RELATES TO:
KRS
205.201,
205.203,
205.455-465.31,
205.900(3),
211.470-211.478, 45 C.F.R. 92.25(g)(2), (3), Part 74, Subpart B, 213, 1321,
5
U.S.C. 552,
7501 et seq.,
42 U.S.C.
3001 et seq.
NECESSITY, FUNCTION, AND CONFORMITY:
42 U.S.C.
3001 et seq., the Older Americans Act of
1965, as amended, authorizes grants to states to provide assistance in the
development of new or improved programs for older persons.
KRS
194A.050 requires the secretary for the
Cabinet for Health and Family Services to promulgate administrative regulations
necessary to implement programs mandated by federal law, or to qualify for the
receipt of federal funds.
KRS
205.204 designates the Cabinet for Health and
Family Services as the state agency to administer the Older Americans Act in
Kentucky. This administrative regulation establishes the policies and
procedures governing the general administration of the aging and disabilities
programs and Older Americans Act in Kentucky.
Section 1. Definitions.
(1) "Administration on Community Living" or
"ACL" means the federal agency housed within the Office of the Secretary of
Health and Human Services which is responsible for the administration of grant
awards to state units on aging under Title III of the Older Americans
Act.
(2) "Area Agency on Aging and
Independent Living" or "AAAIL" means an area agency on aging as defined by
42
U.S.C.
3002(6).
(3) "Area plan" means a plan submitted by an
AAAIL to the department that releases funds under contract for the delivery of
service within a planning and service area.
(4) "Corrective action" means the written
statement of non-compliance issued to a provider for failure to comply with
contractual obligations, federal or state regulations, or department
policy.
(5) "Corrective action
plan" means the written response of the provider to eliminate the
non-compliance issues addressed in the written corrective action statement and
prevent future non-compliance from occurring.
(6) "Department" or "DAIL" means the
Department for Aging and Independent Living.
(7) "Fidelity bond" means a bond indemnifying
the recipient against losses resulting from the fraud or lack of integrity,
honesty, or fidelity of one (1) or more employees, officers, or other person
holding positions of trust.
(8)
"Greatest economic need" is defined by
42
U.S.C.
3002(23).
(9) "Greatest social need" is defined by
42
U.S.C.
3002(24).
(10) "In-kind resources" means the value of
property or services which benefit a grant-supported project or program and
which are contributed by nonfederal third parties without charge to the
grantee.
(11) "Planning and service
area" or "PSA" means that multicounty geographical entity in which a given
AAAIL is responsible for the planning of aging services.
(12) "Program income" means the gross income
earned by a provider agency from activities of which part or all of the cost is
either borne as a direct cost counted towards meeting a cost sharing or
matching requirement of department contracted funds.
(13) "Provider agency" means an entity that
provides for the performance of services or performs a specific service under
contract.
(14) "Service provider"
means the agency under contract with DAIL or a provider agency to provide
direct services.
(15) "State plan"
means the formal application of the office for federal Title III funds under
the Older Americans Act and provides a basis for the expenditures of these
funds.
(16) "Target group" means
older individuals:
(a) Who are low-income,
including low-income minority;
(b)
With limited English proficiency;
(c) Residing in rural areas; or
(d) At risk for institutional
placement.
Section
2. Responsibilities of the DAIL. The DAIL shall:
(1) Develop the state plan on aging and
disability;
(2) Consider the views
of older persons and the general public in developing and administering the
state plan by:
(a) Receiving public and
consumer participation in identifying service needs and establishing funding
priorities prior to the submission of the state plan for approval;
(b) Responding to requests of the Institute
for Aging for information and submit for its review and comment on proposed
plans, budgets, programs, policies, and general initiatives;
(c) Eliciting input from appropriate external
sources as opportunities present themselves; or
(d) Reviewing and considering comments
received regarding program plans, budgets, policies, and general initiatives
and making changes if feasible and in the best interests of those individuals
for whom the programs are designed;
(3) Coordinate statewide planning and
development of activities and provide technical assistance to provider agencies
to ensure effective coordination of programs;
(4) Establish and enforce appropriate
procedures for data collection from contract agencies to permit the state to
compile and transmit statewide data in a form the commissioner directs on an
annual basis;
(5) Conduct, within
budget limitations, activities to implement training and education programs
which include the following:
(a) Conducting
annual assessments to identify training needs and develop correlating
plans;
(b) Identifying and
reviewing resources available to meet training needs;
(c) Developing a comprehensive education and
training plan;
(d) Seeking
additional resources to implement the plan;
(e) Effecting interagency coordination for
the provision of specialized training;
(f) Facilitating and assisting the efforts of
higher education in statewide forums of a gerontological or disability
orientation;
(g) Coordinating
education programs with private, public, governmental, and educational
organizations and institutions;
(h)
Providing and coordinating training opportunities for personnel of agencies and
programs utilizing department funding;
(i) Providing training to provider agencies
on self-evaluation and monitoring; and
(j) Providing training as part of the state
training plan including ongoing technical assistance and annual program
evaluation;
(6)
Participate in appointments to boards and commissions as required by the
cabinet;
(7) Review, monitor,
evaluate, and comment on federal, state, and local area plans which affect or
may affect older individuals and those with disabilities;
(8) Recommend changes in these plans which
the department deems appropriate including:
(a) Budgets;
(b) Regulations;
(c) Programs;
(d) Laws;
(e) Levies;
(f) Hearings;
(g) Policies; and
(h) Actions;
(9) Monitor the performance of programs and
activities for quality and effectiveness and to determine compliance with
contract requirements, approved area plans, and applicable federal and state
statutory and regulatory requirements;
(10) Have an adequate number of qualified
staff to carry out the functions prescribed in
45 C.F.R.
1321.9 of the Older Americans Act and other
program regulations for which the department has administrative
responsibility;
(11) Give
preference to individuals aged sixty (60) or older, subject to the requirements
of merit employment systems of state and local governments;
(12) Assure that the provider agency allots
an adequate proportion of its funding for the provision of direct services to
eligible participants;
(13) Develop
and make known to the provider agency procedures for and conditions under which
funding may be suspended;
(14)
Comply with the provisions of the Older Americans Act of 1965, as
amended;
(16) Designate the AAAIL in each
PSA;
(17) Develop and use a
federally approved intrastate funding formula for Older Americans Act of 1965
funding;
(18) Provide area-specific
information in a statewide summary of the local needs assessment conducted in
each PSA;
(19) Conduct joint
meetings with the provider agencies to:
(a)
Coordinate statewide planning and development of activities; and
(b) Provide technical assistance to each
provider agency to ensure effective procedures for coordination of programs
within the PSA;
(20)
Notify the contract agencies in writing in advance of the date the joint
meeting shall take place;
(21)
Solicit input from the contract agency as to the topics to address and discuss
at the joint meeting; and
(22)
Issue a waiver of program requirements:
(a)
In compliance with
42
U.S.C.
3030c-3; or
(b) To develop pilot projects as allowed for
state funded programs.
Section 3. Distribution of State and Federal
Funding for Aging and Disability Programs. Directly or through contract with a
provider agency, funding allocations shall be distributed according to program
requirements.
(1) The department shall
distribute available state and federal funds to the provider agency according
to a funding formula determined by the department.
(2) Older Americans Act funding shall be
allocated based on the funding formula developed by the department and approved
by the ACL.
(3) Funding allocated
from funds authorized under the following categories shall be for the purpose
of assisting the department to develop or enhance comprehensive and coordinated
community-based services throughout the state:
(a) State administration;
(b) Provider agency administration;
(c) Home care;
(d) Personal Care Assistant
Program;
(e) Traumatic Brain Injury
Trust Fund;
(f) Hart Supported
Living Program;
(g) Kentucky Family
Caregiver Program;
(h) Brain Injury
Behavioral Program;
(i) Senior
Community Employment Program;
(j)
State long-term care ombudsman, Title III-B and Title VII;
(k) Supportive services, Title
III-B;
(l) Congregate meals
services, Title III C 1;
(m)
Home-delivered meals services, Title III C 2;
(n) Evidence based health promotion services,
Title III-D; and
(o) Elder abuse
services, if funds are available, Title VII.
(4) Except for the State Long-Term Care
Ombudsman and state administration, the department shall award the available
Older Americans Act funds according to the federally approved intrastate
funding formula:
(a) Determined by the
department after consultation with the AAAILs in the state and publication of
the formula by the department for review and comment by older persons and the
general public; and
(b) Which shall
reflect the proportion among the PSA of persons age sixty (60) and over in
greatest economic or social need with particular attention to low income
minority individuals.
(5) The department shall follow the
procedures for and conditions under which funding may be temporarily suspended
or terminated according to Section 10 of this administrative
regulation.
Section 4.
Designation and Withdrawal of Designation of an AAAIL.
(1) Each PSA shall have designated by DAIL a
public or private nonprofit agency or organization as the AAAIL in accordance
with
42 U.S.C.
3025(c).
(2) The department shall withdraw the AAAIL
designation if, after reasonable notice and opportunity for a hearing, the
department finds that:
(a) The AAAIL does not
meet the requirements set out in subsection (1) of this section or Section 5 of
this administrative regulation;
(b)
The plan or plan amendment is not approved;
(c) There is substantial failure in the
provision or administration of an approved area plan to comply with provisions
of the area plan requirements under the Older Americans Act; or
(d) There is a request by the
AAAIL.
(3) The
department shall initiate the designation withdrawal process of the AAAIL and
shall:
(a) Notify the AAAIL of its intent to
withdraw designation, citing non-compliance issues and outlining steps to be
taken to appeal the intent to withdraw designation in accordance with
910 KAR 1:140;
and
(b) Assist in the facilitation
of the hearing as set forth in
910 KAR 1:140
if the AAAIL requests a state hearing.
(4) Following the appeal process, the cabinet
shall notify the AAAIL in writing of the hearing.
(5) If the department withdraws the AAAIL's
designation, it shall:
(a) Notify the
administrator of the ACL and the cabinet secretary in writing of its
action;
(b) Provide a plan for the
continuity of planning and services in the affected PSA; and
(c) Designate a new AAAIL in the
PSA.
(6) To ensure
continuity of planning and services in a PSA, the DAIL may, for a period of up
to 180 days after its final decision to withdraw designation of a AAAIL:
(a) Perform the responsibilities of the
AAAIL; or
(b) Assign the
responsibilities of the AAAIL to another provider agency in the PSA.
(7) If necessary, the
administrator of the ACL may extend for a period of up to an additional 180
days the limit in subsection (6) of this section if the state agency:
(a) Requests an extension; and
(b) Demonstrates to the administrator of the
ACL a need for the extension.
Section 5. Responsibilities of the AAAIL. The
AAAIL shall be designated by the department in each PSA and shall:
(1) Establish an advisory council as follows:
(a) The area advisory council shall carry out
functions which further the AAAIL's mission of developing and coordinating
community-based systems of services for older persons in the PSA. The council
shall advise the AAAIL relative to:
1.
Developing, reviewing, and commenting on the area plan prior to submitting to
the department for approval;
2.
Conducting public hearings;
3.
Representing the interest of older persons; and
4. Reviewing and commenting on community
policies, programs, and actions which affect older persons with the intent of
assuring maximum coordination and responsiveness to older persons.
(b) The advisory council shall be
made up of:
1. More than fifty (50) percent
older persons, including minority individuals who are participants or who are
eligible to participate in programs under the Older Americans Act;
2. Representatives of older
persons;
3. Representatives of
health care provider organizations, including providers of veterans' health
care if providers of veterans' health care are located in the geographical area
served within the PSA;
4.
Representatives of supportive services provider organizations;
5. Persons with leadership experience in the
private and voluntary sectors;
6.
Local elected officials; and
7. The
general public;
(2) Include individuals and representatives
of community organizations who shall help to enhance the leadership role of the
AAAIL in developing community-based systems of services;
(3) Serve as the public advocate for the
development for enhancement of comprehensive and coordinated community-based
systems of services in each community throughout the PSA;
(4) Monitor, evaluate, and provide comment on
policies, programs, hearings, levies, and community actions which affect older
persons and persons with disabilities;
(5) Solicit comments from the public on the
needs of older persons, and persons with disabilities having procedures for
receiving community and consumer participation in the planning and service
delivery process in conformance with
45 C.F.R.
1321.57(c) and
1321.61(b);
(6) Represent the interests of older persons
and persons with disabilities to local-level and executive branch officials and
public and private agencies or organizations;
(7) Consult with and support the
Commonwealth's long-term care ombudsman program;
(8) Undertake ongoing activities designed to
facilitate the coordination of area plans and activities with other public and
private organizations;
(9) Promote
new or expanded benefits and opportunities for older persons and persons with
disabilities;
(10) Undertake a
leadership role in assisting communities throughout the PSA to target resources
from appropriate sources to:
(a) Meet the
needs of the target group; and
(b)
Recommend the location of services and specialization in the types of services
most needed by the above-referenced group;
(11) Prohibit means testing for services
funded through Older Americans Act funds;
(12) Prepare and develop for a PSA an area
plan as determined by the department and in accordance with
42
U.S.C.
3026:
(a) By the annually established
deadline;
(b) Which shall include:
1. A mission and vision statement;
2. Planning and service area
geographics;
3. A profile of
regional demographics;
4. Funding
sources for the AAAIL;
5. Services
offered within the PSA;
6.
Partnerships and associations;
7. A
capacity assessment;
8. A capacity
building plan;
9. Public
hearings;
10. Service
usage;
11. Participants of aging
programs feedback and satisfaction;
12. Coordination and
collaborations;
13. Outreach and
expansion;
14. Community
opportunities;
15. Intake and
referral;
16. Financial management
and fund development;
17. AAAIL
advisory council membership;
18.
AAAIL administrative staffing plan;
19. AAAIL direct staffing plan;
20. A provider agency staffing
plan;
21. Long Term Care Ombudsman
advisory council membership;
22. A
provider site list;
23. Performance
plans;
24. Waivers and special
program approvals;
25. Provider
approvals;
26.
Assurances;
27. A financial plan
and outputs; and
28. Other
information requested in advance by the department; and
(c) Each area plan shall be subject to
amendment by the AAAIL upon request of the department;
(13) Provide area-specific information of the
local needs assessment conducted in the PSA;
(14) Specify in writing to the department how
the AAAIL intends to satisfy the needs of the target group served through the
contract in proportion to the population served;
(15) Within budget limitations, implement
education and training programs that respond to the needs of older individuals,
the disabled, service providers, and other groups which include:
(a) Conducting annual assessments to identify
training needs and develop correlating plans;
(b) Identifying, reviewing, and pursuing
resources available to meet training needs;
(c) Developing a comprehensive education and
training plan;
(d) Coordinating
interagency collaboration for the provision of specialized training;
(e) Facilitating and assisting the efforts of
higher education in statewide forums related to the aging and disabled
populations;
(f) Conducting and
coordinating education and training related to the aging and disabled
population and programs for area advisory councils and the general
community;
(g) Specifying the
training requirements of the service providers; and
(h) Planning and implementing staff
development initiatives; and
(16) Conduct periodic evaluations of, and
public hearings on, activities carried out in the PSA.
Section 6. Public Hearings.
(1) The department shall, if appropriate,
utilize public hearings as one (1) method of obtaining both proactive and
reactive community and consumer participation in prioritizing and evaluating
activities and projects carried out under the state plan.
(2) If public hearings are utilized, the
department shall:
(a) Schedule a minimum of
one (1) public hearing annually for the purpose of evaluating activities and
projects carried out in the state plan;
(b) Specify the inclusion of an evaluation of
the state plan's effectiveness in reaching the target population;
(c) If appropriate, schedule public hearings
for the purpose of receiving community and consumer participation in the
development and implementation of service activities;
(d) Require of the AAAIL a timely conducted
public hearing prior to the consideration of a request of the department for a
waiver from a service provision responsibility required in the area plan;
and
(e) Schedule, advertise, and
conduct public hearings it deems appropriate in a manner designed to encourage,
enhance, and facilitate community and consumer participation.
(3) The department shall consider
the views of older persons and the general public in developing and
administering the state plan and shall:
(a)
Utilize methods which include public hearings in receiving public and consumer
participation in identifying service needs and establishing funding priorities
prior to the submission of the state plan for federal approval;
(b) Advertise the date, time, location, and
purpose of each public hearing with the local media in the PSA in and for which
the hearing is being held;
(c)
Elicit input from appropriate external sources as opportunities present
themselves;
(d) Require AAAILs to
develop procedures for receiving community and consumer participation in the
planning and service delivery process in conformance with
45 C.F.R.
1321.57(c) and
1321.61(b);
and
(e) Review and consider
comments received regarding program plans, budgets, policies, and general
initiatives and make changes if feasible and in the best interests of those
individuals for whom the programs are designed.
Section 7. Responsibilities of a Provider
Agency.
(1) A provider agency shall:
(a) Adhere to the contractual agreement,
state and federal regulations, and department policy;
(b) Provide for each employee providing
services funded through the department a comprehensive training course that
shall be:
1. Monitored by the provider agency
through record review; and
2.
Reviewed or monitored by the DAIL through records maintained by the provider
agency; and
(c) Verify
participant or applicant eligibility for DAIL funded programs only once even
though the participant may receive multiple services through state or federal
funding sources.
(2)
Participant records shall include the following information:
(a) The participant's age or birth date if
age is an eligibility requirement;
(b) Documentation of the method used to
verify the reported age;
(c) The
staff involved in the verification process;
(d) Other eligibility determinants;
and
(e) Verification of other
eligibility determinants.
(3) The provider agency shall conduct
monitoring and evaluation of services and shall:
(a) Permit staff of the Cabinet for Health
and Family Services, persons acting for the cabinet, and staff designated by
appropriate federal agencies to monitor and evaluate programs and activities
performed and administered by the provider agency and subcontractors for which
the department has administrative responsibility;
(b) Respond to monitoring reports including
submission of a corrective action plan;
(c) Be responsible for fiscal or program
exceptions established by evaluation, monitoring, or audit and promptly settle
monitoring, fiscal, and program audit exceptions by:
1. Making direct payment;
2. Accepting reduction of future
reimbursement; or
3. Other methods
approved by the Cabinet for Health and Family Services;
(d) Furnish appropriate technical assistance
to, and conduct an annual evaluation of, the effectiveness of program
outcomes;
(e) Assess services to
determine compliance with contractual agreement and with applicable federal and
state requirements;
(f) Submit
written corrective action or recommendations regarding on-site monitoring
visits and reports to the service providers as applicable;
(g) Require the service provider to have
provision for the interview of clients by persons and agencies listed in
paragraph (a) of this subsection and the provider agency, except if
confidentiality requirements are applicable; and
(h) Review subcontractors' forms and
procedures and forward a copy of the information to the DAIL prior to the
implementation of the contract for final approval, if applicable.
(4) Each provider agency shall
have a policy for denial, suspension, or reduction of services to eligible
persons, which shall:
(a) Be maintained on
file at the provider agency and be accessible for monitoring
purposes;
(b) Specify, at a
minimum, that if services for a client or participant are denied, suspended, or
reduced, one (1) of the following situations shall be present and documented:
1. Funds are no longer available or are
reduced;
2. The service level is no
longer needed;
3. Prioritization
and needs determination indicate that the client no longer meets the criteria
established for receiving services;
4. The client refuses to follow the service
plan or plan of care; or
5. The
client or family member has exhibited abusive, intimidating, or threatening
behavior and the client or representative is unable or unwilling to comply with
a corrective action plan; and
(c) Include notification to a client of the
right to request an appeal based on the denial, suspension, or reduction of
services to an eligible person as listed in paragraph (b)2. through 5. of this
subsection in accordance with
910 KAR
1:140.
(5) A provider agency shall adhere to the
procurement requirements as follows:
(a)
Promote open and free competition among qualified competitors;
(b) Not restrict or eliminate competition by
placing unreasonable or unnecessary requirements on potential
bidders;
(c) Establish procurement
procedures which take into account the federal, state, and local requirements
and include:
1. A method for resolving
protests, disputes, and claims;
2.
A written code or standards of conduct;
3. A review process to avoid unnecessary
purchases or duplicative items;
4.
Affirmative action standards that encourage contracting with minority-owned
small businesses;
5. A method for
procurement; and
6. Evaluation and
selection criteria; and
(d) Formally advertise programs and
services.
(6) If the
provider agency chooses to utilize noncompetitive negotiations, it shall:
(a) Clearly document and maintain on file
that:
1. Only one (1) responsible provider is
available, capable, and qualified to provide the service; and
2. By using noncompetitive negotiations, open
and free competition shall not be restricted;
(b) Maintain records sufficient to detail the
significant history of the procurement; and
(c) Provide, upon request and prior to
subcontracting, copies to the department supporting noncompetitive
negotiations.
(7) A
provider agency shall comply with the program reporting requirements of the
contractual agreement or the following as applicable:
(a) A quarterly program performance report
shall be submitted to the department fifteen (15) calendar days after each
quarter;
(b) An annual program
performance report shall be submitted to the department for the federal fiscal
year October 1 - September 30;
(c)
Homecare reporting and entry into the statewide data system shall be in
accordance with
910 KAR
1:180;
(d)
A monthly meal count report for Title III and Homecare shall be submitted to
the department by the contractual deadline; and
(e) Title V reporting and entering into the
statewide data system shall be in accordance with
910 KAR
1:200.
(8) The provider agency conducting
assessments shall complete an assessment within seven (7) calendar days of
referral unless:
(a) Funding is not available
to provide a service; and
(b) The
individual is placed on the waiting list.
(9) The provider agency shall assure that a
written uniform system is in place for maintenance of waiting lists and shall
follow these guidelines:
(a) Each waiting list
for services shall be reported to the department as part of the quarterly
program performance report;
(b) The
waiting list shall be updated monthly and a new DAIL-GA-01 Priority Screening
Tool completed if there is a change in needs;
(c) The system shall be based on a method to
prioritize applicants;
(d) An
applicant shall be advised of the procedures and method of facilitating the
waiting list and provided with the written procedures upon request;
(e) An applicant who is determined to be
potentially eligible based on screening information gathered by the designated
agency staff may be placed on a waiting list; and
(f) Once funding is available for a service,
the individual on the waiting list with the highest priority screening score on
the DAIL-GA-01 Priority Screening Tool shall be assessed within seven (7)
calendar days.
(10) Each
provider agency may use its own definition of equipment as long as it includes
tangible personal property having a useful life of at least one (1) year and a
unit cost of $500 or more.
(a) Equipment
records shall be current and shall contain at least the following information:
1. Description of the item;
2. Serial number;
3. Source of funds used to purchase the
item;
4. Percentage per source and
program of the cost;
5. Acquisition
cost and date;
6. Unit
cost;
7. Location, use, and
condition of the equipment;
8.
Information on the disposition of the item; and
9. The replacement schedule of the equipment
being replaced, if applicable.
(b) There shall be a system to prevent loss,
damage, or theft.
(c) There shall
be adequate maintenance procedures to keep equipment in good
condition.
(d) Purchase of
equipment with a unit cost of $500 or more shall require prior approval from
the DAIL.
(e) Replaced equipment
may be:
1. Traded in; or
2. Sold and the proceeds applied to the
acquisition cost.
(f)
Equipment with a unit cost of $1,000 or more shall be disposed of, not
replaced, and the granting agency may require transfer of the equipment and
title to an eligible party.
(g)
Equipment may be sold if approved by the granting agency.
(h) If equipment is sold, the federal share
of the proceeds may be applied to the program as program income but if the
federal share is not applied to the program as program income, the federal
share, less selling expenses, shall be returned to the federal government or an
eligible nonfederal party named by the DAIL.
(i) The provider agency shall agree to the
transfer of equipment and supplies with a value of less than $1,000 to a new
provider if:
1. A new provider is selected:
a. As a result of competition; or
b. Due to a contract being terminated;
and
2. The transfer is
made within thirty (30) days from the date of receipt of notice from the
department made by:
a. Certified mail;
or
b. Return receipt
requested.
(j) Equipment and supplies shall be
transferred to the DAIL if no new provider has been secured.
Section 8. Record
Check.
(1) An applicant for employment or a
volunteer with direct client contact shall authorize the provider agency to
conduct a records check through the following:
(a) A criminal record check through the
Kentucky Justice Cabinet, Administrative Office of the Courts, or a national
criminal record check;
(b) The
Central Registry;
(c) The Adult
Protective Services Caregiver Misconduct Registry; and
(d) The Nurse Aid Abuse Registry.
(2) An applicant or volunteer with
a criminal record may be employed only with the approval of the executive
director of the provider agency if the individual has not been found guilty of
the following:
(a) A violent crime as defined
by
KRS
439.3401;
(b) Abuse, neglect, or exploitation of
another person, including assault;
(c) Felony theft offense; or
(d) Felony drug offense.
Section 9. Corrective Action.
(1) The department shall issue corrective
action if a provider agency is not fulfilling its contract or is non-compliant
with program requirements. Upon identification of the deficiency, the
department shall:
(a) Notify the provider
agency of the requirement to submit a written corrective action plan within the
time frame specified by the department;
(b) Review for approval or revision the
corrective action plan submitted by the provider agency which shall include:
1. How the deficiency will be
corrected;
2. Steps to ensure the
deficiency will not reoccur; and
3.
The timeline for full compliance;
(c) Monitor to ensure the corrective action
plan was initiated and completed to resolve the deficiency; and
(d) Notify other licensing or regulatory
agencies if the deficiency exists within their jurisdiction.
(2) A provider agency shall submit
documentation to confirm the deficiency was resolved.
(3) If the provider agency continues to be in
noncompliance, the department staff shall:
(a)
Notify the provider agency of the continuing problem or deficiency;
(b) Advise the commissioner of the DAIL of
the problem and make a recommendation for action; and
(c) Notify the provider agency of the action
that shall be taken by the department based on continued
non-compliance.
Section
10. Suspension of Funding or Termination of Contract.
(1) The department may temporarily suspend
operations or terminate the contract award in whole or in part if the provider
agency or service provider fails to adhere to the following:
(a) Contract award stipulations;
(b) Federal and state laws and
regulations;
(c) Department
policies and procedures;
(d) A
department approved corrective action plan; or
(e) Performance goals and
deliverables.
(2) To
suspend operations or terminate a contract, the department shall, thirty (30)
days prior to the effective date:
(a) Notify
the provider agency in writing of the action being taken;
(b) Provide the provider agency with the
reason for the action;
(c) Specify
the conditions of the suspension;
(d) Inform of the effective date of the
suspension; and
(e) Inform the
provider agency of the right to appeal the decision.
(3) The department shall grant to a provider
agency whose funding has been suspended in whole or in part or whose contract
has been terminated as a result, an opportunity for a hearing in accordance
with the provision set forth in
910 KAR
1:140.
(4)
The department may:
(a) Temporarily withhold
cash payments pending an approved corrective action plan by the provider agency
or pending a decision by the department to terminate the contract;
(b) Disallow both the use of funds and any
applicable matching funds for all or part of the cost not in
compliance;
(c) Wholly or partly
suspend or terminate the contract award;
(d) Withhold future awards; or
(e) Exercise any other remedies that may be
legally available.
(5)
The department may impose additional requirements for provider agencies for the
following:
(a) History of poor
performance;
(b) Financial
instability;
(c) A management
system that does not meet the prescribed standards; or
(d) Not conforming to the terms and
conditions of previous contract awards.
(6) Costs to a provider agency resulting from
obligations incurred during the suspension or after termination of a contract
award shall not be allowable unless the department:
(a) Expressly authorizes them in the notice
of suspension or termination of contract award; or
(b) Subsequently determines the expenses:
1. Are necessary and not reasonably
avoidable;
2. Result from
obligations which were properly incurred by the provider agency before the
effective date of the suspension or termination;
3. Are not in anticipation of the suspension
or termination and in the case of a termination are non-cancellable;
and
4. Would be allowable if the
award were not suspended or expired normally at the end of the funding period
in which the termination takes effect.
(7) In suspending operations or terminating a
contract, the department shall:
(a) Determine
the amount of unearned state and federal funds the provider agency has on hand
and interest earned, if any;
(b)
Request a return of funds for all unearned or unallowable funds received by the
provider agency from the department; and
(c) Designate a new provider agency to ensure
there is no break in the provision of services to consumers.
(8) Upon suspension or
termination, the provider agency shall be required to submit all financial,
programmatic, and other reports pursuant to the terms and conditions of the
contract.
(9) If the suspension of
operations continues for three (3) consecutive months in a budget year:
(a) Funding of operations shall be
terminated;
(b) Monetary assistance
from the department shall cease in whole or in part under a contract at a time
prior to the date of completion; and
(c) The department shall follow the
requirements of subsection (4) of this section.
(10) The department may, at its discretion,
reinstate the suspended operations if it determines that the provider agency
has come into compliance with the contract, federal and state regulations, and
department policies.
(11) The
department shall reimburse the provider agency according to the terms and
conditions of the contract for allowable program activities and cost upon
reinstatement of operations.
(12)
Operations may resume:
(a) Immediately upon
notification; or
(b) Within the
time period as designated by the department.
(13) Costs accrued for program operations
while a program is suspended shall not be reimbursed.
(14) The obligational authority unearned at
suspension shall become available for earning by the project at the previously
established matching ratio.
(15)
Termination of operational obligation or authority shall result in:
(a) Withdrawal of AAAIL designation that
shall comply with subsection (13) of this section; or
(b) Withdrawal of a contract for
services.
(16) The
department shall withdraw the AAAIL designation or contract if, after
reasonable notice and opportunity for a hearing, the department finds that:
(a) The AAAIL or provider agency does not
meet the requirements set out in Section 5 or Section 7 of this administrative
regulation;
(b) The plan or plan
amendment is not approved;
(c)
There is substantial failure in the provision or administration of an approved
area plan to comply with provisions of the area plan requirements under the
Older Americans Act; or
(d) There
is a request by the provider agency.
(17) If the department withdraws the AAAILs
designation or contract, it shall:
(a) Notify
the administrator of the ACL and the CHFS secretary in writing of its
action;
(b) Provide a plan for the
continuity of planning and services in the affected PSA; and
(c) Designate a new AAAIL or provider agency
in the PSA.
(18) To
ensure continuity of planning and services in a PSA, the DAIL may, for a period
of up to 180 days after its final decision to withdraw designation of an AAAIL
or contract with a provider agency:
(a)
Perform the responsibilities of the AAAIL or provider agency; or
(b) Assign the responsibilities of the AAAIL
or provider to another agency in the PSA.
(19) If necessary, the administrator of the
ACL may extend an additional 180 days if the state agency:
(a) Requests an extension; and
(b) Demonstrates to the administrator of the
ACL a need for the extension.
Section 11. Incorporation by Reference.
(1) The "DAIL-GA-01 Priority Screening Tool",
November 2014, is incorporated by reference.
(2) This material may be inspected, copied,
or obtained, subject to applicable copyright law, at the Department for Aging
and Independent Living, 275 East Main Street, Frankfort, Kentucky 40621, Monday
through Friday, 8 a.m. to 4:30 p.m.