.
B. Source of Funds:
The costs of services paid under any other contract or from any other source are not
eligible for reimbursement under this contract. The funds awarded to the recipient
pursuant to this contract are in the state grants and aids appropriations.
Program Title
Year
Funding Source
CSFA#
Fund Amounts
Home Care for the
Elderly
2011
General Revenue
65001
$6,347
TOTAL FUNDS CONTAINED IN THIS CONTRACT:
$6,347
111. Recipient and Alliance Mutually Agree:
A. Effective Date:
1. This contract shall begin on Julyl, 2011 or on the date the contract has been signed
by both parties, whichever is later.
2. Delivery of services shall end on December 31, 2011. This contract shall end on
January 15, 2012.
IN WITNESS WHEREOF, the parties hereto have caused this agreement to be executed by
their undersigned officials as duly authorized.
Monroe County Board of
County Commissioners
ALLIANCE FOR AGING, INC.
Rlrelmffill M.
Heather Carruthers
NAME: NAME:
Mayor
TITLE: TITLE:
6-15-2011
DATE: DATE:
EN
U
s Cry ��T�RNEY/-,
2
Contract Number KH 1172 Page 3
ATTACHMENT ,
40ME CARE FOR THE ELDERLY PROGRAM
The Home Care for the Elderly (HCE) Program encourages the provision of care in family -
type living arrangements in private homes on a not for profit basis as an alternative to
nursing home or other institutional care.
qflm�• -• i
A. Services:
1. The recipient's July 2011 application, and any revisions thereto approved by the
Alliance and located in the contract manager's file, are incorporated by reference in
this contract between the Alliance and the recipient, and prescribe the services to
be rendered by the recipient.
2. Consumers may not be enrolled in a Department of Elder Affairs' state general
revenue funded program, including HCE, who are also enrolled in a Medicaid
capitated long-term care health plan or program. These programs include the Frail
Elder Program operated by United Health Care, the Channeling Program operated
by Miami Jewish Home and Hospital for the Aged, the Long Term Care Community
Diversion Program and any other areas that may participate in the Long Term Care
Community Diversion Program through expansion and the Program of All Inclusive
Care for the Elderly (PACE) program.
B. Manner of Service Provision:
The services will be provided in a manner consistent with and described in the
recipient's July 2011 application and the 2010 Department of Elder Affairs Home and
Community -Based Services Handbook. In the event the handbook is revised, such
revision will automatically be incorporated into the contract and the recipient will be
given a copy of the revisions.
A. The method of payment in this contract is based on a fixed rate reimbursement for
approved services. The recipient must ensure fixed rates include only those costs that
are in accordance with all applicable state and federal statutes and regulations and are
based on audited historical costs in instances where an independent audit is required.
All requests for payment and expenditure reports submitted to support requests for
payment shall be on DOEA forms 106H and 105H. Duplication or replication of both
forms via data processing equipment is permissible, provided all data elements are in
the same format as included on department forms.
� • i• i •i i r �� it i i i i
i' •! •i i i i• i 'i r i i
K
Contract Number KH 1172 Page 4
report date (usually July 15th.) Invoices submitted late will not paid. Exceptions to this
rule are at the discretion of the Alliance, on a case by case basis, such exceptions
must be requested prior to the expiration of the invoicing deadline. In making a
determination of the exception the Alliance will consider whether the disruption to the
billing cycle was beyond the control of the provider, the frequency with which such
exceptions are requested by the provider, and whether the Alliance can request
reimbursement at a late date from DOEA.
C. The recipient shall maintain documentation to support payment requests which shall be
available to the Comptroller, the Department of Elder Affairs, or the Alliance upon
request.
D. The recipient may request a monthly advance for service costs based on anticipated
cash needs. Detailed documentation justifying cash needs for advances must be
submitted with the signed contract, approved by the Alliance, and maintained in the
contract manager's file. All payment requests for the third through the nine months
shall be based on the submission of monthly actual expenditure reports beginning with
the first month of the contract. The schedule for submission of advance requests is
ATTACHMENT 11 to this contract. Reconciliation and recouping of advances made
under this contract are to be completed by December 2011 reports. All advance
payments are subject to the availability of funds.
E. Advance funds maybe temporarily invested by the recipient in an insured interest
bearing account. All interest earned on contract fund advances must be returned to the
Alliance at the end of the first quarter of the contract period.
F. Contingent upon the recipient's ability to maintain program expenditures within
the assigned quarterly allocations and the availability of funds, the Alliance shall
make payment to the provider for provision of services at the rate(s) stated
below:
SERVICE TO BE
PROVIDED
Case Management
UNIT MAXIMUM
RATE UNITS
$47.86 132
MAXIMUM
DOLLARS
$6,347
G. Any payment due by the Alliance under the terms of this contract may be withheld
pending the receipt and approval by the Alliance of complete and accurate financial and
programmatic reports due from the recipient and any adjustments thereto, including any
disallowance not resolved as outlined in Section I.T. of the Master Agreement.
IV. REPORTING:
The provider need to provide the Alliance with an expenditure plan by July 15 or two
weeks after contract has been signed, a monthly update due on the 21 of each following
month.
The expenditure plan and updates must follow the format provided by the Alliance.
11
Contract Number KH 1172 Page 5
V. SPECIAL PROVISIONS
A. State Laws and Regulations:
1. The recipient agrees to comply with applicable parts of Rule Chapter 58H-1, Florida
Administrative Code promulgated for administration of Sections 430.601 through
430.608, Florida Statutes, and the 2010 Department of Elder Affairs Home and
Community Based Services Handbook.
2. The recipient agrees to comply with the provisions of Sections 97.021 and 97.058,
Florida Statutes, and all rules related thereto in the Florida Administrative Code.
B. Assessment and Prioritization for Service Delivery for New Consumers:
The following are the criteria to prioritize new consumers for service delivery. it is not
the intent of the Department of Elder Affairs to remove existing clients from any
program in order to serve new clients being assessed and prioritized for service
delivery.
1. Priority Criteria for Service Delivery:
a) Individuals in nursing homes under Medicaid who could be transferred to the
community;
b) Individuals in nursing homes whose Medicare coverage is exhausted and
may be diverted to the community;
C) Individuals in nursing homes which are closing and can be discharged to the
community; or
Individuals whose mental or physical health condition has deteriorated to the
degree self care is not possible, there is no capable caregiver and
institutional placement will occur within 72 hours.
2. Priority Criteria for Other Assessed Individuals:
The assessment and provision of services should always consider the most cost effective means
of service delivery. Functional impairment shall be determined through the department's
consumer assessment form administered to each applicant. The most frail individuals not
prioritized in groups one, two or three above, regardless of referral source, will receive services to
the extent funding is available.
C. Consumer Information, Registration and Tracking System (CIRTS):
1. The recipient will ensure the collection and maintenance of Home Care for the Elderly (HCE)
subsidies and case management information on a monthly basis from the Consumer Information,
Registration and Tracking System (CIRTS). Maintenance includes valid exports and backups of
all data and systems according to department standards.
5
Contract Number KH 1172 Page 6
2. The recipient must ensure all data for HCE subsidies are entered in the CIRTS by the 15th of each
month. HCE subsidy data entered into the CIRTS by the 15th of the month will be for payments
incurred between the 16th of the previous month and the 15th of the current month. Case
management data entered into the CIRTS by the 15th of the month will be for units of service
provided during the previous month from the 16th and up to and including the 15th of the current
month or case management units of service may be entered according to the recipient schedule,
in aggregate on the 31 st or daily, weekly or monthly.
3. The recipient will ensure data entry for HCE subsidies will cease on the 15th of the month and the
CIRTS Monthly Service Utilization Report, by consumer and by worker identification is run.
4. The recipient will ensure the Monthly Utilization Report, by consumer and by worker identification
is verified, corrected, certified no later than the 20th of the month in which the report is generated.
5. The recipient will ensure caregivers determined eligible for the HCE basic subsidy after the 15th of
a month, will be processed to begin eligibility for the HCE basic subsidy on the 1 st day of the next
month.
6. The Alliance will reconcile and verify the CIRTS data prior to payment for HCE basic and special
subsidies and case management.
8. The Alliance will reconcile and verify the CIRTS data prior to payment for HCE basic and special
subsidies and case management.
A
Contract Number KH 1172 Page 7
Report Submit To
Number Based On The Alliance
On This Date
1 July Advance * .........................................................
July 1
2 August Advance * ........................................................
July 1
3 July Expenditure Report ... 1/12 advance Reconciliation .......
August 15
4 August Expenditure Report ... 1/12 advance Reconciliation ...
September 15
5 September Expenditure Report ... 1/12 advance Reconciliation
October 15
6 October Expenditure Report ... 1/12 advance Reconciliation ....
November 15
7 November Expenditure Report ... 1/12 advance Reconciliation .
December 15
8 December Expenditure Report ... 1/12 advance Reconciliation
January 15
Leciend * Advance based on projected cash need.
Note # 1: Report #1 for Advance Basis Contracts cannot be submitted to the Alliance prior to July 1
or until the contract with the Alliance has been executed. Actual submission of the
vouchers to the Department of Elder Affairs is dependent on the accuracy of the
expenditure report.
0
r, Contract Number•
ATTACHMENT III
REFERRAL PROTOCOL
Issue: Screening, Triage, and Referral for Activation under the Community Care for the
Elderly/Home Care for the Elderly Programs and for the Aging & Disabled Adults and the
Assisted Living for the Elderly Medicaid Waivers.
Policy: Referrals will be based on availability of funds, in accordance with prioritization requirements.
Purpose: To ensure funding is spent expeditiously and consumers are referred into programs for
appropriate services.
Procedure for Monroe County:
Roles and Responsibilities
A. Alliance for Aging 1 Aging Resource Center
➢ Monitors overall program and Lead Agency specific spending levels on a monthly basis
to ensure the Lead Agency is operating within the funding allocation.
➢ Determines the number of cases for activation based on projected funding available.
➢ Screens consumers to link with appropriate resources and prioritize for DOEA-funded
programs and services.
➢ Recommends potential cases for activation based upon projected funding available by
Lead Agency.
➢ Selects consumers from the waiting list based on their prioritization score.
➢ Refers consumers from the waiting list to the Lead Agency in Monroe County for
activation, based on availability of funds.
➢ Monitors compliance with service standards and outcome measures.
➢ Reviews care plans and files per the File Review Policies and Procedures.
➢ Reviews data in CIRTS.
B. Case Management Agency
➢ Accepts referrals from the Aging Resource Center.
Refers inquiries from consumers interested in services to the ARC for Information and
Referral to community resources, Screening, Triage, and Long -Term Care Options
Counseling, as appropriate.
➢ Through outsourcing, the functions of Screening and Intake may also be completed by
the Lead Agency.
Completes comprehensive assessments on new consumers and annual reassessment
on existing consumers and develops care plans and reviews care plans semi-annually.
➢ Authorizes service delivery and enters data into CIRTS.
Screens consumers for Medicaid Waiver eligibility.
Bills in CIRTS and Medicaid as appropriate.
Monitors care plans in an effort to keep costs down while sustaining the individuals in
the community.
11. Management of the Assessed Prioritized Consumer List (APCL).
A. Referrals to the ARC are routed to the Informationr • Referral Specialistsor
depending on •' of ` provided • i on •mmunity resources and
programs . .! including private pay options. Persons directed to those resourcesmost
9
Contract Number KH 1172 Page 9
capable of meeting the need they have expressed to ARC staff. Cases presenting strong
identifiers that indicate the consumer might benefit from publicly funded long term care services
are screened, entered into CIRTS, triaged and provided options counseling. Through
outsourcing, the functions of Screening and Intake may also be performed by the Lead Agency.
DOEA prioritization requirements will be adhered to by both entities, as follows:
APS High Risk Referrals (See section B)
2. Imminent Risk cases will be prioritized for activation after APS High Risk
Referrals have been served. If budgetary constraints prevent opening new cases,
clients will be placed on the APCL. ARC staff will contact the client on a monthly basis
to determine if there has been a change in the client's situation.
3. All other CARES referrals will be screened and prioritized in accordance with DOEA
requirements.
4. Aging Out consumers will be referred by DCF for prioritization
and/or activation in the corresponding aged program managed by the Alliance, as
appropriate (See section IV).
5. Consumers applying for the Community Care for the Elderly (CCE)
and/or Home Care for the Elderly (HCE) programs will be contacted and screened using
the statewide assessment form developed by the Department of Elder Affairs for this
purpose (Form 701A). If a consumer is being served through a DOEA-funded agency
which enters their annual assessment into CIRTS, the Priority Score generated by that
assessment will determine their ranking on the APCL.
6. Consumers referred for inclusion under the Assisted Living for the Elderly
(ALE) Medicaid Waiver APCL will be interviewed and screened using the 701A form.
7. Consumers referred for inclusion under the Aging and Disabled Adult
(ADA) Medicaid Waiver APCL will be contacted and screened following the same
procedure as the one described under Section 5. Individuals who appear as potentially
eligible for other types of public assistance will be referred to the Economic Self -
Sufficiency Unit at the Department of Children and Families.
8. All other referrals will be waitlisted and prioritized, during which time other community
resources will be researched, including private pay/fee for services providers.
Consumers on the waiting lists will be reassessed according to Department
requirements (NOI #062906-1-1-OVCS 6/29/2006).
B. HIPAA forms will be sent to the consumer as appropriate.
III. Opening New Cases
A. CCE/ADA/ALE/HCE Clients
• t . .• i i' • • i' •i • .i
9
Contract Number KH 1172 Page 10
2. Upon notification from the Vice President for Finance of funding
availability, the Aging Resource Center Intake Unit Supervisor will run the Prioritized
Risk Report to identify the consumers on the APCL to be opened.
3. Based on available funding, the ARC Intake Unit Supervisor will refer wait
listed clients to the Lead Agency for activation, in accordance with prioritization
requirements. The Lead Agency will update the wait list enrollment using the appropriate
code to terminate from the APCL.
B. APS Referrals
APS Low and Intermediate Risk referrals will be screened and prioritized for services as
per the DOEA/APS Memorandum of Understanding. Low and Intermediate Risk
referrals are also offered information and referral to additional community resources,
including private pay as appropriate.
2. APS High Risk Referrals are not waitlisted. They are immediately referred for service
from DCF in Monroe County to the Lead Agency. ARTT referrals will be forwarded
directly the Lead Agency. APS cases are to be served for a maximum of 31 calendar
days. If additional time is justified, the case management agency will staff the case with
the Alliance to obtain the extension needed.
3. Upon receipt of the APS referral, the Lead Agency will coordinate services to begin
within the 72 hour period mandated by statute. A comprehensive assessment will be
done within 72 hours of the referral. Services required under the care plan will remain in
place for a maximum of 31 days, unless an extension has been granted.
4. The Lead Agency will enter ACTV enrollment under their provider number in CIRTS. In
addition, service codes will be entered by service date for all services provided. If a
service(s) is not provided as required under the care plan, an NDP code will need to be
entered in CIRTS and the case notes under the client file should document the reason
for non -delivery of such service(s).
IV. Aging Out Consumers:
A. All "Aging Out" consumers will be referred by DCF for activation in the corresponding
aged program managed by the Alliance.
B. Consumers active in the CCDA and HCDA programs that are turning 60 and are eligible
for CCE and/or HCE will be opened in the corresponding aged program managed by the
Alliance if funding is available. If funding is available, these consumers will be made
active. If funding is not available, they will be waitlisted for these programs but will be
given priority for activation once funding is available.
C. Consumers active in the ADA Medicaid Waiver, upon turning age 60, will continue to be
eligible for and receive ADA Medicaid waiver services.
Note:ARC policies and procedures are su• # change. Any modificationsbe done through
i . •
W
Contract Number KH 1172 Page 11
ATTACHMENT IV
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 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 the state legislator, in connection with the awarding 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 subproviders 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 $10,000.00 and not more than
$100,000.00 for each such failure.
Signature
Date
Name of Authorized Individual Application or Agreement Number
Name and Address of Organization
11
Contract Number KH 1172 Page 12
ATTACHMENT V
FINANCIAL AND COMPLIANCE AUDIT
The administration of resources awarded by the Alliance of Elder Affairs to the provider may be subject to audits
and/or monitoring by the Alliance of Elder Affairs, as described in this section.
MONITORING
hi addition to reviews of audits conducted in accordance with OMB Circular A-133, as revised, and Section
215.97, F.S., (see "AUDITS" below), monitoring procedures may include, but not be limited to, on -site visits by the
Alliance staff, limited scope audits as defined by OMB Circular A-133, as revised, and/or other procedures. By
entering into this agreement, the provider agrees to comply and cooperate with any monitoring
procedures/processes deemed appropriate by the Alliance for Aging. In the event the Alliance for Aging
determines that a limited scope audit of the provider is appropriate, the provider agrees to comply with any
additional instructions provided by the Alliance to the provider regarding such audit. The provider further
agrees to comply and cooperate with any inspections, reviews, investigations, or audits deemed necessary by any
level of government.
PART I: FEDERALLY FUNDED
This part is applicable if the provider is a State or local government or a non-profit organization as defined in OMB
Circular A-133, as revised.
In the event that the provider expends $500,000.00 or more in Federal awards during its fiscal year, the provider
must have a single or program -specific audit conducted in accordance with the provisions of OMB Circular A-
133, as revised. EXHIBIT 1 to this agreement indicates Federal resources awarded through the Alliance of Elder
Affairs by this agreement. In determining the Federal awards expended in its fiscal year, the provider shall
consider all sources of Federal awards, including Federal resources received from the Alliance of Elder Affairs. 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 provider conducted by the Auditor General in accordance with the
provisions of OMB Circular A-133, as revised, will meet the requirements of this part.
In connection with the audit requirements addressed in Part 1, paragraph 1, the provider shall fulfill the
requirements relative to auditee responsibilities as provided in Subpart C of OMB Circular A-133, as revised.
If the provider expends less than $500,000.00 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 provider
expends less than $500,000.00 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 resources (i.e., the cost of such audit must be paid from provider resources obtained from other than
Federal entities.)
An audit conducted in accordance with this part shall cover the entire organization for the organization's
fiscal year. Compliance findings related to agreements with the Alliance of Elder Affairs shall be based on the
agreement's requirements, including any rules, regulations, or statutes referenced in the agreement. The financial
statements shall disclose whether or not the matching requirement was met for each applicable agreement. All
questioned costs and liabilities due to the Alliance of Elder Affairs shall be fuller disclosed in the audit report with
reference to the Alliance of Elder Affairs agreement involved. If not otherwise disclosed as required by Section
.310(b)(2) of OMB Circular A-133, as revised, the schedule of expenditures of Federal awards shall identify
expenditures by agreement number for each agreement with the Alliance of Elder Affairs in effect during the
im
Contract Number KH 1172 Page 13
audit period. Financial reporting packages required under this part must be submitted within the earlier of 30 days
after receipt of the audit report or 9 months after the end of the provider's fiscal year end.
As an Alliance requirement the Statement of Functional Expenses need to be part of the Financial and Compliance
Audit Report.
PART II: STATE FUNDED
This part is applicable if the provider is a nonstate entity as defined by Section 215.97(2), Florida Statutes.
In the event that the provider expends a total amount of state financial assistance equal to or in excess of
$500,000.00 in any fiscal year of such provider (for fiscal years ending September 30, 2004 or thereafter),
the provider must have a State single or project -specific audit for such fiscal year in accordance with
Section 215.97, Florida Statutes; applicable rules of the Alliance of Financial Services; and Chapters 10.550
(local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor
General. EXHIBIT I to this agreement indicates state financial assistance awarded through the Alliance of
Elder Affairs by this agreement. In determining the state financial assistance expended in its fiscal year,
the provider shall consider all sources of state financial assistance, including state financial assistance
received from the Alliance of Elder Affairs, other state agencies, and other nonstate entities. State
financial assistance does not include Federal direct or pass -through awards and resources received by a
nonstate entity for Federal program matching requirements.
In connection with the audit requirements addressed in Part 1I, paragraph 1, the provider shall ensure that
the audit complies with the requirements of Section 215.97(8), Florida Statutes. This includes submission of
a financial reporting package as defined by Section 215.97(2), Florida Statutes, and Chapter 10.550 (local
governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General.
If the provider expends less than $500,000.00 in state financial assistance in its fiscal year (for fiscal years
ending September 30, 2004 or thereafter), an audit conducted in accordance with the provisions of Section
215.97, Florida Statutes, is not required. In the event that the provider expends less than $500,000.00 in
state financial assistance in its fiscal year and elects to have an audit conducted in accordance with the
provisions of Section 215.97, Florida Statutes, the cost of the audit must be paid from the nonstate entity's
resources (i.e., the cost of such an audit must be paid from the provider resources obtained from other than
State entities).
An audit conducted in accordance with this part shall cover the entire organization for the
organization's fiscal year. Compliance findings related to agreements with the Alliance of Elder Affairs
shall be based on the agreement's requirements, including any applicable rules, regulations, or statutes.
The financial statements shall disclose whether or not the matching requirement was met for each
applicable agreement. All questioned costs and liabilities due to the Alliance of Elder Affairs shall be fully
disclosed in the audit report with reference to the Alliance of Elder Affairs agreement involved. If not
otherwise disclosed as required by Rule 691-5.003, Fla. Admin. Code, the schedule of expenditures of state
financial assistance shall identify expenditures by agreement number for each agreement with the Alliance
of Elder Affairs in effect during the audit period. Financial reporting packages required under this part
must be submitted within 45 days after delivery of the audit report, but no later than 12 months after the
provider's fiscal year end for local governmental entities. Non-profit or for -profit organizations are
required to be submitted within 45 days after delivery of the audit report, but no later than 9 months after
the provider's fiscal year end. Notwithstanding the applicability of this portion, the Alliance of Elder
Affairs retains all right and obligation to monitor and oversee the performance of this agreement as
outlined throughout this document and pursuant to law.
W
Contract Number KH 1172 Page 14
As an Alliance requirement the Statement of Functional Expenses need to be part of the Financial and Compliance
Audit Report.
PART III: REPORT SUBMISSION
Copies of reporting packages for audits conducted in accordance with OMB Circular A-133, as revised, and
required by PART I of this agreement shall be submitted, when required by Section .320 (d), OMB Circular
A-133, as revised, by or on behalf of the provider directly to each of the following:
The Alliance for Aging, Inc. at the following address:
Alliance for Aging, Inc.
Attn: Carlos Lahitte
760 NW 107'h Ave. Suite 214
Miami, FL 33172-3155
14
Contract Number KH 1172 Page 15
ATTACHMENT V
EX IIBTT-2
PART I: AUDIT RELATIONSHIP DETERMINATION
Providers who receive state or federal resources may or may not be subject to the audit requirements of OMB
Circular A-133, as revised, and/or Section 215.97, Fla. Stat. Providers who are determined to be recipients or
subrecipients of federal awards and/or state financial assistance may be subject to the audit requirements if the
audit threshold requirements set forth in Part I and/or Part 11 of Exhibit 1 are met. Providers who have been
determined to be vendors are not subject to the audit requirements of OMB Circular A-133, as revised, and/or
Section 215.97, Fla. Stat. Regardless of whether the audit requirements are met, providers who have been
determined to be recipients or subrecipients of Federal awards and/or state financial assistance, must comply
with applicable programmatic and fiscal compliance requirements.
In accordance with Sec. 210 of OMB Circular A-133 and/or Rule 691-5.006, FAC, provider has been determined to
be:
_ Vendor or exempt entity and not subject to OMB Circular A-133 and/or Section 215.97, F.S.
X Recipient/subrecipient subject to OMB Circular A-133 and/or Section 215.97, F.S.
NOTE: If a provider is determined to be a recipient /subrecipient of federal and or state financial assistance and
has been approved by the Alliance to subcontract, they must comply with Section 215.97(7), F.S., and Rule 691-
.006(2), FAC [state financial assistance] and Section _ .400 OMB Circular A-133 [federal awards].
PART II: FISCAL COMPLIANCE REQUIREMENTS
FEDERAL AWARDS OR STATE MATCHING FUNDS ON FEDERAL AWARDS. Providers who receive
Federal awards or state matching funds on Federal awards and who are determined to be a subrecipient, must
comply with the following fiscal laws, rules and regulations:
STATES, LOCAL GOVERNMENTS AND INDIAN TRIBES MUST FOLLOW:
2 CFR Part 225 Cost Principles for State, Local and Indian Tribal Governments (Formerly OMB
Circular A-87)*
OMB Circular A-102 — Administrative Requirements
OMB Circular A-133 — Audit Requirements
Reference Guide for State Expenditures
Other fiscal requirements set forth in program laws, rules and regulations
NON-PROFIT ORGANIZATIONS MUST FOLLOW:
2 CFR Part 230 Cost Principles for Non -Profit Organizations (Formerly OMB Circular A-122 - Cost
Principles)*
2 CFR Part 215 Administrative Requirements (Formerly OMB Circular A-110 - Administrative
Requirements)
Requirements)
OMB Circular A-133 - Audit Requirements
Reference Guide for State Expenditures
Other fiscal requirements set forth in program laws, rules and regulations
EDUCATIONAL INSTITUTIONS (EVEN IF A PART OF A STATE OR LOCAL GOVERNMENT) MUST
FOLLOW-
2 CFR Part 220 Cost Principles for Educational Institutions OMB (Formerly Circular A-21- Cost
Principles)*
in
Contract Number KH 1172 Page 16
2 CFR Part 215 Administrative Requirements (Formerly OMB Circular A-1 10 - Administrative
Requirements)
OMB Circular A-133 — Audit Requirements
Reference Guide for State Expenditures
Other fiscal requirements set forth in program laws, rules and regulations
Some Federal programs may be exempted from compliance with the Cost Principles Circulars as noted in
the OMB Circular A-133 Compliance Supplement, Appendix 1.
STATE FINANCIAL ASSISTANCE. Providers who receive state financial assistance and who are
determined to be a recipient/ subrecipient, must comply with the following fiscal laws, rules and regulations:
Section 215.97, Fla. Stat.
Chapter 691-5, Fla. Admin. Code
State Projects Compliance Supplement
Reference Guide for State Expenditures
Other fiscal requirements set forth in program laws, rules and regulations
10
Contract Number KH 1172 Page 17
ATTACHMENT VI
CERTIFICATION REGARDING DATA INTEGRITY
COMPLIANCE FOR AGREEMENTS, GRANTS, LOANS AND
COOPERATIVE AGREEMENTS
The undersigned, an authorized representative of the provider named in the contract or agreement to
which this form is an attachment, hereby certifies that:
(1)The provider and any sub -providers 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 agreement 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 provider, sub-provider(s), or any outside entity on
which the provider 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, provider(s) will take immediate action to assure
data integrity.
(3)lf 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 provider (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 provider
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 provider and any sub-provider(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 provider shall require that the language of this certification be included in all subagreements,
subgrants, and other agreements and that all sub -providers 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 2 CFR Part 215 (formerly OMB Circular A-1 10).
Name and Address of Provider
Signature Title Date
Name of Authorized Signer
(Revised June 2008)
17
Contract Number KH 1172 Page 18
ATTACHMENT VII
CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION FOR LOWER TIER
COVERED TRANSACTIONS
(I)The prospective provider certifies, by signing this certification, neither it nor its principals are
presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded
from participation in this transaction by any federal Alliance or agency.
(2)Where the prospective provider is unable to certify to any of the statements in this certification,
such prospective participant shall attach an explanation to this certification.
Signature
Date
Title Agency/Organization
(Certification signature should be same as Contract signature.)
Instructions for Certification
1.The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered
transaction," "person," "primary covered transaction," and "voluntarily excluded," as used herein, have
the meanings set out in the sections of rules implementing Executive Order 12549. (2 CFR 180.5-
180.1020, as supplemented by 2 CFR 376.10-376.995). You may contact the Contract Manager for
assistance in obtaining a copy of those regulations.
2.This certification is a material representation of facts upon which reliance was placed when the
parties entered into this transaction. If it is later determined that the provider knowingly rendered an
erroneous certification, in addition to other remedies available to the federal government, the
Alliance may pursue available remedies, including suspension and/or debarment.
3.The provider will provide immediate written notice to the Contract Manager if at any time the
provider learns that its certification was erroneous when submitted or has become erroneous by
reason of changed circumstances. The provider may decide the method and frequency by which it
determines the eligibility of its principals. Each participant to a lower tier covered transaction
may, but is not required to, check the Excluded Parties List System (EPLS).
4.The provider will include a "Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion - Lower Tier Covered Transaction" in all its lower tier covered transactions and in
all solicitations for lower tier covered transactions.
5.The provider agrees that it shall not knowingly enter into any lower tier covered transaction with a
person who is debarred, suspended, determined ineligible or voluntarily excluded from participation,
unless otherwise authorized by the federal government.
6.If the provider knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in
addition to other remedies available to the federal government, the Alliance may pursue available
remedies, including suspension, and/or debarment.
7.The provider may rely upon a certification of a prospective participant hi a lower tier covered
transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered
transaction, unless it knows that the certification is erroneous.
(Revis,ed June 2008)
Contract Number KH 1172 Page 117
ASSURANCES—NON-CONSTRUCrION PROGRAMS I
ATTACHMENT VIII
Public reporting burden for this collection of information is estimated to average 45 minutes per
response, including time for reviewing instructions, searching existing data sources, gathering and
maintaining the (Fata. needed and completing and reviewing the collection of information. Send
comments regarding the burden estimate or any other aspect of this collection of information, including
suggestions for reducing this burden, to the Office of Management and Budget. Paperwork Reduction
ject (0348-0043), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND
BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
Note: Certain of these assurances may not be applicable to your project or program. If you have questions please
contact the awarding agency. Further, certain Federal awarding agencies may require applicants to certify to
additional assurances. If such is the case, you will be notified.
I.Has the legal authority to apply for Federal assistance, and the institutional, managerial and financial capability
(including funds sufficient to pay the non -Federal share of project cost) to ensure proper planning, management, and
completion of the project described in this application.
2.Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State,
through any authorized representative, access to and the right to examine all records, books, papers, or
documents related to the award; and will establish a proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3.Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or
presents the appearance of personal or organizational conflict of interest, or personal gain.
4.Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding
agency.
5.Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C.. 4728-4763) relating to prescribed
standards for merit systems for programs funded under one of the 19 statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
6.Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or
national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C.. 1681-1683, and 1685-
1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as
amended (29 U.S.C.794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act
of 1975, as amended (42 U.S.C.. 6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse
Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g). 523 and 527
of the Public Health Service Act of 1912 (42 U.S.C.. 290 dd-3 and 290 ee 3), as amended, relating to confidentiality of
alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C.. 3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination
provisions in the specific statute(s) under which application for Federal assistance is being made; and (j) the
requirements of any other nondiscrimination statute(s) which may apply to the application.
7Will comply, or has already complied, with the requirements of Titles 11 and III of the uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable
treatment of persons displaced or whose property is acquired as a result of Federal or federally assisted programs.
These requirements apply to all interests in real property acquired for project purposes regardless of Federal
participation in purchases.
8.Will comply, as applicable, with the provisions of the Hatch Act (5 U.S.C.. 1501-1508 and 7324-7328), which limit the
political activities of employees -whose principal employment activities are funded in whole or in part with Federal
funds.
9.Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C.276a to 276a-7), the Copeland
Act (40 U.S.C. 276c and 18 U.S.C. 874) and the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333),
Wo
Contract Number KH 1172 Page 20
regarding labor standards for federally assisted construction subagreements.
tO.Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the
program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000.00 or
more.
11.Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution
of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and
Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of
wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e)
assurance of project consistency with the approved State management program developed under the Coastal
Zone Management Act of 1972 (16 U.S.C..1451 et seq.); (f) conformity of Federal actions to State (Clear Air)
Implementation Plans under Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C.7401 et seq.);
(g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as
amended, (P.L. 93-523); and (h) protection of endangered species under the Endangered Species Act of 1973, as
amended, (P.L. 93-205).
12 Will comply with the Wild and Scenic Rivers Act of 1968 components of the national wild and scenic rivers
system. (16 U.S.C..1721 et seq.) related to protecting components or potential
13.Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation
Act of 1966, as amended (16 U.S.C..470), EO 11593 (identification and protection of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S.C..469a-I et seq.).
14.Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development,
and related activities supported by this award of assistance.
15.Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C..2131 et seq.)
pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other
activities supported by this award of assistance.
16.Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C..4801 et seq.), which prohibits the
use of lead- based paint in construction or rehabilitation of residence structures.
17.Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act
Amendments of 1996 and OMB Circular No. A-133, Audits of States, Local Governments, and Non -Profit
Organizations.
18.Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and
policies governing this program.
SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TTT1E
APPLICANT ORGANIZATION DATE SUBNffTMD
K11
Contract Number KH 1172
Page 21
a � � �♦ a a � i a a
NZERWINWO
CIVIL RIGHTS COMPLLANCE
CHECKLIST
Program/Facility Name
County
Provider
Address
Completed By
City, State, Zip Code
Date
Telephone
PART 1. READ THE ATTACHED INSTRUCTIONS FOR ILLUSTRATIVE INFORMATION WHICH WILL HELP YOU IN
THE COMPLETION OF THIS FORM.
Briefly describe the geographic area served by the program/facility and the type of service provided:
2. POPULATION OF AREA SERVED. Source of data:
Total# I % White I % Black I % Hispanic % Other % Female
3. STAFF CURRENTLY EMPLOYED. Effective date:
Total# % White % Black % Hispanic % Other % Female % Disabled
4. CLIENTS CURRENTLY ENROLLED OR REGISTERED Effective date:
Total# % White %Black % Hispanic % Other %Female % Disabled % Over 40
5. ADVISORY OR GOVERNING BOARD, IF APPLICABLE.
Total # I % White I % Black I % Hispanic 1 % Other I % Female I % Disabled
PART II. USE A SEPARATE SHEET OF PAPER FOR ANY EXPLANATIONS REQUIRING MORE SPACE.
6. Is an Assurance of Compliance on file with the Alliance? If NA or NO explain
NA YES NO
7. Compare the staff composition to the population. Is staff representative of the population? If NA
or NO, explain.
NA YES NO
8. Compare the client composition to the population. Are race and sex characteristics representative
of the Population? If NA or NO, explain.
NA YES NO
K
9. Are eligibility requirements for services applied to clients
regard to race, col . or, national origin, sex, age, religion or
I .
•
10. Are all benefits, services and facilities available to applicants and participants in an equall
effective manner regardless of race, sex, color, age, national origin, religion or disability? It A or
NO, explain.
NA YES NO
11. For in -patient services are room assignments made without regard to race, color, national origin
or disability? If NA or Kb, explain.
NA YES NO
12. Is the program /facility accessible to non-English speaking clients? If NA or NO, explain.
NA YES NO
13. Are emplc,Vees, applicants and participants informed of their protection against
discrimination. If yes, how? Verbal - Written Poster • If orNO,
explain.
14. Give the number and current status of any discrimination complaints
regarding services or employment filed against the program/facility.
WA
Contract Number KH 1172 1-age 22-3
15. Is the proyam/facifitv physically accessible to mobility, hearing, and sight -impaired individuals?
C
If NA or 0, explain.
NA YES NO
PART 111. THE FOLLOWING QUESTIONS APPLY TO PROGRAMS AND FACILITIES WITH 15 OR MORE EMPLOYEES
YES NO
16. Has a self -evaluation been conducted to identify any barriers to serving disabled
individuals, and to make any necessary modifications? If NO, explain.
17. Is there and established grievance procedure that incorporates due process in
the resolution of complaints? If NO, explain.
YES NO
18. Has a person been designated to coordinate Section 504 compliance activities? If YES NO
NO, explain.
19. Do recruitment and notification materials advise applicants, employees and
participants of nondiscrimination on the basis of disability? If NO, explain.
•
sue
20. Are auxiliary aids available to assure accessibility of services to hearing and
sight impaired individuals? If NO, explain.
23
Contractt- '.t24
-
0
RN
PART IV. FOR PROGRAMS OR FACILITIES WITH 50 OR MORE EMPLOYEES AND FEDERAL CONTRACTS OF $50,000 OR
MORE.
21. Do you have a written affirmative action plan? If NO, explain.
DOEA USE ONLY
Reviewed By
Incompliance: YES NOS'
Program Office
*Notice of Corrective Action sent
Date
Telephone
Response Due
On -Site n Desk Review n
Response Received
DOEA Form 101-A, Revised May 2008 Page 2 of 2
ATTACHMENT IX
INSTRUCTIONS FOR THE CIVIL RIGHTS COMPLIANCE CHECKLIST
1.Describe the geographic service area such as a district, county, city or other locality. If the
program/facility serves a specific target population such as adolescents, describe the target population.
Also, define the type of service provided.
2.Enter the percent of the population served by race and sex. The population served includes persons in
the geographical area for which services are provided such as a city, county or other regional area.
Population statistics can be obtained from local chambers of commerce, libraries, or any publication from
the 1980 Census containing Florida population statistics. Include the source of your population statistics.
("Other" races include Asian/Pacific Islanders and American Indian/Alaskan Natives.)
3.Enter the total number of full-time staff and their percent by race, sex and disability. Include the
effective date of your summary.
4.Enter the total number of clients who are enrolled, registered or currently served by the program or
facility, and list their percent by race, sex and disability. Include the date that enrollment was counted.
5.Enter the total number of advisory board members and their percent by race, sex, and disability. If
there is no advisory or governing board, leave this section blank.
6.Each recipient of federal financial assistance must have on file an assurance that the program will be
conducted in compliance with all nondiscriminatory provisions as required in 45 CFR 80. This is usually a
standard part of the contract language for DOEA recipients and their sub -grantees, 45 CFR 80.4 (a).
7.1s the race, sex, and national origin of the staff reflective of the general population? For example, if 10%
of the population is Hispanic, is there a comparable percentage of Hispanic staff?
m
CONTRACT KH 1172 Page 25
8.Where there is a significant variation between the race, sex or ethnic composition of the
clients and their
availability in the population, the program/ facility has the responsibility to determine the reasons for
such
variation and take whatever action may be necessary to correct any discrimination. Some legitimate
disparities may exist when programs are sanctioned to serve target populations such as elderly or
disabled persons, 45 CFR 80.3 (b) (6).
9. Do eligibility requirements unlawfully exclude persons in protected groups from the provision of
services or employment? Evidence of such may be indicated in staff and client representation (Questions
3 and 4) and also through on -site record analysis of persons who applied but were denied services or
employment, 45 CFR 80.3 (a) and45CFR80. I (b) (2).
1 O.Participants or clients must be provided services such as medical, nursing and dental care, laboratory
services, physical and recreational therapies, counseling and social services without regard to race, sex,
color, national origin, religion, age or disability. Courtesy titles, appointment scheduling and accuracy of
record keeping must be applied uniformly and without regard to race, sex, color, national origin, religion,
age or disability. Entrances, waiting rooms, reception areas, restrooms and other facilities must also be
equally available to all clients, 45 CFR 80.3 (b).
I I.For in -patient services, residents must be assigned to rooms, wards, etc., without regard to race, color,
national origin or disability. Also, residents must not be asked whether they are willing to share
accommodations with persons of a different race, color, national origin, or disability, 45 CFR 80.3 (a).
12.The program/facility and all services must be accessible to participants and applicants, including
those persons who may not speak English. In geographic areas where a significant population of non-
English speaking people live, program accessibility may include the employment of bilingual staff. In,
other areas, it is sufficient to have a policy or plan for service, such as a current list of names and
telephone numbers of bilingual individuals who will assist in the provision of services, 45 CFR 80.3 (a).
13.Programs/ facilities must make information regarding the nondiscriminatory provisions of
Title VI available to their participants, beneficiaries or any other interested parties. This should
include information on their right to file a complaint of discrimination with either the Florida
Alliance of Elder Affairs or the U.S. Alliance of HHS. The information may be supplied verbally
or in writing to every individual, or may be supplied through the use of an equal opportunity
policy poster displayed in a public area of the facility, 45 CFR 80.6 (d).
14.Report number of discrimination complaints filed against the program/ facility. Indicate the
basis, e.g., race, color, creed, sex, age, national origin, disability, retaliation; the issues involved,
e.g., services or employment, placement, termination, etc. Indicate the civil rights law or policy
alleged to have been violated along with the name and address of the local, state or federal
agency with whom the complaint has been filed. Indicate the current status, e.g., settled, no
reasonable cause found, failure to conciliate, failure to cooperate, under review, etc.
15.The program/ facility must be physically accessible to disabled individuals. Physical
accessibility includes designated parking areas, curb cuts or level approaches, ramps and
adequate widths to entrances. The lobby, public telephone, restroom facilities, water fountains,
information and admissions offices should be accessible. Door widths and traffic areas of
administrative offices, cafeterias, restrooms, recreation areas, counters and serving lines should
be observed for accessibility. Elevators should be observed for door width, and Braille or raised
numbers. Switches and controls for light, heat, ventilation, fire alarms, and other essentials
should be
W
CONTRACT KH 1172 Page 26
installed at an appropriate height for mobility impaired individuals.
16.Section 504 of the Rehabilitation Act of 1973 requires that a recipient of federal financial
assistance conduct a self -evaluation to identify any accessibility barriers. Self -evaluation is a four
step process:
-With the assistance of a disabled individual/organization, evaluate current practices and
policies which do not comply with Section 504.
-Modify policies and practices that do not meet Section 504 requirements.
-Take remedial steps to eliminate any discrimination that has been identified.
-Maintain self -evaluation on file. (This checklist may be used to satisfy this requirement if
these four steps have been followed.), 45 CFR 84.6.
17.Programs or facilities that employ 15 or more persons must adopt grievance procedures that
incorporate appropriate due process standards and provide for the prompt and equitable
resolution of complaints alleging any action prohibited by Section 504.45 CFR 84.7 (b).
18.Programs or facilities that employ 15 or more persons must designate at least one person to
coordinate efforts to comply with Section 504.45 CFR 84.7 (a).
19.Continuing steps must be taken to notify employees and the public of the program/facility's
policy of nondiscrimination on the basis of disability. This includes recruitment material, notices
for hearings, newspaper ads, and other appropriate written communication, 45 CFR 84.8 (a).
20.Programs/facilities that employ 15 or more persons must provide appropriate auxiliary aids
to persons with impaired sensory, manual or speaking skills where necessary. Auxiliary aids may
include, but are not limited to, interpreters for hearing impaired individuals, taped or Braille
materials, or any alternative resources that can be used to provide equally effective services, (45
CFR 84.52 (d).
21.Programs/facilities with 50 or more employees and $50,000 in federal contracts must develop,
implement and maintain a written affirmative action compliance program in accordance with
Executive Order 11246.41 CFR 60 and Title VI of the Civil Rights Act of 1964, as amended.
0
Contract Number KH 1072 Page 1
HOME CARE FOR THE ELDERLY CONTRACT
2010-2011
THIS 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 "provider." THIS CONTRACT IS SUBJECT TO FURTHER
MODIFICATION IN ORDER TO INCORPORATE CERTAIN PASS -THROUGH
LANGUAGE REQUIRED BY THE STATE OF FLORIDA DEPARTMENT OF ELDER
AFFAIRS. ALL SUBSEQUENT MODIFICATIONS WILL BE MADE THROUGH
AMENDMENTS TO THIS CONTRACT.
Attachment I, II, III, IV, V, VI, VII, VIII and IX are integral to this Agreement
1. Recipient Agrees:
A. Services to be Provided:
1. The recipient's service provider application for state fiscal year 2010, and any
revisions thereto approved by the Alliance and located in the contract manager's
file, are incorporated by reference in this contract between the Alliance and the
recipient, and prescribe the services to be rendered by the recipient.
2. Consumers may not be enrolled in a Department of Elder Affairs' state general
revenue funded program, including HCE, who are also enrolled in a Medicaid
capitated long term care health plan or program. These programs include the Frail
Elder Program operated by United Health Care, the Channeling Program operated
by Miami Jewish Horne and Hospital for the Aged, the Long Term Care Community
Diversion Program and the Program of All Inclusive Care for the Elderly (PACE)
program scheduled to begin operation in the Miami -Dade County area.
B. Manner of Service Provision:
The services will be provided in a manner consistent with and described in the
recipient's service provider application for state fiscal year 2010 and the 2009
Department of Elder Affairs Client Home And Community Based Services Handbook. In
the event the manual is revised, such revision will automatically be incorporated into the
contract and the recipient will be given a copy of the revisions.
II. The Alliance Agrees:
A. Contract Amount:
To pay for Case Management and Case Aide services in an amount not to exceed
$16,560, subject to the availability of funds. As a matter of reference, the Alliance
projects to process and pay the basic subsidy to qualified caregivers participating in the
HCE program of approximately $33,256.
At the time of execution of this contract, no funds are projected to be available for
Special Subsidy including, Specialized Medical Equipment and Supplies —Vendor
(SCSV) and Specialized Medical Equipment and Supplies -Consumer reimbursement
(SCSM). The Alliance will notify the recipient when funds become available for the
provision of these services.
Obligation to Pay:
The Alliance's performance and obligation to pay under this contract is contingent upon
an annual appropriation by the Legislature.
B. Source of Funds:
The costs of services paid under any other contract or from any other source are not
eligible for reimbursement under this contract. The funds awarded to the recipient
pursuant to this contract are in the state grants and aids appropriations.
Program Title
Year
Funding Source
CSFA#
Fund Amounts
Home Care for the
Elderly
2010
General Revenue
65001
$16,560
TOTAL FUNDS CONTAINED IN THIS CONTRACT:
$16,560
Ill. Recipient and Alliance Mutually Agree:
A. Effective Date:
1. This contract shall begin on Julyl, 2010 or on the date the contract has been signed
by both parties, whichever is earlier.
2. Delivery of services shall end on June 30, 2011.
IN WITNESS WHEREOF, the parties hereto have caused this agreement to be executed by
their undersigned officials as duly authorized.
Monroe County Board of
Commissioners.
ALLIANCE FOR AGING, INC.
SIGNED BY: SIGNED BY:
Sylvia J. Murphy
NAME: NAME: Max B. Rothman, JD, LL.M.
Mayor
TITLE: TITLE: President & CEO
6-16-2010
DATE: DATE:
rj
2
Contract Number KH 1072 Page 3
ATTACHMENTI
1. STATEMENT OF PURPOSE
The Home Care for the Elderly NCBProgram encourages the provision ofcare in family -
type living arrangements in private homes on a not for profit basis as an alternative to
nursing home or other institutional care.
11- SERVICES TO BE PROVIDED
A. Services:
1. The recipient's July 201Uapplication, and any revisions thereto approved by the
Alliance and located inthe contract manager's file, are incorporated bvreference in
this contract between the Alliance and the recipient, and prescribe the services to
bwrendered bvthe recipient.
2. Consumers may not be enrolled in a Department of Elder Affairs'state general
revenue funded program, including HCE.who are also enrolled inoMedicaid
ogpibated long-term cane health plan or program. These programs include the Frail
Elder Program operated by United Health Cena. the Channeling Program operated
by Miami Jewish Home and Hospital for the Aged, the Long Term Care Community
Diversion Program and any other areas that may participate in the Long Term Care
Community Diversion Program through expansion and the Program of All Inclusive
Care for the Elderly (PACE) program.
B. Manner of Service Provision:
The services will be provided in a manner consistent with and described in the
recipient's July 2010 application and the 2009 Department of Elder Affairs Home and
Community -Based Services Handbook. |nthe event the handbook iorevised, such
revision will automatically be incorporated into the contract and the recipient will be
given ocopy ofthe revisions.
A. The method of payment in this contract is based onafixed rate reimbursement for
approved services. The recipient nnustenaunahxednetaeinnudaonk/thosecoatoUhet
are in accordance with all applicable state and federal statutes and regulations and are
based on audited historical costs in instances where an independent audit is required.
All requests for payment and expenditure reports submitted to support requests for
payment shall beonQ[)EA forms 1O0Hand 105H. Duplication orreplication ofboth
forms via data processing equipment ia parmissib|e, provided all data elements are in
the same format esincluded Vndepartment forms.
B-/[voices must be submitted no later than 90days after the end of the month on which
the expense was incurred, except that invoices can not besubmitted after close out
report date (usually July 15th.) Invoices submitted late will not paid. Exceptions to this
Contract Number KH 1072 Page 4
rule are @1the discretion ofthe Alliance, ona case bvcase basis; such exceptions
must berequested prior to the expirationnfthe invoicing deadline. /Dmaking a
determination Ofthe exception the Alliance will consider whether the disruption to the
billing cycle was beyond the control Ofthe provider, the frequency with which such
exceptions are requested bvthe provider, and whether the Alliance can request
reimbursement edm late date from DOEA.
C. The recipient shall maintain documentation to support payment requests which shall be
available to the Con/otnzbn. the Department of Elder Affairs, or the Alliance upon
request.
D. The recipient may request a monthly advance for service costs based on anticipated
cash needs. Detailed documentation justifying cash needs for advances must be
submitted with the signed contract, approved by the Alliance, and maintained in the
contract manager's fi|a. All payment requests for the third through the nine months
shall be based on the submission of monthly actual expenditure reports beginning with
the first month ofthe contract. The schedule for submission ofadvance requests ia
ATTACHMENT UUh#this contract. Reconciliation and recouping ofadvances made
under this contract are bobecompleted byFebruary QMarch 2U11 reports. All advance
payments are subject tothe availability offunds.
E. Advance funds may be temporarily invested by the recipient in an insured interest
bearing account. All interest earned oncontract fund advances must bereturned tothe
Alliance atthe end ofthe first quarter ofthe contract period.
F. Contingent upon the recipient's ability tmmaintain program expenditures within
the assigned quarterly allocations and the availability offunds, the Alliance shall
make payment tothe provider for provision of services at the rate(s) stated
SERVICE TOBEPROVIDED UNIT MAXIMUM MAXIMUM
RATE UNITS DOLLARS
G.Any payment due bvthe Alliance under the terms of this contract may be withheld
pending the receipt and approval bvthe Alliance ofcomplete and accurate financial and
programmatic napoda due from the recipient and any adjustments thereto, including any
disallowance not resolved oaoutlined |nSection |.T.ofthe Master Agreement.
IV. REPORTING:
The provider need to provide the Alliance with an expenditure plan by July 15 or two
weeks after contract has been signed, omonth|vWpdotedueonthe31Ofeochfo/lovvnQ
month.
The expenditure plan and updates must follow the format provided bxthe Alliance.
V. SPECIAL PROVISIONS
A. State Laws and Regulations:
El
Contract Number KH 1072 Page 5
1. The recipient agrees to comply with applicable parts of Rule Chapter 581-1-1, Florida
Administrative Code promulgated for administration of Sections 430.601 through
430.608, Florida Statutes, and the 2009 Department of Elder Affairs Home and
Community Based Services Handbook.
2. The recipient agrees to comply with the provisions of Sections 97.021 and 97.058,
Florida Statutes, and all rules related thereto in the Florida Administrative Code.
B. Assessment and Prioritization for Service Delivery for New Consumers:
The following are the criteria to prioritize new consumers for service delivery. It is not
the intent of the Department of Elder Affairs to remove existing clients from any
program in order to serve new clients being assessed and prioritized for service
delivery.
1. Priority Criteria for Service Delivery:
a) Individuals in nursing homes under Medicaid who could be transferred to the
community;
b) Individuals in nursing homes whose Medicare coverage is exhausted and
may be diverted to the community;
c) Individuals in nursing homes which are closing and can be discharged to the
community; or
d) Individuals whose mental or physical health condition has deteriorated to the
degree self care is not possible, there is no capable caregiver and
institutional placement will occur within 72 hours.
2. Priority Criteria for Other Assessed individuals:
The assessment and provision of services should always consider the most cost effective means
of service delivery. Functional impairment shall be determined through the department's
consumer assessment form administered to each applicant. The most frail individuals not
prioritized in groups one, two or three above, regardless of referral source, will receive services to
the extent funding is available.
C. Consumer Information, Registration and Tracking System (CIRTS):
1, The recipient will ensure the collection and maintenance of Home Care for the Elderly (HCE)
subsidies and case management information on a monthly basis from the Consumer Information,
Registration and Tracking System (CIRTS). Maintenance includes valid exports and backups of
all data and systems according to department standards.
2. The recipient must ensure all data for HCE subsidies are entered in the CIRTS by the 15th of each
month. HCE subsidy data entered into the CIRTS by the 15th of the month will be for payments
incurred between the 16th of the previous month and the 15th of the current month. Case
Contract Number KH 1072 Page
management data entered into the CIRTS by the15th of the month will be for units of service
provided during the previousmonth from the 16thand uphnand(ndudingthe 15Ulof the current
month nmD��Dit���S�n/iQ�rnoyb�e�hgn�d����rdinghothep��i�iHntS�h�d�|�
0�n Or�@��00�no�� e .
in aggregate on the 31sto[daily, weekly or monthly.
3.The �|e��d�e��H���������1�����a��
<�|RTS recipient Monthly Service Utilization Report, by consumer and by worker identification is run.
4� The recipient will ensure the Monthly Utilization Report, bvconsumer and bvworker identification
is verified, corrected, certified no later than the 20th of the month in which the report is generated.
5. The recipient will ensure caregivers determined eligible for the HCE basic subsidy after the 15th of
a month, will be processed to begin eligibility for the HCE basic subsidy on the 1st day of the next
month.
G. The Alliance will reconcile and verify the CIRTS data prior to payment for HCE basic and special
subsidies and case management.
7. The Alliance will reconcile and verify the CIRTS data prior to payment for HCE basic and special
subsidies and case management.
9
Contract Number KH 1072 Page 7
ATTACHMENT 11
CONTRACT REPORT CALENDAR
Report Submit To
Number Based On The Alliance
On This Date
1
July Advance *.........................................................
July 1
2
August Advance *........................................................
July 1
3
July Expenditure Report .................................................
August 15
4
August Expenditure Report .............................................
September 15
5
September Expenditure Report ........................................
October 15
6
October Expenditure Report ............................................
November 15
7
November Expenditure Report ..........................................
December 15
8
December Expenditure Report .........................................
January 15
9
January Expenditure Report ............................................
February 15
10
February Expenditure Report/July Advance Reconciliation**...
March 15
11
March Expenditure Report /August Advance Reconciliation**.
April 15
12
April Expenditure Report .................................................
May 15
13
May Expenditure Report ...................................................
June 15
14
June Expenditure Report .................................................
July 15
15
Final Expenditure and Closeout Report .................
July 20
Legend * Advance based on projected cash need.
** Submission of expenditure reports may or may not generate a payment request. If final
expenditure report reflects funds due back to the department, payment is to accompany
the report.
Note # 1: Report #1 for Advance Basis Contracts cannot be submitted to the Alliance prior to July 1
or until the contract with the Alliance has been executed. Actual submission of the
vouchers to the Department of Elder Affairs is dependent on the accuracy of the
expenditure report.
Note # 2: The last two months of the recipient's fiscal reports covering actual expenditures should
reflect an adjustment repaying advances for the two months of the contract.
19
Contract Number KH 1072 Page 8
REFERRAL PROTOCOL
Issue: Screening, Triage, and Referral for Activation under the Community Care for the
Elderly/Home Care for the Elderly Programs and for the Aging & Disabled Adults and the
Assisted Living for the Elderly Medicaid Waivers.
Policy: Referrals will be based on availability of funds, in accordance with prioritization requirements.
Purpose: To ensure funding is spent expeditiously and consumers are referred into programs for
appropriate services.
Procedure for Monroe County:
Roles and Responsibilities
A. Alliance for Aging / Aging Resource Center
➢ Monitors overall program and Lead Agency specific spending levels on a monthly basis
to ensure the Lead Agency is operating within the funding allocation.
➢ Determines the number of cases for activation based on projected funding available.
➢ Screens consumers to link with appropriate resources and prioritize for DOEA-funded
programs and services.
➢ Recommends potential cases for activation based upon projected funding available by
Lead Agency.
➢ Selects consumers from the waiting list based on their prioritization score.
➢ Refers consumers from the waiting list to the Lead Agency in Monroe County for
activation, based on availability of funds.
➢ Monitors compliance with service standards and outcome measures.
> Reviews care plans and files per the File Review Policies and Procedures.
> Reviews data in CIRTS.
B. Case Management Agency
➢ Accepts referrals from the Aging Resource Center.
➢ Refers inquiries from consumers interested in services to the ARC for Information and
Referral to community resources, Screening, Triage, and Long -Term Care Options
Counseling, as appropriate.
➢ Through outsourcing, the functions of Screening and Intake may also be completed by
the Lead Agency.
➢ Completes comprehensive assessments on new consumers and annual reassessment
on existing consumers and develops care plans and reviews care plans semi-annually.
➢ Authorizes service delivery and enters data into CIRTS.
➢ Screens consumers for Medicaid Waiver eligibility.
Bills in CIRTS and Medicaid as appropriate.
Monitors care plans in an effort to keep costs down while sustaining the individuals in
the community.
Management of the Assessed Prioritized Consumer List (APCL).
A. Referrals to the ARC are routed to the Information and Referral Specialists or Intake Unit staff
depending on the type of referral, Clients are provided information on community resources and
programs available including private pay options. Persons are directed to those resources most
8
Contract Number KH 1072 Page 9
capable - ��
Of the need ha
ve st
aff. Ca
ses
identifiers that indicate the consumer might benefithnnnpub|kJyfundedk]ngbennoereservicee
are ncnaened, entered into (}|RTG, triaged and provided options counseling. Through
outsourcing, the functions of Screening and Intake may also be performed by the Lead Agency.
DO[5Aprioritization requirements will be adhered tVbyboth entities, aafollows:
APSHigh RiskRefenakSUSae sedionEA
2. Imminent Risk cases will beprioritized for activation after APSHigh Risk
Referrals have been served. If budgetary constraints prevent opening new CaS8s,
clients will be placed OD the APCL. ARC staff will contact the client on @ monthly basis
to determine Ifthere has been achange inthe client's situation.
3. All other CARES referrals will be screened and prioritized in accordance with D{}EA
4. Aging Out consumers will be referred by DCF for prioritization
and/or activation Vn the corresponding aged program managed bvthe Alliance, as
appropriate (See section IV).
5. Consumers applying for the Community Core for the Elderly KCCE\
and/or Home Care for the Elderly (HCE) programs will be contacted and screened using
the statewide 000emannent form developed by the Department of Elder Affairs for this
purpose (Form 701A). If consumer is being served through o D[}EA-funded agency
which enters their annual assessment into (}|RTG. the Priority Score generated by that
assessment will determine their ranking onthe APCL.
6. Consumers referred for inclusion under the Assisted Living for the Elderly
(ALE) Medicaid Waiver APCL will be interviewed and screened using the 701A form.
7. Consumers referred for inclusion under the Aging and Disabled Adult
(ADA) Medicaid Waiver APCL will be contacted and screened following the same
procedure oothe one described under Section 5. Individuals who appear aspotentially
eligible for other types of public assistance will be referred to the Economic Self -
Sufficiency Unit at the Department of Children and Families.
8. All other referrals will be waitlisted and prioritized,duhng which time other community
resources will be reaeonchad, including private for services providers.
Consumers on the waiting lists will be reassessed according to Department
requirements (NO|#O62gO8-1-|-OVC80/2S/2OOO).
B. HIPAAforms will be sent tmthe consumer as
UiOpening New Cases
A. CCE/ADA/ALE/HCE Clients
The Fiscal Department will monitor Lead Agency specific spending levels ona monthly
basis b)ensure each Lead Agency hsoperating within its quarterly funding allocation
and/or spending authority. |naddition, the department will docost projections, and
share the information with the Surplus/Deficit review committee to determine slot
availability. The ARC and the Quality Assurance Department will benotified when
funding iSavailable and the number O[new cases tobe activated byLead Agency.
9
Contract Number KH 1072 Page 10
2. Upon notification from the Vice President for Finance of funding
availability, the Aging Resource Center Intake Unit Supervisor will run the Prioritized
Risk Report to identify the consumers on the APCL to be opened.
3. Based on available funding, the ARC Intake Unit Supervisor will refer wait
listed clients to the Lead Agency for activation, in accordance with prioritization
requirements. The Lead Agency will update the wait list enrollment using the appropriate
code to terminate from the APCL.
B. APS Referrals
APS Low and Intermediate Risk referrals will be screened and prioritized for services as
per the DOEA/APS Memorandum of Understanding. Low and Intermediate Risk
referrals are also offered information and referral to additional community resources,
including private pay as appropriate.
2, APS High Risk Referrals are not waitlisted. They are immediately referred for service
from DCF in Monroe County to the Lead Agency. ARTT referrals will be forwarded
directly the Lead Agency. APS cases are to be served for a maximum of 31 calendar
days. If additional time is justified, the case management agency will staff the case with
the Alliance to obtain the extension needed.
3. Upon receipt of the APS referral, the Lead Agency will coordinate services to begin
within the 72 hour period mandated by statute. A comprehensive assessment will be
done within 72 hours of the referral. Services required under the care plan will remain in
place for a maximum of 31 days, unless an extension has been granted.
4. The Lead Agency will enter ACTV enrollment under their provider number in CIRTS. In
addition, service codes will be entered by service date for all services provided. If a
service(s) is not provided as required under the care plan, an NDP code will need to be
entered in CIRTS and the case notes under the client file should document the reason
for non -delivery of such service(s).
IV. Aging Out Consumers:
A. All "Aging Out" consumers will be referred by DCF for activation in the corresponding
aged program managed by the Alliance.
B. Consumers active In the CCDA and HCDA programs that are turning 60 and are eligible
for CCE and/or HCE will be opened in the corresponding aged program managed by the
Alliance if funding is available. If funding is available, these consumers will be made
active. If funding Is not available, they will be waitlisted for these programs but will be
given priority for activation once funding is available.
C. Consumers active in the ADA Medicaid Waiver, upon turning age 60, will continue to be
eligible for and receive ADA Medicaid waiver services.
IU#1
Contract Number KH 1072 Page 11
Note: These ARC policies and procedures are subject to change. Any modifications will be done through a
contract amendment.
11
Contract Number KH 1072 Page 12
ATTACHMENT IV
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS, GRANTS,
LOANS AND AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
(I)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 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 the state legislator, in connection with the awarding 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 subproviders 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 $10,000.00 and not more than
$100,000.00 for each such failure.
Signa _--re ate
Oat
Name of Authorized Individual Application or Agreement Number
Monroe County Board of ccA144_F_y commissioners
Name and Address of Organization 11 oo Simonton Street
Key West, FL 33040
12
Contract•-r KH 1072 •.g- 13
ATTACBMENTV
FINANCIAL i COMPLIANCE AUDIT
The administration of resources awarded by the Alliance of Elder Affairs to the provider may be subject to audits
and/or monitoring by the Alliance of Elder Affairs, as described in this section.
MONITORING
In addition to reviews of audits conducted in accordance with OMB Circular A-133, as revised, and Section
215.97, F.S., (see "AUDITS" below), monitoring procedures may include, but not be limited to, on -site visits by the
Alliance staff, limited scope audits as defined by OMB Circular A-133, as revised, and/or other procedures. By
entering into this agreement, the provider agrees to comply and cooperate with any monitoring
procedures/processes deemed appropriate by the Alliance for Aging. In the event the Alliance for Aging
determines that a limited scope audit of the provider is appropriate, the provider agrees to comply with any
additional instructions provided by the Alliance to the provider regarding such audit. The provider further
agrees to comply and cooperate with any inspections, reviews, investigations, or audits deemed necessary by any
level of government.
AUDITS
�. � : ��li t s i 1►li�
This part is applicable if the provider is a State or local government or a non-profit organization as defined in OMB
Circular A-133, as revised.
In the event that the provider expends $500,000.00 or more in Federal awards during its fiscal year, the provider
must have a single or program -specific audit conducted in accordance with the provisions of OMB Circular A-
133, as revised. EXHIBIT 1 to this agreement indicates Federal resources awarded through the Alliance of Elder
Affairs by this agreement. In determining the Federal awards expended in its fiscal year, the provider shall
consider all sources of Federal awards, including Federal resources received from the Alliance of Elder Affairs. 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 provider conducted by the Auditor General in accordance with the
provisions of OMB Circular A-133, as revised, will meet the requirements of this part.
In connection with the audit requirements addressed in Part I, paragraph 1, the provider shall fulfill the
requirements relative to auditee responsibilities as provided in Subpart C of OMB Circular A-133, as revised.
If the provider expends less than. $500,000.00 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 provider
expends less than $500,000.00 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 resources (i.e., the cost of such audit must be paid from provider resources obtained from other than
Federal entities.)
An audit conducted in accordance with this part shall cover the entire organization for the organization's
fiscal year. Compliance findings related to agreements with the Alliance of Elder Affairs shall be based on the
agreement's requirements, including any rules, regulations, or statutes referenced in the agreement. The financial
statements shall disclose whether or not the matching requirement was met for each applicable agreement. All
questioned costs and liabilities due to the Alliance of Elder Affairs shall be fully disclosed in the audit report with
reference to the Alliance of Elder Affairs agreement involved. If not otherwise disclosed as required by Section
.310(b)(2) of OMB Circular A-133, as revised, the schedule of expenditures of Federal awards shall identify
13
Contract Number KH 1072 Page 14
expenditures by agreement number for each agreement with the Alliance of Elder Affairs in effect during the
audit period. Financial reporting packages required under this part must be submitted within the earlier of 30 days
after receipt of the audit report or 9 months after the end of the provider's fiscal year end.
As an Alliance requirement the Statement of Functional Expenses need to be part of the Financial and Compliance
Audit Report.
This part is applicable if the provider is a nonstate entity as defined by Section 215.97(2), Florida Statutes.
In the event that the provider expends a total amount of state financial assistance equal to or in excess of
$500,000.00 in any fiscal year of such provider (for fiscal years ending September 30, 2004 or thereafter),
the provider must have a State single or project -specific audit for such fiscal year in accordance with
Section 215.97, Florida Statutes; applicable rules of the Alliance of Financial Services; and Chapters 10.550
(local governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor
General. EXHIBIT I to this agreement indicates state financial assistance awarded through the Alliance of
Elder Affairs by this agreement. In determining the state financial assistance expended in its fiscal year,
the provider shall consider all sources of state financial assistance, including state financial assistance
received from the Alliance of Elder Affairs, other state agencies, and other nonstate entities. State
financial assistance does not include Federal direct or pass -through awards and resources received by a
nonstate entity for Federal program matching requirements.
In connection with the audit requirements addressed in Part 11, paragraph 1, the provider shall ensure that
the audit complies with the requirements of Section 215.97(8), Florida Statutes. This includes submission of
a financial reporting package as defined by Section 215.97(2), Florida Statutes, and Chapter 10.550 (local
governmental entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General.
If the provider expends less than $500,000.00 in state financial assistance in its fiscal year (for fiscal years
ending September 30, 2004 or thereafter), an audit conducted in accordance with the provisions of Section
215.97, Florida Statutes, is not required. In the event that the provider expends less than $500,000.00 in
state financial assistance in its fiscal year and elects to have an audit conducted in accordance with the
provisions of Section 215.97, Florida Statutes, the cost of the audit must be paid from the nonstate entity's
resources (i.e., the cost of such an audit must be paid from the provider resources obtained from other than
State entities).
An audit conducted in accordance with this part shall cover the entire organization for the
organization's fiscal year. Compliance findings related to agreements with the Alliance of Elder Affairs
shall be based on the agreement's requirements, including any applicable rules, regulations, or statutes.
The financial statements shall disclose whether or not the matching requirement was met for each
applicable agreement. All questioned costs and liabilities due to the Alliance of Elder Affairs shall be fully
disclosed in the audit report with reference to the Alliance of Elder Affairs agreement involved. If not
otherwise disclosed as required by Rule 691-5.003, Fla. Admin. Code, the schedule of expenditures of state
financial assistance shall identify expenditures by agreement number for each agreement with the Alliance
of Elder Affairs in effect during the audit period. Financial reporting packages required under this part
must be submitted within 45 days after delivery of the audit report, but no later than 12 months after the
provider's fiscal year end for local governmental entities. Non-profit or for -profit organizations are
required to be submitted within 45 days after delivery of the audit report, but no later than 9 months after
the provider's fiscal year end. Notwithstanding the applicability of this portion, the Alliance of Elder
14
Contract Number KH 1072 Page 15
Affairs retains all right and obligation to monitor and oversee the performance of this agreement as
outlined throughout this document and pursuant to law.
As an Alliance requirement the Statement of Functional Expenses need to be part of the Financial and Compliance
Audit Report.
PART III: REPORT SUBMISSION
Copies of reporting packages for audits conducted in accordance with OMB Circular A-133, as revised, and
required by PART I of this agreement shall be submitted, when required by Section .320 (d), OMB Circular
A-133, as revised, by or on behalf of the provider directly to each of the following:
The Alliance for Aging, Inc. at the following address:
Alliance for Aging, Inc.
Attn: Carlos Lahitte
760 NW 107th Ave. Suite 214
Miami, FL 33172-3155
15
Contract Number KH 1072 Page 16
ATTACHMENT V
PART 1: AUDIT RELATIONSHIP DETERMINATION
Providers who receive state or federal resources may or may not be subject to the audit requirements of OMB
Circular A-133, as revised, and/or Section 215.97, Fla. Stat. Providers who are determined to be recipients or
subrecipients of federal awards and/or state financial assistance may be subject to the audit requirements if the
audit threshold requirements set forth in Part I and/or Part H of Exhibit 1 are met. Providers who have been
determined to be vendors are not subject to the audit requirements of OMB Circular A-133, as revised, and/or
Section 215.97, Fla. Stat. Regardless of whether the audit requirements are met, providers who have been
determined to be recipients or subrecipients of Federal awards and/or state financial assistance, must comply
with applicable programmatic and fiscal compliance requirements.
In accordance with Sec. 210 of OMB Circular A-133 and/or Rule 691-5.006, FAC, provider has been determined to
be:
Vendor or exempt entity and not subject to OMB Circular A-133 and/or Section 215.97, F.S.
X Recipient/ subrecipient subject to OMB Circular A-133 and/or Section 215.97, F.S.
NOTE: If a provider is determined to be a recipient /subrecipient of federal and or state financial assistance and
has been approved by the Alliance to subcontract, they must comply with Section 215.97(7), F.S., and Rule 691-
.006(2), FAC [state financial assistance] and Section .400 OMB Circular A-133 [federal awards].
PART 11: FISCAL COMPLIANCE REQUIREMENTS
FEDERAL AWARDS OR STATE MATCHING FUNDS ON FEDERAL AWARDS. Providers who receive
Federal awards or state matching funds on Federal awards and who are determined to be a subrecipient, must
comply with the following fiscal laws, rules and regulations:
STATES, LOCAL GOVERNMENTS AND INDIAN TRIBES MUST FOLLOW-
2 CFR Part 225 Cost Principles for State, Local and Indian Tribal Governments (Formerly OMB
Circular A-87)*
OMB Circular A-102 — Administrative Requirements
OMB Circular A-133 — Audit Requirements
Reference Guide for State Expenditures
Other fiscal requirements set forth in program laws, rules and regulations
NON-PROFIT ORGANIZATIONS MUST FOLLOW-
2 CFR Part 230 Cost Principles for Non -Profit Organizations (Formerly OMB Circular A-192 - Cost
Principles)*
2 CFR Part 215 Administrative Requirements (Formerly OMB Circular A-1 10 - Administrative
Requirements)
Requirements)
OMB Circular A-133 - Audit Requirements
Reference Guide for State Expenditures
Other fiscal requirements set forth in program laws, rules and regulations
z i
iiiiri in� lo I
in
Contract Number KH 1072 Page 17
2 CFR Part 220 Cost Principles for Educational Institutions OMB (Formerly Circular A-21 - Cost
Principles)*
2 CFR Part 215 Administrative Requirements (Formerly OMB Circular A-1 10 - Administrative
Requirements)
OMB Circular A-133 — Audit Requirements
Reference Guide for State Expenditures
Other fiscal requirements set forth in program laws, rules and regulations
*Some Federal programs may be exempted from compliance with the Cost Principles Circulars as noted in
the OMB Circular A-133 Compliance Supplement, Appendix 1.
STATE FINANCIAL ASSISTANCE. Providers who receive state financial assistance and who are
determined to be a recipient/ subrecipient, must comply with the following fiscal laws, rules and regulations:
Section 215.97, Fla. Stat.
Chapter 691-5, Fla. Admin. Code
State Projects Compliance Supplement
Reference Guide for State Expenditures
Other fiscal requirements set forth in program laws, rules and regulations
M
Contract Number KH 1072 Page 18
ATTACHMENT VI
CERTIFICATION REGARDING DATA INTEGRITY
COMPLIANCE FOR AGREEMENTS, GRANTS, LOANS AND
COOPERATIVE AGREEMENTS
The undersigned, an authorized representative of the provider named in the contract or agreement to
which this form is an attachment, hereby certifies that:
(I)The provider and any sub -providers 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 agreement 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 provider, sub-provider(s), or any outside entity on
which the provider 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, provider(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 provider (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 provider
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 provider and any sub-provider(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 provider shall require that the language of this certification be included in all subagreements,
subgrants, and other agreements and that all sub -providers 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 2 CFR Part 215 (formerly OMB Circular A-1 10).
Mon-ro-a—C t-y- Board -of_ --County commissioners Name nd dZrsofPrpv�4er 1100 Simonton St. Key West, FL33040
(C 'r As_s_t____Co_unty_ Adm1ristrator
Signature Title Date
Debbie Frederick _
Name of Authorized Signer
(Revised June 2008)
ffil
Contract Number KH 1072 Page 19
ATTACHMENT VII
CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION FOR LOWER TIER
COVERED TRANSACTIONS
(I)The prospective provider certifies, by signing this certification, neither it nor its principals are
presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded
from participation in this transaction by any federal Alliance or agency.
(2)Where the prospective provider is unable to certify to any of the statements in this certification,
such pros tive parti pant shall attach an explanation to this certification.
Signature Date
Asst. County Adminstrator Monroe County Board of
- County COMMIS sis— _.
Title Agency/Organization
(Certification signature should be same as Contract signature.)
Instructions for Certification
1,The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered
transaction," "person," "primary covered transaction," and "voluntarily excluded," as used herein, have
the meanings set out in the sections of rules implementing Executive Order 12549. (2 CFR 180.5-
180.1020, as supplemented by 2 CFR 376.10-376.995). You may contact the Contract Manager for
assistance in obtaining a copy of those regulations.
2.This certification is a material representation of facts upon which reliance was placed when the
parties entered into this transaction. If it is later determined that the provider knowingly rendered an
erroneous certification, in addition to other remedies available to the federal government, the
Alliance may pursue available remedies, including suspension and/or debarment.
3.The provider will provide immediate written notice to the Contract Manager if at any time the
provider learns that its certification was erroneous when submitted or has become erroneous by
reason of changed circumstances. The provider may decide the method and frequency by which it
determines the eligibility of its principals. Each participant to a lower tier covered transaction
may, but is not required to, check the Excluded Parties List System (EPLS).
4.The provider will include a "Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion - Lower Tier Covered Transaction" in all its lower tier covered transactions and in
all solicitations for lower tier covered transactions.
'.The provider agrees that it shall not knowingly enter into any lower tier covered transaction with a
person who is debarred, suspended, determined ineligible or voluntarily excluded from participation,
unless otherwise authorized by the federal government.
6.If the provider knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in
addition to other remedies available to the federal government, the Alliance may pursue available
remedies, including suspension, and/or debarment.
The provider may rely upon a certification of a prospective participant hi a lower tier covered
transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered
transaction, unless it knows that the certification is erroneous.
Revised Tur"e 2008)
19
Contract Number KH 1072 Page 20
ATTACHMENT VIII
ASSURANCES--NON-CONSTRUCTION PROGRAMS
Public reporting burden for this collection of information is estimated to average 45 minutes per
response, mcludin time for reviewing instructions, searching existing data sources gathering and
maintaining the Tata needed and completing and reviewing the collection of information. Send
comments . regarding the burden estimate or any other aspect of this collection of information, including
suggestions for reducing this burden, to the Office of Management and Budget. Paperwork Reduction
Project (0348-0043),
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND
BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
Note: Certain of these assurances may not be applicable to your project or program. If you have questions please
contact the awarding agency. Further, certain Federal awarding agencies may require applicants to certify to
additional assurances. If such is the case, you will be notified.
I Has the legal authority to apply for Federal assistance, and the institutional, managerial and financial capability
(including funds sufficient to pay the non -Federal share of project cost) to ensure proper planning, management, and
completion of the project described in this application.
2.Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State,
through any authorized representative, access to and the right to examine all records, books, papers, or
documents related to the award; and will establish a proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3.Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or
presents the appearance of personal or organizational conflict of interest, or personal gain.
4,Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding
agency.
5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C.. 4728-4763) relating to prescribed
standards for merit systems for programs funded under one of the 19 statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
6.Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or
national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C.. 1681-1683, and 1685-
1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as
amended (29 U.S.C.194), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act
of 1975, as amended (42 U.S.C.. 6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse
Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g). 523 and 527
of the Public Health Service Act of 1912 (42 U.S.C.. 290 dd-3 and 290 ee 3), as amended, relating to confidentiality of
alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C- 3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination
provisions in the specific statute(s) under which application for Federal assistance is being made; and (j) the
requirements of any other nondiscrimination statute(s) which may apply to the application.
7.Will comply, or has already complied, with the requirements of Titles IT and 1H of the uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable
treatment of persons displaced or whose property is acquired as a result of Federal or federally assisted programs.
These requirements apply to all interests in real property acquired for project purposes regardless of Federal
participation in purchases.
S.Will comply, as applicable, with the provisions of the Hatch Act (5 US.C.. 1501-1508 and 7324-7328), which hn-dt the
political activities of employees whose principal employment activities are funded in whole or in part with Federal
funds.
9,Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C..276a to 276a-7). the Copeland
Act (40 U.S.C, 276c and 18 U.S.C. 874) and the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333),
20
Contract Number KH 1072 Page 21
regarding labor standards for federally assisted construction subagreements.
10.Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the
program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000.00 or
more.
I I.Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution
of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and
Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of
wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e)
assurance of project consistency with the approved State management program developed under the Coastal
Zone Management Act of 1972 (16 U.S.C..1451 et seq.); (f) conformity of Federal actions to State (Clear Air)
Implementation Plans under Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C..7401 et seq.);
(g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as
amended, (P.L. 93-523); and (h) protection of endangered species under the Endangered Species Act of 1973, as
amended, (P.L. 93-205).
12 Will comply with the Wild and Scenic Rivers Act of 1968 components of the national wild and scenic rivers
system. (16 U.S.C.,1721 et seq.) related to protecting components or potential
13.Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation
Act of 1966, as amended (16 U.S.C.A70), EO 11593 (identification and protection of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S.C..469a-I et seq.).
14.Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development,
and related activities supported by this award of assistance.
15.Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C..2131 et seq.)
pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other
activities supported by this award of assistance.
16.Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C.A801 et seq.), which prohibits the
use of lead- based paint in construction or rehabilitation of residence structures.
17.Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act
Amendments of 1996 and OMB Circular No. A-133, Audits of States, Local Governments, and Non -Profit
Organizations.
18.Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and
policies governing this program.
SIGNATURE OF AUTHORMED CERTIFYING OFFICIAL 'TITLE
Assistant County
Administrator
C
APPLICANT ORGANIZATION DATE SUB!Vff=
Monroe County Board of
County Commissioners 6-16-2010
9
Contract Number KH 1072 Page 22
ATTACHMENT IX
STATE OF FLORIDA ALLIANCE OF ELDER AFFAIRS
CIVIL RIGHTS CONWLLANCE CHECKLIST
i r Monroe Program/Facility Name Monroe County Board of County Monroe P Ovider MO Oe CountyIn
County Commissioners Home Services --I
Address 1100 Simonton Street Completed By Dotti Albury
City, State, Zip Code Key West, FL 33040 Date 5-17-10 Telephone 305-2924W
PART 1. READ THE ATTACHED INSTRUCTIONS FOR ILLUSTRATIVE INFORMATION WHICH WILL HELP YOU IN
THE COMPLETION OF THIS FORM,
1. Briefly describe the geographic area served by the program/ facility and the type of service provided: The entire Florida
Keys (Monroe County, approximately 120 miles) which are considered rural with some urban characteristics. Services we
provide are Case Management, Home Delivered Meals, Homemaking, Personal Care and Respite
POPULATION OF AREA SERVED. Source of data: 2006 Census from the U. S. Census Bureau
Total# % White % Black % Hispanic % Other % Female
74,737 AAA 1 7.0 1R.1 4h2
3. STAFF CURRENTLY EMPLOYED. Effective date:
Total# I % White 1 % Black I % Hispanic % Other % Female % Disabled
4. CLIENTS CURRENTLY ENROLLED OR REGISrERED Effective date:
Total# % White % Black % Hispanic % % Female % Disabled % Over 40
AA A 1 111 1 ji;n - 1 71 n inn inn
5. ADVISORY OR GOVERNING BOARD, IF APPLICABLE.
Total # % White % Black % Other % Female
ion 0-0 an 60
PART IL USE A SEPARATE SHEET OF PAPER FOR ANY EXPLANATIONS REQUIRING MORE SPACE
6. Is an Assurance of Compliance on file with the Alliance? If NA or NO explain
NA YES NO YES
7, Compare the staff composition to the population. Is staff representative of the population? If NA
or NO, explain.
NA YES NO YES
8. Compare the client composition to the population. Are race and sex characteristics representative
of the Population? If NA or NO, explain.
NA YES NO YES
W
9. Are eligibility ments for services applied to clients and aT plicants without
to race, colrequire t or, national origin, sex, age, religion or disab 7 .'?
If NAorNO,
explain.
NA YES NO YES
10. Are all benefits, services and facilities available to applicants and participants in an equally
effective manner regardless of race, sex, color, age, national origin, religion or disability? If NA or
NO, explain,
NA YES NO YES
11. For in -patient services e room assignments made without regard to race, color, national origin
or disability? If NA or C18, explain.
NA YES NO N/A - WE SERVICE CLIENTS IN THEIR OWN HOMES
12. Is the program/facility accessible to non-English speaking clients? If NA or NO, explain.
NA YES NO YES
13. Are employees applicants and participants informed of their protection against
discrimination', If yes, how? Verbal / Written / Poster J If NA or NO,
explain.
-0
14, Give the number and current status of any discrimination complaints
regarding services or employment filed against the program/facility. ZERO
23
Contract Number KH 1072 Page 24
15. Is the proUam/facilitWhysically accessible to mobility, hearing, and sight -impaired individuals?
4
If NA or NO, explain
NA YES NO
PART III, THE FOLLOWING QUESTIONS APPLY TO PROGRAMS AND FACILITIES WITH 15 OR MORE EMPLOYEES YES NO
16. Has a self -evaluation been conducted to identify any barriers to serving disabled
individuals, and to make any necessary modifications? If NO, explain. YES
17. Is there and established grievance procedure that incorporates due process in
the resolution of complaints? If NO, explain. YES El 0
18, Has a person been designated to coordinate Section 504 compliance activities? If YES NO
NO, explain. YES 00
19. Do recruitment and notification materials advise applicants, employees and
C
participants of nondiscrimination on the basis of disability? If 0, explain.
WS
YES NO
101
El
_11'' �111::Intractftm! 1and
20, Are auxiliary aids available to assure accessibility of services to hearing
sight impaired individuals? If NO, explain. YES El D
PART IV. FOR PROGRAMS OR FACILITIES WITH 50 OR MORE EMPLOYEES AND FEDERAL CONTRACTS OF$50,000 OR
MORE,
21. Do you have a written affirmative action plan? If NO, explain. YES YESM
DOEA Form 101-A, Revised May 2008 Page 2 of 2
ATTACHMENT IX
INSTRUCTIONS FOR THE CIVIL RIGHTS COMPLIANCE CHECKLIST
I.Describe the geographic service area such as a district, county, city or other locality. If the
program/ facility serves a specific target population such as adolescents, describe the target population.
Also, define the type of service provided.
2.Enter the percent of the population served by race and sex. The population served includes persons in
the geographical area for which services are provided such as a city, county or other regional area.
Population statistics can be obtained from local chambers of commerce, libraries, or any publication from
the 1980 Census containing Florida population statistics. Include the source of your population statistics.
("Other" races include Asian/ Pacific Islanders and American Indian/ Alaskan Natives.)
3 Enter the total number of full-time staff and their percent by race, sex and disability. Include the
effective date of your summary.
4. Enter the total number of clients who are enrolled, registered or currently served by the program or
facility, and list their percent by race, sex and disability. Include the date that enrollment was counted.
5. Enter the total number of advisory board members and their percent by race, sex, and disability. If
there is no advisory or governing board, leave this section blank.
25
CONTRACT KH 1071 Page 26
standard part of the contract language for DOEA recipients and their sub -grantees, 45 CFR 80.4
(a)-
7.1s the race, sex, and national origin of the staff reflective of the general population? For example, if 10%
of the population is Hispanic, is there a comparable percentage of Hispanic staff?
8.VVhere there is a significant variation between the race, sex or ethnic composition of the clients and their
availability in the population, the program/facility has the responsibility to determine the reasons for
such
variation and take whatever action may be necessary to correct any discrimination. Some legitimate
disparities may exist when programs are sanctioned to serve target populations such as elderly or
disabled persons, 45 CFR 80.3 (b) (6).
9. Do eligibility requirements unlawfully exclude persons in protected groups from the provision of
services or employment? Evidence of such may be indicated in staff and client representation (Questions
3 and 4) and also through on -site record analysis of persons who applied but were denied services or
employment, 45 CFR 80.3 (a) and45CFR80.1 (b) (2).
10.Participants or clients must be provided services such as medical, nursing and dental care, laboratory
services, physical and recreational therapies, counseling and social services without regard to race, sex,
color, national origin, religion, age or disability. Courtesy titles, appointment scheduling and accuracy of
record keeping must be applied uniformly and without regard to race, sex, color, national origin, religion,
age or disability. Entrances, waiting rooms, reception areas, restroorns and other facilities must also be
equally available to all clients, 45 CFR 80.3 (b).
I I.For in -patient services, residents must be assigned to rooms, wards, etc., without regard to race, color,
national origin or disability. Also, residents must not be asked whether they are willing to share
accommodations with persons of a different race, color, national origin, or disability, 45 CFR 80.3 (a).
12.The program/facility and all services must be accessible to participants and applicants, including
those persons who may not speak English. In geographic areas where a significant population of non-
English speaking people live, program accessibility may include the employment of bilingual staff. hi
other areas, it is sufficient to have a policy or plan for service, such as a current list of names and
telephone numbers of bilingual individuals who will assist in the provision of services, 45 CFR 80.3 (a).
13.Programs/ facilities must make information regarding the nondiscriminatory provisions of
Title VI available to their participants, beneficiaries or any other interested parties. This should
include information on their right to file a complaint of discrimination with either the Florida
Alliance of Elder Affairs or the U.S. Alliance of HHS. The information may be supplied verbally
or in writing to every individual, or may be supplied through the use of an equal opportunity
policy poster displayed in a public area of the facility, 45 CFR 80.6 (d).
14.Report number of discrimination complaints filed against the program/facility. Indicate the
basis, e.g., race, color, creed, sex, age, national origin, disability, retaliation, the issues involved,
e.g., services or employment, placement, termination, etc. Indicate the civil rights law or policy
alleged to have been violated along with the name and address of the local, state or federal
agency with whom the complaint has been filed. Indicate the current status, e.g., settled, no
reasonable cause found, failure to conciliate, failure to cooperate, under review, etc.
15.The program/ facility must be physically accessible to disabled individuals. Physical
accessibility includes designated parking areas, curb cuts or level approaches, ramps and
adequate widths to entrances. The lobby, public telephone, restroom facilities, water fountains,
20
CONTRACT KH 1071 Page 27
information and admissions offices should be accessible. Door widths and traffic areas
of administrative offices, cafeterias, restrooms, recreation areas, counters and serving lines
should be observed for accessibility. Elevators should be observed for door width, and Braille or
raised numbers. Switches and controls for light, heat, ventilation, fire alarms, and other
essentials should be
installed at an appropriate height for mobility impaired individuals.
16.Section 504 of the Rehabilitation Act of 1973 requires that a recipient of federal financial
assistance conduct a self -evaluation to identify any accessibility barriers. Self -evaluation is a four
step process:
•With the assistance of a disabled individual/ organization, evaluate current practices and
policies which do not comply with Section 504.
•Modify policies and practices that do not meet Section 504 requirements.
•Take remedial steps to eliminate any discrimination that has been identified.
•Maintain self -evaluation on file. (This checklist may be used to satisfy this requirement if
these four steps have been followed.), 45 CFR 84.6.
17.Programs or facilities that employ 15 or more persons must adopt grievance procedures that
incorporate appropriate due process standards and provide for the prompt and equitable
resolution of complaints alleging any action prohibited by Section 504.45 CFR 84.7 (b).
18.Programs or facilities that employ 15 or more persons must designate at least one person to
coordinate efforts to comply with Section 504.45 CFR 84.7 (a).
19.Continuing steps must be taken to notify employees and the public of the program/ facility's
policy of nondiscrimination on the basis of disability. This includes recruitment material, notices
for hearings, newspaper ads, and other appropriate written communication, 45 CFR 84.8 (a).
20.Programs/ facilities that employ 15 or more persons must provide appropriate auxiliary aids
to persons with impaired sensory, manual or speaking skills where necessary. Auxiliary aids may
include, but are not limited to, interpreters for hearing impaired individuals, taped or Braille
materials, or any alternative resources that can be used to provide equally effective services, (45
CFR 84.52 (d).
2 I.Programs/ facilities with 50 or more employees and $50,000 in federal contracts must develop,
implement and maintain a written affirmative action compliance program in accordance with
Executive Order 11246. 41 CFR 60 and Title VI of the Civil Rights Act of 1964, as amended.
WA