910 KAR 1:220. General administration, programs for the elderly.

 

      RELATES TO: KRS 205.201, 205.203, 205.455-465.31, 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.

      STATUTORY AUTHORITY: KRS 194A.050, 205.204(2)

      NECESSITY, FUNCTION, AND CONFORMITY: 42 USC 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 authorizes the Cabinet for Health Services to adopt regulations as 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 Services as the state agency to administer the Older Americans Act in Kentucky. The function of this administrative regulation is to set forth the policies and procedures governing the general administration of the Older Americans Act in Kentucky, in compliance with the statutory requirement of KRS 13A.221 that requires a separate administrative regulation for each topic of general subject matter. This proposed administrative regulation consolidates the provisions of 905 KAR 8:010, 8:040, 8:050, 8:060, and 8:080.

 

      Section 1. Definitions. (1) "Area development district" means one (1) of the fifteen (15) regional planning and development agencies with which the Office of Aging Services contracts for the local delivery of aging services.

      (2) "Area agency on aging" means that local agency designated under the provisions of Title III of the Older Americans Act to administer funds received under that title for a given planning and service area.

      (3) "Administration on Aging" means that 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.

      (4) "Area plan" means the plan submitted by an area agency on aging for the approval of the Office of Aging Services which releases funds under contract for the delivery of services within the planning and service area.

      (5) "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.

      (6) "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.

      (7) "Local cash match" means cash donated to pay costs of centers or sites or services.

      (8) "Office" means the Office of Aging Services.

      (9) "Planning and service area" means that multicounty geographical entity in which a given area agency on aging is responsible for the delivery of aging services.

      (10) "Program income" means the gross income earned by a contractor from activities part or all of the cost of which is either borne as a direct cost by federal funds or counted as a direct cost towards meeting a cost sharing or matching requirement of federal funds.

      (11) "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.

 

      Section 2. The Office of Aging Services shall distribute federal and state funds for aging programs through contract allocation under authorization of:

      (1) Title III of the Older Americans Act, which shall be distributed by formula:

      (a) Funds authorized under the following categories shall be for the purpose of assisting the office and the area agencies on aging to develop or enhance for older persons, comprehensive and coordinated community-based services throughout the state:

      1. State administration;

      2. AAA - administration;

      3. State long-term care ombudsman, Title III-B;

      4. Supportive services, Title III-B;

      5. Congregate meals services, Title III C 1;

      6. Home-delivered meals services, Title III C 2;

      7. In-home services, Title III-D;

      8. Special needs services, if funds are available, Title III E;

      9. Elder abuse services, if funds are available, Title III G;

      10. Preventive health services, if funds are available, Title III F;

      11. Outreach services, if funds are available.

      (b) Except for the Office of the Long-Term Care Ombudsman and state administration, the office shall award the available funds to designated area agencies on aging according to the intrastate funding formula determined by the office after consultation with the area agencies on aging in the state and publication of the formula by the office for review and comment by older persons and the general public.

      (2) The Acts of the General Assembly, Kentucky Homecare Program, as amended, and a grant from the United States Department of Health and Human Services, the office shall distribute available state and federal funds to area development districts according to a funding formula determined by the office. The contracting agency may provide services directly, subcontract for all or part of the services, provide the services through other funding sources or through volunteer efforts. Regardless of the method, the contracting agency shall assure availability of the following services based on approved definitions under the homecare program:

      (a) Assessment;

      (b) Case management;

      (c) Chore;

      (d) Escort;

      (e) Home-delivered meals;

      (f) Home health aide;

      (g) Homemaker and home management;

      (h) Homemaker personal care;

      (i) Home repair;

      (j) Respite.

      (3) Title V of the Older Americans Act, the office shall distribute federal funds made available by the United States Department of Labor for the provision of useful part-time employment to low-income persons, fifty-five (55) years of age or older. The office shall allocate funds made available to designated agencies according to number of employment slots in each area. Designated agencies shall administer these funds either directly or by contract.

      (4) Funds authorized under other federal and state programs shall be for the purpose of assisting the office to develop or enhance for older persons, comprehensive and coordinated community-based services throughout the planning and service areas. The office shall allocate funds made available to designated area agencies on aging according to need and population, through contracts with area development districts. Designated agencies shall administer these funds either directly or by contract.

 

      Section 3. Responsibilities of the Office. (1) Advisory councils. The office shall:

      (a) Utilize the Institute for Aging as one (1) of the methods to obtain citizen participation;

      (b) Cooperate with the Council for Social Services as appropriate in accordance with its mandate; and

      (c) Participate on the Long-Term Care Coordinating Council and provide input in the area of long-term care for the elderly.

      (2) The office shall advocate for older persons in the Commonwealth pursuant to the Older Americans Act regulation 45 CFR 1321.13 and shall:

      (a) Review, monitor, evaluate and comment on federal, state and local plans, budgets, regulations, programs, laws, levies, hearings, policies and actions which affect or may affect older individuals and recommend changes in these which the office deems appropriate;

      (b) Provide technical assistance to agencies, organizations, associations or individuals representing older persons;

      (c) Review and comment, upon request, on applications to state and federal agencies for assistance relating to meeting the needs of older persons;

      (d) Conduct public hearings on the needs of older persons;

      (e) Represent the interests of older persons before appropriate legislative, executive branch and regulatory bodies in the Commonwealth;

      (f) Establish and operate the long-term care ombudsman program in accordance with the provisions of Section 307(12)(A) of the Older Americans Act; and

      (g) Require area agencies on aging to indicate in area plans advocacy activities in which they shall engage on behalf of the elderly.

      (3) The office shall encourage the appointment of older Kentuckians to boards and commissions in state and local governments in an effort to actively involve these individuals in the development of services and programs for the elderly. The office shall conduct the following activities in meeting this responsibility:

      (a) Work with citizens advocate groups participating on boards and commissions;

      (b) Assist agencies and organizations seeking appointees by identifying potential older people to serve on boards or commissions and referring them to the appropriate agencies or individuals;

      (c) Obtain information from agencies and organizations on qualifications for selection to boards or commissions, periods of service, and appointment dates; and

      (d) Transmit information on qualifications for membership or participation, period of service, and appointment and expiration dates to senior citizen organizations, service providers, and area agencies on aging for the future appointment of older people to boards and commissions.

      (4) Area agencies on aging designation and funding.

      (a) The Office of Aging Services shall designate planning and service areas (PSAs) in accordance with the provisions of Section 305(a)(1)(E) of the Older Americans Act and shall consider:

      1. The geographical distribution of individuals age sixty (60) and older in the Commonwealth;

      2. The incidence of the need for supportive services, nutrition services, multipurpose senior centers and legal assistance;

      3. The distribution of older individuals who have the greatest social need with particular attention to low-income minority individuals residing in these areas;

      4. The distribution of older Indians residing in these areas;

      5. The distribution of resources available to provide services or centers;

      6. The boundaries of existing areas within the Commonwealth which were drawn for the planning or administration of supportive services programs;

      7. The location of general purpose local government within the Commonwealth with regard to its PSA-wide service delivery capability; and

      8. Other factors deemed relevant.

      (b) In designating within each planning and service area (PSA) a public or private nonprofit agency or organization as the area agency on aging the office shall:

      1. Designate in accordance with Section 305(b)(5)(C) of the Older Americans Act according to the following:

      a. An established office of aging which is operating within a designated planning and service area and has a PSA-wide service capability;

      b. An office or agency of a unit of general purpose local government, which is designated to function only for the purpose of serving as an area agency on aging by the chief elected official of the unit;

      c. An office or agency designated by the appropriate chief elected officials of combinations of units of general purpose local government to act only on behalf of a combination for this purpose; or

      d. A public or nonprofit private agency in a planning and service area or a separate organizational unit within the agency which is under the supervision or direction for this purpose of the designated state agency and which can and shall engage only in the planning or provision of a broad range of supportive services, or nutrition services within the planning and service area.

      2. If designating a new area agency on aging, give right of first refusal to a unit of general purpose local government; and

      3. Give preference, if the unit of general purpose local government declines designation, to an established office on aging in conformity with Section 305(c)(5) of the Older Americans Act.

      (c) The office shall develop and make known to the area agencies on aging procedures for and conditions under which area plan funding may be suspended. The following shall be applied:

      1. The suspension of funding authority to an area agency on aging by the state agency temporarily suspends federal assistance under the area plan pending corrective action by the area agency on aging or pending a decision by the office to terminate the contract;

      2. If conditions warrant, the office may suspend area plan operations in whole or in part. The conditions shall result from the area agency on aging's failure to comply with contract award stipulations, standards or conditions;

      3. To suspend area plan operations, the office shall notify the area agency on aging in writing of the action being taken, the reason for the action and the conditions of the suspension. This notice shall be given at least thirty (30) days prior to the effective date of suspension and shall note the right of the area agency on aging to appeal the decision and the procedures to be followed for an appeal;

      4. The office shall grant to an area agency on aging whose area plan has been suspended in whole or in part an opportunity for a hearing in accordance with the provisions set forth in Section 15 of this administrative regulation;

      5. The office may, at its discretion, allow federal financial participation in necessary and proper costs which the area agency on aging may not reasonably avoid during the period of suspension;

      6. In suspending area plan operations, the office shall determine the amount of unearned Title III funds the area agency on aging has on hand. The anticipated length of suspension, the extent of area plan operations suspended, and the amount of funds balance on hand shall determine whether the office shall require the balance to be returned;

      7. The office may, at its discretion, reinstate the suspended area plan operations if it determines that conditions warrant;

      8. Federal participation in reinstated area plan operations may resume immediately upon reinstatement, but not for costs accrued for those area plan operations while they were suspended. The obligational authority unearned at suspension again becomes available for earning by the project at the previously established matching ratio; and

      9. If the suspension of area plan operations continues for three (3) consecutive months in a budget year, federal funding of area plan operations is automatically terminated.

      (d) The termination of funding means the cancellation of state or federal assistance, in whole or in part, under a contract at a time prior to the date of completion.

      1. The office may terminate state or federal support for an area plan prior to the end of an approved budget year or project period if:

      a. The area development district violates the conditions under which the contract was approved;

      b. Program performance is inadequate; or

      c. Nonfederal resources are not available.

      2. If the office terminates funding for an area plan, the office shall:

      a. Notify the area development district in writing of the actions being taken and the reasons for the action. This notice shall be given at least thirty (30) days prior to the effective date of termination;

      b. Specify reports to be completed;

      c. Notify the area agency on aging of the right to appeal; and

      d. The procedure to be followed for appeal.

      3. The office shall grant to the area development district whose area plan has been terminated in whole or in part an opportunity for a hearing.

      4. The office or the area development district may terminate the contract in whole, or in part, if both parties agree that the continuation of the project may not produce beneficial results commensurate with the further expenditure of funds. The two (2) parties shall agree upon the termination conditions, including the effective date and, if partial termination, the portion to be terminated. The area development district shall not incur new obligations for the terminated portion after the effective date, and shall cancel as many outstanding obligations as possible. The Office of Aging Services shall allow full credit to the area development district for the federal share of the noncancellable obligations, properly incurred by the area development district prior to termination.

      5. A termination of area plan obligation or authority which leads to withdrawal of designation shall comply with paragraph (e) of this subsection.

      (e) The office shall withdraw the area agency on aging designation if, after reasonable notice and opportunity for a hearing, the office finds that:

      1. The area agency on aging does not meet the requirements set out in paragraph (b)1 through 3 of this subsection;

      2. The plan or plan amendment is not approved;

      3. 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

      4. There is a request by the area development district.

      (f) If the office withdraws the area agency on aging's designation, it shall:

      1. Notify the commissioner of the administration on aging in writing of its action;

      2. Provide a plan for the continuity of services in the affected planning and service area; and

      3. Designate a new area agency on aging in the planning and service area in a timely manner.

      (g) If necessary to ensure continuity of services in a planning and service area, the Office of Aging Services may, for a period of up to 180 days after its final decision to withdraw designation of an area agency on aging:

      1. Perform the responsibilities of the area agency on aging; or

      2. Assign the responsibilities of the area agency on aging to another agency in the planning and service area.

      (h) If necessary the commissioner of the administration on aging may extend for a period of up to an additional 180 days the limit in paragraph (e) 3 of this subsection if the state agency:

      1. Requests an extension; and

      2. Demonstrates to the commissioner of the administration on aging a need for the extension.

      (i) The office shall initiate the designation withdrawal process and shall:

      1. Notify the area agency on aging of intent to withdraw designation, citing influencing factors and outlining steps to be taken in appeal of the intent;

      2. Extend to the area agency on aging a minimum of thirty (30) days in which to respond;

      3. Following the area agency on aging's response, if appropriate, the office may require of the area agency on aging the submission within an additional thirty (30) days a corrective action plan which may avert withdrawal of designation;

      4. If the area agency on aging requests a state hearing, the office shall assist in the facilitation of the hearing; and

      5. Following the appeal process, the office shall notify the area agency on aging in writing of the hearing.

      (j) Close-out procedures for the grant. If federal support for an area plan is terminated, the following shall apply:

      1. The area agency on aging shall immediately refund to the office unencumbered balance of cash advanced to the area agency on aging;

      2. The area agency on aging shall complete and submit to the office, within sixty (60) days after the date of completion or termination, a final program and financial report and other financial or performance reports required as a condition of the grant;

      3. The office shall make a settlement for the upward or downward adjustments to the federal share of costs after these reports are received;

      4. The area agency on aging shall dispose of equipment and supplies purchased with Title III funds in accordance with established policies of the Cabinet for Health Services. Funds realized from the sale of this equipment or supplies shall be an adjustment in program costs;

      5. If a final audit has not been performed prior to close-out of the grant, the office shall retain the right to recover an appropriate amount after fully considering the recommendations on disallowed costs resulting from the final audit; and

      6. The area agency on aging shall provide for the close-out of all subcontracted service providers in accordance with the Cabinet for Health Services policies.

      (5) The office shall coordinate and, as appropriate, enter into agreements with departments within the Cabinet for Health Services, Corrections Cabinet, Justice Cabinet, Administrative Office of the Courts, Public Advocacy, the Kentucky Department of Agriculture, Department of Transportation, and other state offices, study groups, and councils in the planning for and provision of health and supportive services to the elderly and to appropriately utilize funding sources. The office shall encourage area agencies on aging in advocacy roles to undertake activities on a regular basis which are designed to facilitate the coordination of plans and activities with other public and private agencies and organizations.

      (6) The office shall conduct, within budget limitations, activities to implement training and education programs which include the following:

      (a) Conduct annual assessments to informally identify training needs and develop correlating plans;

      (b) Identify and review resources available to meet training needs;

      (c) Develop a comprehensive education and training plan;

      (d) Seek additional resources to implement the plan;

      (e) Effect interagency coordination for the provision of specialized training;

      (f) Facilitate and assist the efforts of higher education in statewide forums of a gerontological orientation;

      (g) Coordinate education programs with private, public, governmental and educational organizations and institutions;

      (h) Provide and coordinate training opportunities for personnel of agencies and programs utilizing aging services' funding;

      (i) Provide training to area agencies and local programs on self-evaluation and monitoring; and

      (j) Provide training as part of the state training plan including ongoing technical assistance and annual program evaluation.

      (7) The office shall include assurances in the state plan that preference is given to older persons in greatest social or economic need in the provision of services under the plan and shall utilize the following methods for preference to older persons with the greatest economic or social need and low-income minority:

      (a) After consultation with the area agency on aging, develop and use an intrastate funding formula which shall reflect the proportion among the planning and service areas of persons age sixty (60) and over in greatest economic or social need with particular attention to low-income minority individuals;

      (b) Seek input from area agencies on aging and service providers in the development of methods for giving preference;

      (c) Review priorities for services and needs assessment data in order to determine the specific types of services most needed by the target population;

      (d) Encourage the location and access to senior centers and services in geographic areas which contain known populations of older persons with greatest economic or social need;

      (e) Encourage local coordination efforts with those agencies or organizations which provide services or entitlements to the target population; and

      (f) Monitor and evaluate area agencies on aging to ensure services are targeted to meet the needs of older persons with the greatest economic or social need, with particular attention to low-income minority individuals.

      (8) In compliance with 45 CFR 1321.17(f)(9), the office shall:

      (a) Have and employ appropriate procedures for data collection from area agencies on aging to permit the state to compile and transmit statewide data requested by the commissioner on aging in a form the commissioner directs on an annual basis.

      (b) Establish a statewide uniform reporting system to collect and analyze data relating to complaints and conditions in long-term care facilities for the purpose of identifying and resolving significant problems, with provision for submission of this data to the agency of the state responsible for licensing or certifying long-term care facilities in the state and to the commissioner on aging on an annual basis.

      (c) Require each area agency on aging to assure that providers of services shall provide the area agency on aging in a timely manner with statistical and other information which the area agency on aging requires to meet its planning, coordination, evaluation and reporting requirements.

      (d) Not request, nor shall an area agency on aging request, for the purpose of Older Americans Act reporting, information or data from providers which is not pertinent to services furnished pursuant to the Older Americans Act or a payment made for these services.

      (9) Each fiscal year the office in order to meet the required nonfederal share applicable to its allotments under Title III of the Older Americans Act, shall expend under the state plan for both services and administration at least the average amount of state funds it expended under the plan for the three (3) previous fiscal years. Funds made available under Title III Part D shall be in addition to, and shall not be used to supplant, funds that are or may be expended under a federal, state, or local law by a state or unit of general purpose local government, including area agencies on aging which have in their planning and services areas existing services which primarily serve older individuals who are victims of Alzheimer's disease and related disorders with neurological and organic brain dysfunction, and the families of these victims.

      (10) The office shall monitor the performance of programs and activities initiated under the Older Americans Act for quality and effectiveness and shall monitor other programs for which the office has administrative responsibility.

      (a) In compliance with the monitoring and evaluation responsibilities the office shall:

      1. Monitor and assess services as approved in area plans to determine compliance with contract requirements, approved area plans, and with applicable federal and state statutory requirements;

      2. Conduct annual or more frequently, if indicated on-site monitoring visits to the area development districts;

      3. Conduct on-site visits to assess and approve potential new service delivery sites;

      4. Monitor, through on-site visits, the implementation of new programs;

      5. Conduct on-site visits if problems occur to assess and make recommendations for improvement and to bring the program into compliance with the contract;

      6. Conduct on-site follow-up visits, as appropriate, to assure that the plan of correction has been implemented;

      7. Conduct monitoring through the review and analysis of reports submitted to the office by the area agencies on aging;

      8. Submit written evaluation of findings with recommendations regarding on-site monitoring visits to the area development district;

      9. Submit written evaluation of findings and recommendations regarding review and analysis of reports to the area development districts, if indicated; and

      10. Provide training to area agencies on aging and local programs on self-evaluation and monitoring.

      (b) The office shall take corrective action if a contractor is not fulfilling its contract.

      1. Upon identification of the deficiency, the office shall:

      a. Notify the contractor, describing the precise nature of the problem, identify the corrective action desired and the time frame in which the action shall be taken or the problem shall be resolved. The contractor shall submit a written corrective action plan as specified by the office. If the contractor deficiencies appear to endanger or seriously affect the health or welfare of participants or staff, corrective measures shall be taken immediately;

      b. Monitor and follow up, to assure that action was taken and the problem or deficiency resolved. The contractor shall submit documentation to confirm the problem or deficiency was resolved; and

      c. Notify other licensing or regulatory agencies if the problems are within their jurisdiction.

      2. If the contractor continues to be in noncompliance, the following procedures shall be implemented:

      a. The office shall notify the contractor of the continuing problem or deficiency and the action to be taken.

      b. The office shall advise the Executive Director of the Office of Aging Services of the problem and make a recommendation for the Cabinet for Health Services action.

      c. The contractor shall be advised of the actions that shall be taken if noncompliance continues. Actions include but are not limited to the following: renegotiation of the contract, employment of financial sanctions or cancellation of the contract.

      (11) The needs assessment and program analysis shall provide another means of coordination of needs and services, and shall provide area-specific information and a statewide summary. Persons age sixty (60) and over who are frail, homebound by reason by illness or incapacitating disability, or otherwise isolated shall be given priority in the delivery of services. Activities which shall be conducted to evaluate and determine the needs, specific groups within the aging population, and services which shall be addressed or receive top priority include the following:

      (a) Review and analyze the findings of the needs assessment and other surveys and documents that provide information regarding the needs of the elderly;

      (b) Compile and analyze data obtained from area and local program plans;

      (c) Conduct public hearings and compile and analyze data obtained;

      (d) Review and analyze census and other data which reflect the status of the elderly;

      (e) Gather and analyze client data from the homecare program and other applicable information systems;

      (f) Analyze program performance reports;

      (g) Analyze financial reports;

      (h) Conduct literature search;

      (i) Distribute needs assessment information related to the delivery or planning of services to the elderly; and

      (j) Establish statewide service priorities based on the needs assessment.

      (12) The office, as the state unit on aging, shall have an adequate number of qualified staff to carry out the functions prescribed in 45 CFR 1321.9 of the Older Americans Act regulations and other programs for which the office has administrative responsibility and shall, subject to the requirements of merit employment systems of state and local governments, give preference to individuals aged sixty (60) or older for staff positions in state and area agencies on aging for which individuals qualify.

      (13) The office 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. The office 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 older individuals with the greatest economic or social needs, with particular attention to low-income minority individuals;

      (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 area agency on aging a timely conducted public hearing prior to the consideration of a request of the office 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.

      (14) The office shall consider the views of older persons and the general public in developing and administering the state plan and shall:

      (a) Utilize methods which may include but are not limited to 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) If appropriate, advertise the date, time, location and purpose of each public hearing in at least one (1) major newspaper in the planning and service area in and for which the hearing is being held;

      (c) Respond to requests of the Institute for Aging for information and submit for its review and comment proposed plans, budgets, programs, policies and general initiatives;

      (d) Elicit input from appropriate external sources as opportunities present themselves;

      (e) Require area agencies on aging to develop procedures for receiving community and consumer participation in the planning and service delivery process in conformance with 45 CFR 1321.57(c) and 1321.61 (b); and

      (f) 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.

      (15) Required services.

      (a) The office shall assure that the area agency on aging allots an adequate proportion of its funding under Title III-B, excluding amounts waived or used for administration, for the provision of the following categories of services:

      1. Services associated with access to services for transportation, outreach, and information and referral;

      2. In-home services for homemaker, home health aide, visiting and telephone reassurance, chore maintenance, supportive services for families of elderly victims of Alzheimer's disease and related disorders; and

      3. Legal assistance.

      (b) If the office proposes to grant a waiver to an area agency on aging:

      1. The office shall publish the intention to grant a waiver together with the justification for the waiver at least thirty (30) days prior to the effective date of the decision to grant the waiver;

      2. An individual or service provider from the area with respect to which the proposed waiver applies may request a hearing before the state agency on the request for waiver; and

      3. The office shall afford the individual or service provider an opportunity for a hearing within the thirty (30) day period prior to the effective date of the decision to grant the waiver.

      (c) If the office grants a waiver of the requirement the following information shall be provided to the commissioner, administration on aging (AOA):

      1. A report regarding the waiver that details the demonstration made by the area agency on aging to obtain the waiver;

      2. A copy of the record of the public hearing conducted which indicates the notification of the interested parties and the testimony of these individuals; and

      3. A copy of the record of a public hearing conducted by the office for an individual or service provider from the area to which the waiver applies.

      (16) A waiver of the office administration and program requirements based on federal or state laws and regulations shall be allowed by the office only if there is federal or state statutory provision to grant a waiver.

      (17) The office shall conduct joint meetings with the area agencies on aging (AAAs). The office, as the state unit on aging, is mandated to coordinate statewide planning and development of activities, and provide technical assistance to each area agency on aging to ensure effective procedures for coordination of programs within the planning and service area and shall:

      (a) Notify the area agencies on aging in writing in advance of the date the joint meeting shall take place.

      (b) Solicit input from the area agencies on aging as to the topics and concerns to address and discuss at the joint meeting.

 

      Section 4. Area Agencies on Aging Responsibilities. (1) Each area agency on aging shall establish an advisory council as follows:

      (a) Functions of council. The area advisory council shall carry out advisory functions which further the area agency's mission of developing and coordinating community-based systems of services for older persons in the planning and service area. The council shall advise the agency relative to:

      1. Developing and administering the area plan;

      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) Composition of council. The council shall include individuals and representatives of community organizations who shall help to enhance the leadership role of the area agency in developing community-based systems of services. 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 development district;

      4. Representatives of supportive services providers organizations;

      5. Persons with leadership experience in the private and voluntary sectors;

      6. Local elected officials; and

      7. The general public.

      (c) Review by advisory council. The area agency on aging shall submit the area plan and amendments for review and comment to the advisory council before transmittal to the office for approval.

      (2) Area agencies on aging shall be required to serve as the public advocate for the development or enhancement of comprehensive and coordinated community-based systems of services in each community throughout the planning and service area. The area agency on aging shall:

      (a) Monitor, evaluate, and provide comment on policies, programs, hearings, levies, and community actions which affect older persons;

      (b) Solicit comments from the public on the needs of older persons;

      (c) Represent the interests of older persons to local-level and executive branch officials, public and private agencies or organizations;

      (d) Consult with and support the Commonwealth's long-term care ombudsman program;

      (e) Undertake on a regular basis activities designed to facilitate the coordination of plans and activities with other public and private organizations, including units of general purpose local government, with responsibilities affecting older persons in the planning and service area to promote new or expanded benefits and opportunities for older persons;

      (f) Undertake a leadership role in assisting communities throughout the planning and service area to target resources from appropriate sources to:

      1. Meet the needs of older persons with greatest economic or social need, with particular attention to low-income minority individuals; and

      2. Influence the location of services and specialization in the types of services most needed by the above-referenced group; and

      (g) Prohibit grantees or contractors from employing a means test for services funded from the area agency on aging.

      (3) The area agency on aging shall ensure that service providers verify eligibility of those individuals participating in the Title III programs utilizing the Title III Age Verification and Eligibility form, except for those individuals utilizing only ombudsman, legal, outreach, and information and referral services.

      (a) Prior to the implementation of the contract, the area agency on aging shall review with the Title III subcontractors their procedures for documenting participant age or other eligibility determinants.

      (b) Subcontractors' records shall include the following information:

      1. The participant's age or birth date;

      2. The method of verifying the reported age;

      3. The staff involved in the verification process;

      4. Other eligibility determinants; and

      5. Verification of other eligibility determinants.

      (c) The area agency on aging shall approve the subcontractor's form and procedures, if other than the state form, and forward a copy of the information to the Office of Aging Services, prior to the implementation of the contract, for final approval.

      (d) Require verification of eligibility only once even though the participant may receive both supportive and nutrition services.

      (e) Not require verification of eligibility to be updated each fiscal year if the subcontractor maintains the participant's central file or if a new subcontractor makes arrangements for the transfer of the verification information.

      (f) Participants who receive services from different subcontractors need verify eligibility only once under the following conditions:

      1. The area agency on aging designates a subcontractor as the primary agency responsible for verifying eligibility and for maintaining and filing the verification information;

      2. Other subcontractors may contact the primary agency to confirm that eligibility has been verified. The primary agency may send to the requesting subcontractor a copy of the eligibility verification, which is filed in the record, or may give the information verbally. Verbal confirmation of eligibility shall be documented in the participant's record. The record shall include data specified in paragraph (b)1 through 5 of this subsection.

      (4) The area agency on aging shall be the leader relative to aging issues on behalf of older persons in the planning and service area. The agency shall proactively carry out, under the leadership and direction of the Office of Aging Services, a wide range of functions related to the development or enhancement of comprehensive and coordinated community-based systems in, or serving, each community in the planning and service area.

      (a) A comprehensive and coordinated community-based system shall:

      1. Have a visible focal point of contact for anyone to go or call for help, information or referral on an aging issue;

      2. Provide a range of options;

      3. Assure that these options are readily accessible to older persons; the independent, semidependent and totally dependent, no matter what their income;

      4. Include a commitment of public, private, voluntary and personal resources committed to supporting the system;

      5. Involve collaborative decision-making among public, private, voluntary, religious and fraternal organizations and older people in the community;

      6. Offer special help or targeted resources for the most vulnerable older persons, those in danger of losing their independence;

      7. Provide effective referral from agency to agency to assure that information or assistance is received no matter how contact is made in the community;

      8. Evidence sufficient flexibility to respond with appropriate individualized assistance, especially for the vulnerable older person;

      9. Have a unique character which is tailored to the specific nature of the community; and

      10. Be directed by leaders in the community who have the respect, capacity, and authority necessary to convene interested persons, assess needs, design solutions, track overall success, stimulate change and plan community responses for the present and for the future.

      (b) For the purpose of assuring access to information and services for older persons, the area agency on aging shall work with community leadership in the planning and service area to designate one (1) or more focal points on aging in each community, as appropriate. The area agency on aging shall:

      1. List designated focal points in the area plan;

      2. Define "community" as it relates to population served by a given focal point; the definition shall be approved by the office;

      3. Give special consideration to developing and designating multipurpose senior centers as focal points;

      4. Assure that services financed under the Older Americans Act, in or on behalf of the community shall be either based at, linked to or coordinated with the focal points;

      5. Assure access from the focal points to services financed under the Older Americans Act;

      6. Work with or work to assure that community leadership works with other applicable agencies and institutions in the community to achieve maximum comprehensive arrayal of, coordination with or access to other services and opportunities for the elderly from the focal points; and

      7. Refrain from engaging in an activity which is inconsistent with its statutory mission prescribed in the Older Americans Act or policies prescribed by the state under regulation 45 CFR 1321.11.

      (5) Each area agency on aging shall provide for adequate and qualified staff to perform its functions and shall:

      (a) Function organizationally as prescribed under designation provision of Section 305(b)(5)(C) of the Older Americans Act;

      (b) Have on file for review a staffing plan that identifies the number and types of staff assigned to carry out area agency on aging responsibilities and functions;

      (c) Indicate in the area plan staffing patterns and relationships if the area agency on aging is housed under an umbrella organization; and

      (d) Respond to corrective action initiatives and general information requests of the office if issues arise concerning staffing practices.

      (6) Each designated area agency on aging shall prepare and develop, for a specified planning and service area, a plan of duration as determined by the office. Each plan shall be subject to amendment by the area agency on aging upon request of the office and shall include:

      (a) Procedures for delivery, through a comprehensive and coordinated system, of an array of supportive, nutrition and other services as may be prescribed under federal, state and local programs and policies;

      (b) Description of arrangements with local providers to ensure the delivery of these services and identification of the service providers;

      (c) Assurances that categorical service allotments shall be expended in the manner prescribed by policy of the Office of Aging Services;

      (d) Designation, if feasible, of multipurpose senior centers as community focal points for comprehensive service delivery;

      (e) Procedures for establishment and maintenance of information and referral services to assure access to services;

      (f) Procedures for ensuring preferential consideration in the provision of services to older individuals with greatest economic or social needs, targeting low-income minority individuals, in compliance with all federal and state statutory and regulatory provisions and Office of Aging Services policy;

      (g) Procedures for identifying for each previous fiscal year the number of low-income minority older individuals in the planning and service area and for describing methods used to satisfy their service needs;

      (h) Procedures for outreach efforts which assure service access by eligible individuals and which target the rural, disabled and low-income minority elderly and those general population older persons with greatest social need;

      (i) Procedures for conducting periodic evaluation of and public hearings on activities carried out under the area plan;

      (j) Procedures for providing technical assistance to service providers and focal points and for an annual evaluation of the effectiveness of outreach;

      (k) Procedures for receiving the views of service recipients;

      (l) Procedures for serving as the advocate and focal point for the elderly within the community;

      (m) Procedures, if needed, for the provision by existing organizations of day care for adults and respite for their families;

      (n) Procedures for establishing an advisory council of older individuals, including minority elderly and program participants, representatives of older individuals, local elected officials, providers of veterans health care and the general public, to advise routinely on the development and administration of the area plan and the operations for which it provides;

      (o) Procedures for developing and publishing methods by which services, particularly those identified through state policy as access services, are prioritized;

      (p) Procedures for effective and efficient coordination of programs and services operated or delivered in accordance with all state and federal statutory and regulatory provisions;

      (q) Procedures for facilitating the coordination of community-based long-term care services emphasizing the development of client-centered case management;

      (r) Procedures for determining the service needs of abused, neglected and exploited older individuals, and for identifying public and private nonprofit entities involved in prevention, identification and treatment of these individuals;

      (s) Procedures which facilitate the involvement of long-term care providers in coordination of community-based long-term care services and for working to ensure community awareness of and involvement in addressing the needs of residents of long-term care facilities;

      (t) Procedures which facilitate the coordination of access services with community activities which benefit victims of Alzheimer's disease and the families of these victims;

      (u) Procedures which facilitate the coordination of area agency-funded mental health services with those provided by other community organizations;

      (v) Procedures for conducting outreach activities, if feasible, to identify eligible older Indians and ensure access to services;

      (w) Procedures for compiling and disseminating in the planning and service area enrollment policies and course-study information of institutions of higher education specifically related to older individuals;

      (x) Procedures for conducting outreach activities to identify older individuals eligible for supplemental security income, Medicaid and food stamp benefits; for informing them of eligibility requirements; and for assisting them in accessing those benefits;

      (y) Assurances that funds received under Title III shall be expended in accordance with applicable state and federal statutory and regulatory provisions and with Office of Aging Services' policy; and

      (z) Assurances that, if applicable, operation of the district long-term care ombudsman program shall be in accordance with state and federal statutory and regulatory provisions and with Office of Aging Services' policy.

      (7) Each area agency on aging shall have a plan for denial, suspension or reduction of services to eligible persons. Each plan shall be maintained on file at the area agency on aging and shall be accessible for monitoring purposes. The plan shall specify, at a minimum:

      (a) 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 the client no longer meets the criteria established for receiving services; or

      (b) The office shall receive written notice of actions other than those listed in paragraph (a)1 through 3 of this subsection which may result in the denial of access to a program to an eligible participant.

      (8) The area agencies on aging shall implement, within budget limitations, education and training programs that respond to the needs of senior citizens, service providers and other groups as needs are identified and funding sources become available. Activities which shall be conducted by the area agency on aging to implement training and education programs include the following:

      (a) Conduct annual assessments to informally identify training needs and develop correlating plans;

      (b) Identify and review resources available to meet training needs;

      (c) Develop a comprehensive education and training plan;

      (d) Seek additional resources to implement the plan;

      (e) Effect interagency coordination for the provision of specialized training;

      (f) Facilitate and assist the efforts of higher education in statewide forums of a gerontological orientation;

      (g) Conduct and coordinate specific training on aging programs districtwide;

      (h) Coordinate education programs with private, public, governmental and educational organizations and institutions;

      (i) Conduct training for area advisory councils;

      (j) Specify the training requirements of the service providers;

      (k) May enter into contracts through the area development districts with providers of education and training services which can demonstrate the experience or capacity to provide these services, except that these contract authority shall be effective for a fiscal year only to the extent, or in amounts as are provided in appropriate Acts; and

      (l) Plan and implement staff development initiatives.

      (9) Each area development district 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. Federal share (percent) of the cost;

      5. Acquisition cost and date;

      6. Unit cost;

      7. Location, use and condition of the equipment and date this equipment was obtained;

      8. Information on the disposition of the item.

      (b) There shall be a system to prevent loss, damage, or theft and adequate maintenance procedures to keep equipment in good condition.

      (c) Purchase of equipment with a unit cost of $500 or more requires prior approval from the Office of Aging Services.

      (d) Equipment which is replaced may be traded in, or may be sold and the proceeds applied to the acquisition cost. If equipment with a unit cost of $1,000 or more is to be disposed of, not replaced, the granting agency has the right to require transfer of the equipment and title to an eligible party. If approved by the granting agency, the equipment may be sold with the federal share of the proceeds applied to the program as program income. 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 cabinet's Office of Aging Services.

      (e) The area development district shall agree to the transfer of items of equipment and supplies with a value of less than $1,000 to a new provider, if a new provider is selected as a result of competition, or if a contract is terminated by the provider or the cabinet, and a new provider is secured. This equipment and supplies shall be transferred to the cabinet's Office of Aging Services if no new provider has been secured. If there is a termination of a contract or a selection of a new provider, the transfer shall be made within thirty (30) days from the date of receipt of notice from the office, this notice to be by certified mail, return receipt requested.

      (10) Area agency on aging responsibilities for monitoring and evaluation shall:

      (a) Permit staff of the Cabinet for Health Services, persons acting for the Cabinet for Health Services, and staff designated by appropriate federal agencies to monitor and evaluate programs and activities initiated under the Older Americans Act and other programs for which the office has administrative responsibility;

      (b) Respond to monitoring reports prepared by the office by submission of and compliance with a corrective action plan based on monitoring findings;

      (c) Be responsible for fiscal or program exceptions established by evaluation, monitoring or audit and promptly settle monitoring, fiscal and program audit exceptions by making direct payment, or reduction of future reimbursement, or by other methods approved by the Cabinet for Health Services;

      (d) Furnish appropriate technical assistance to providers of supportive services, nutrition services, or multipurpose senior centers in the planning and service area covered by the area plan and conduct an annual evaluation of the effectiveness of outreach;

      (e) Conduct periodic evaluations of, and public hearings on, activities carried out under the area plan;

      (f) Monitor, evaluate, and, if appropriate, comment on the policies, programs, hearings, levies, and community actions which affect older persons;

      (g) Monitor and assess services as approved in area plans to determine compliance with contract requirements, approved area plans, and with applicable federal and state statutory requirements;

      (h) Submit written evaluation of findings with recommendations regarding on-site monitoring visits and reports to the service providers;

      (i) Require the service provider to permit staff of the Cabinet for Health Services, persons acting for the Cabinet for Health Services, and staff designated by appropriate federal agencies to monitor and evaluate programs and activities initiated under the Older Americans Act and other programs for which the office has administrative responsibility; and

      (j) Require the service provider to have provision for interview of clients by persons and agencies listed in paragraph (i) of this subsection, and the area agency on aging, except if confidentiality requirements are applicable.

      (11) The area development districts shall adhere to the procurement requirements contained in the references and shall:

      (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 requirements of OMB Circular A-102 and other federal, state and local requirements. Procedures shall include:

      1. Method for resolving protests, disputes and claims;

      2. Written code or standards of conduct;

      3. Review process to avoid unnecessary purchases or duplicative items;

      4. Affirmative action standards which encourage contracting with minority-owned, small businesses;

      5. Methods for procurement; and

      6. Evaluation and selection criteria.

      (d) Efforts shall be made by the area development districts to formally advertise programs and services. If the area development districts choose to utilize noncompetitive negotiations, they shall clearly document, and maintain on file, that only one (1) responsible provider is available, capable and qualified to provide the service; and that by using noncompetitive negotiations, open and free competition shall not be restricted. Area development districts shall maintain records sufficient to detail the significant history of the procurement. In addition to maintaining these documents on file, the area development districts shall provide, upon request, copies to the office, prior to subcontracting, supporting noncompetitive negotiations.

      (12) Area agencies on aging shall conduct public hearings on area plans prior to their submission to the office. Amendments to area plans determined by the office to be nonadministrative in nature shall also be subject to public hearings. Area agencies on aging shall comply with the following provisions in scheduling public hearings:

      (a) The selected hearing site shall be that most readily accessible to residents in the planning and service area.

      (b) Notice of the hearing date, time and location shall be advertised in the area media at least ten (10) days prior to the hearing.

      (c) A copy of the area plan or amendment shall be available for public review during the ten (10) working day period prior to the scheduled public hearing and the opportunity for review publicly advertised.

      (d) A verbal presentation on the plan or amendment shall be given at the public hearing and written summaries of the plan or amendment made available for distribution. Area agency staff shall be present to respond to questions from the audience, which shall be encouraged.

      (e) The area agency shall elicit from the audience both verbal and written recommendations and extend for a period of up to two (2) weeks the opportunity to submit comments.

      (f) Written suggestions and summaries of verbal comments shall be kept on file by the area agency on aging for the duration of the plan.

      (13) The area agencies on aging shall comply with the following program reporting requirements of the office:

      (a) A quarterly program performance report shall be submitted to the office fifteen (15) calendar days after each quarter in accordance with format and instructions provided by the office.

      (b) An annual program performance report shall be submitted to the office for the federal fiscal year October 1 - September 30 in accordance with format and instructions provided by the office.

      (c) A homecare quarterly report shall be submitted to the office in accordance with format and instructions provided by the office.

      (d) A monthly meal count report for Title III and homecare shall be submitted to the office by the 15th of each month following the month reported.

      (e) The statewide computerized reporting system shall be utilized to collect information on homecare services in accordance with the homecare reporting instructions. This system shall be utilized and maintained in accordance with instructions and format provided by the office.

      (f) Title V progress reports shall be submitted to the office fifteen (15) to twenty (20) calendar days after the end of each quarter in accordance with format and instructions provided by the office.

      1. Title V monthly narrative reports shall be submitted on local administration, job development, enrollee activities, orientation, on-the-job training, coordination and cooperation between agencies, outstanding activities, or problem areas.

      2. Information on individual Title V enrollees shall be submitted at least annually or as various enrollee activities occur. Information shall include program certification or income eligibility, physical examination, client intake, job description, and evaluation activities.

      (g) Special reports shall be required by the office as periodically specified. These reports may include but are not limited to:

      1. Evaluations of outreach activities. In accordance with the Older Americans Act, Section 306(a)(6)(P), area agencies on aging shall conduct evaluations of outreach activities as prescribed by guidelines received from the Administration on Aging.

      2. Evaluation of unmet need. In accordance with the Older Americans Act regulations, Section 1321.52, the office shall submit objectively collected and statistically valid data with evaluative conclusions concerning the unmet need for supportive services, nutrition services, and multipurpose senior centers gathered pursuant to Section 307(a)(3)(A) of the Older Americans Act to the Administration on Aging. The evaluations shall consider services in these categories regardless of the source of funding for the services. This information shall conform to guidance issued by the administration on aging.

      (14) The area agency on aging 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 office as part of the quarterly program performance report.

      (b) The waiting list for homecare services shall be updated monthly and shall include persons awaiting assessment, those assessed, and those for whom additional services are needed.

      (c) The system shall be based on either a first-come, first-served basis or an approved objective method to prioritize applicants.

      (d) Applicants shall be advised and presented with the written procedures and method of facilitating the waiting list.

      (e) Applicants who are determined to be potentially eligible based on prescreening information gathered by the case manager may be placed on a waiting list.

 

      Section 5. Service Provider Responsibilities. (1) Each service provider shall specify in writing to the area development district how the provider intends to satisfy the needs of low-income minority individuals in the area served. The provider shall provide services to low-income minority individuals at least in proportion to the numbers of low-income minority older persons in the population served by the provider.

      (2) The service provider shall provide the area agency on aging with statistical and other information which enables the area agency on aging to conform with state-required planning, coordination, evaluation and reporting provisions.

      (3) The service provider shall provide for each homemaker providing services funded through the office a comprehensive training course designed by the office.

 

      Section 6. Participant Responsibilities. (1) To receive services from a program or service administered by the office, the participant shall:

      (a) Sign an application for services within thirty (30) days of receiving services or if the client is unable for physical or mental reasons to consent and has a legal guardian, caregiver, spouse or other proxy, the application shall be signed by that person.

      (b) Signify the following voluntarily by signing the application:

      1. Verification of income, if questionable except for Title III, which prohibits a means test;

      2. Release of information to specified agencies;

      3. Access by the cabinet and the area development district to the participant's records for monitoring purposes; and

      4. Understanding by the participant of "participant responsibilities".

      (2) If either party feels that an offense has occurred, recourse shall be sought through the mediation, grievance, or complaint procedures established by the provider, the area development district or the office.

      (3) Participant services shall not be suspended by a provider agency until the case manager, center director or agency director has determined that the provisions of the care plan cannot be met due to the behavior of the participant or family. Services may be suspended if the service provider or case manager deems that a worker shall be at imminent risk or danger. The provider agency shall report suspension of services immediately to the area agency on aging who shall investigate the suspension and make a final determination.

      (4) A written report which documents the grounds requiring suspension, attempts to resolve the situation and written notice that the client may file a grievance under fair hearing procedures shall be forwarded to the area development district or to the office if the area development district provides case management directly.

      (5) If conflicts or disagreements occur involving either staff or participants regarding mutual respect, the following steps shall be followed:

      (a) A verbal warning to the staff or participant for the first conflict;

      (b) A written warning for a second conflict;

      (c) Suspension;

      (d) In situations of suspension as described in subsection (3) of this section, a written report which documents the grounds requiring suspension, attempts to resolve the situation and written notice that the client may file a grievance under the fair hearing procedures shall be forwarded to the area development district or to the Office of Aging Services if the area development district provides case management directly; and

      (e) Detailed written records shall be maintained for the service provider.

      (6) The following shall be excluded from subsections (1) through (5) of this section:

      (a) Residents and family members who receive services under the long-term care ombudsman program.

      (b) Participants and providers of intake and referral, outreach and legal assistance.

      (c) Congregate services provided in or arranged by a senior citizens center, nutrition site or other provider. Senior centers, nutrition sites, day care or other congregate programs may develop and display conspicuously a policy of mutual respect as appropriate for the congregate location.

 

      Section 7. Confidentiality and Disclosure. (1) Client information obtained by the office or its contractors from an older person shall not be disclosed by the provider or agency in a form that identifies the person without the informed consent of the person or legal representative unless the disclosure is required by court order, or for program monitoring by authorized federal, state or local monitoring agencies.

      (2) The office, the area agencies on aging, and the service providers shall refer reports of abuse, neglect, exploitation or spouse abuse received to Adult Stability and Safety, Department for Community-Based Services.

      (3) The office shall not be required to disclose those types of information or documents that are exempt from disclosure by a federal agency under the Federal Freedom of Information Act, 5 USC 552.

      (4) The office or an area agency on aging shall not require a provider of legal assistance to reveal information that is protected by attorney-client privilege.

      (5) Each area agency on aging shall have written confidentiality procedures.

 

      Section 8. Center and Nutrition Site Operation. The office shall set minimum requirements for the types of service sites. Title III-B or Title III-C services shall be funded at a site only if the site has been approved by the office. A site shall not become operational until an on-site visit by the office has been completed and express approval given by the office, except for emergency situations.

      (1) The following criteria shall apply to the types of service sites:

      (a) Services shall comply with the standard service definitions as governed by 910 KAR 1:170, Support services for the elderly.

      (b) Prior to approval of any Title III-B or III-C site, it shall be inspected by the following:

      1. Local health department for compliance with applicable health codes. These codes shall vary depending on the types of services provided at the site;

      2. Local fire department for compliance with fire and building safety codes; and

      3. Office shall conduct on-site visits for compliance with Section 307(a)(8) of the Older Americans Act.

      (c) Sites shall be located as near as possible to the target group of individuals.

      (d) Sites shall comply with the confidentiality and disclosure requirements.

      (e) Sites shall be clearly identified to the public with a sign.

      (f) Location of the facility.

      1. The selection of a site for a center shall be based on information on older people in its service area and on the advice of public and voluntary agencies serving the elderly. The following factors shall be given consideration in choosing a site:

      a. Demographic information and projections;

      b. Accessibility to the maximum number of people who are socially or economically deprived;

      c. Proximity to other services and facilities;

      d. Convenience to public or private transportation or location within comfortable walking distance for participants;

      e. Free of structural barriers or difficult terrain; and

      f. Safety and security of participants and staff.

      2. A center shall take necessary actions to create for handicapped older people barrier-free access and movement within the facility in conformance with the requirements of Section 504 of the Rehabilitation Act of 1973.

      3. Arrangements shall be made for security of facility equipment, furniture, and files.

      4. If appropriate, the facility shall make arrangements to offer activities and services at other locations in its service area.

      5. If feasible, the location shall be a place the people in the service area feel free to attend and participate.

      (g) Safety requirements of local, state, and federal laws shall be met.

      1. The center shall be free of physical hazards.

      2. Signs shall be visible for exits, entrances, and other areas of importance.

      3. Bathrooms and kitchens shall include safety features appropriate to their special uses.

      4. Procedures for fire safety shall be adopted, including fire drills, inspection, and maintenance of fire extinguishers, periodic inspection and training by fire department personnel.

      5. Procedures for disaster other than fire shall be developed and posted.

      6. The facility shall be properly maintained and repaired as appropriate.

      (h) Existing service sites that do not meet the above requirements shall comply with a corrective action plan administered by the office.

      (2) Nutrition site requirements.

      (a) Each nutrition site shall have an individual, either volunteer or paid staff, who is responsible for the administration of the site. At least one (1) staff person shall be present at the site during hours of operation.

      (b) Minimum services which shall be available at a nutrition site are:

      1. At least one (1) hot meal shall be provided two (2) or more days a week.

      2. Arrangements for outreach services shall be in place. These services may be funded by III-B or III-C.

      3. Information and referral shall be available through the nutrition site.

      4. Nutrition education shall be available through the nutrition site.

      (c) An optional service may be home-delivered meals.

      (d) The total number of participants to be served shall be adequate to justify the cost of operating the site.

      (e) Meals may be either prepared on site, catered, or prepared in a central kitchen.

      (3) Senior service site requirements.

      (a) Each senior service site shall have an individual, either paid or volunteer staff, who is responsible for the administration of the site. At least one (1) staff person shall be present at the site during hours of operation.

      (b) At a minimum, services shall be provided on a regularly scheduled basis, and be in operation two (2) or more days per week.

      (c) The total number of participants to be served shall be adequate to justify the cost of operating the site.

      (d) Minimum services which shall be available at this site:

      1. Outreach activities, in addition to one (1) or more services, shall be provided;

      2. Congregate meals shall not be provided at this site; and

      3. Information and referral shall be available through the senior service site.

      (4) Senior center requirements.

      (a) Each senior center shall have an individual, either paid or volunteer staff who is responsible for the administration of the center. At least one (1) staff person shall be present at the site during hours of operation.

      (b) The senior center shall be open at least four (4) hours a day, three (3) or more days per week.

      (c) The total number of participants to be served shall be adequate to justify the cost of operating this center.

      (d) Minimum services which shall be available at this center:

      1. Services which are available at a nutrition site, with emphasis on outreach activities; and

      2. At least one (1) additional supportive service shall be provided at this center.

      (5) Multipurpose senior citizens center responsibilities.

      (a) Each multipurpose senior citizens center shall have a full-time center director and an adequate number of qualified full-time or part-time staff to administer the center and provide quality service.

      (b) At a minimum, a multipurpose senior citizens center shall be open six (6) hours per day and five (5) days per week.

      (c) The total number of participants to be served shall be adequate to justify the cost of operating this center.

      (d) Minimum services which shall be available at a multipurpose senior citizens center:

      1. The services which are available at a nutrition site with emphasis on mandated outreach services;

      2. At least one (1) component service shall be provided in each of the following categories:

      a. Access services which includes transportation, outreach and information and referral;

      b. In-home services which includes homemaker, home health aide, telephone, visiting reassurance and chore maintenance;

      c. Other services which may be provided include services to residents of care-providing facilities, health-related services, volunteer activities, placement, individual and group activities and other services as defined by the office standard service definitions.

      (6) Altering center operations.

      (a) Prior approval shall be obtained from the office by an area agency on aging which intends to:

      1. Close a center or open a new senior center;

      2. Change the hours or days of operation;

      3. Change the location of the center;

      4. Change the method of providing services in a manner that affects availability of ongoing services;

      5. Substantially reduce the level or number of services.

      (b) Justification for the change shall include:

      1. The proposed effective date of this change;

      2. Need or reason for the change;

      3. The number of participants affected by this particular change or action;

      4. Whether this change is temporary or permanent; explanation;

      5. The cost benefit;

      6. If a change is being made to an existing center, whether this facility was altered, renovated or constructed with Older Americans Act funds; date work was completed;

      7. Whether the area agency on aging advisory council recommended this change;

      8. What provisions are proposed to continue services to these participants; and

      9. For a proposed new center, costs involved in meeting local fire, health, safety and sanitation regulations.

      (c) A request to open a new center shall include copies of the completed health and fire department inspection forms and completed Title III site and focal point pages, if applicable.

      (d) If meal preparation at a new center is proposed, notify the office and the local fire and health departments.

      (e) The office shall review the information submitted and if necessary or feasible conduct an on-site visit before a determination is made.

      (f) In case of altered center operations due to damages caused by fires, floods, storms, high winds, and tornadoes, the Office of Aging Services shall be notified by telephone that emergency alterations are necessary. Prior approval shall be obtained by telephone from the Office of Aging Services on a conditional basis under emergency circumstances with final approval pending written documentation of the proposed change; local fire, health and safety inspections, and an on-site visit by the office.

 

      Section 9. Sectarian Use of a Facility. With respect to the acquisition (in fee simple or by lease for ten (10) years or more), alteration, or renovation of existing facilities, or the construction of new facilities, the office shall assure that Title III funds shall not be used for sectarian instruction or to provide a facility for religious worship. The prohibition does not preclude the use of a facility owned by a religious organization for the delivery of services to the elderly.

 

      Section 10. Contracts. (1) The office shall designate planning and service areas in the state and shall make a contract under an approved area plan with one (1) area agency (area development district) in each planning and service area for the purpose of building comprehensive systems for older persons throughout the state. The area development district, in turn, shall contract with service providers to perform certain specified functions. Each contract negotiated shall contain at least the following:

      (a) A complete detailed description of services to be provided by the contractor;

      (b) A complete description of other responsibilities of the contractor including: records retention, reporting requirements, cost-sharing, and compliance with applicable assurances, laws, and regulations;

      (c) A complete description of the cabinet's responsibilities and commitments to the contractor including: technical assistance which shall be provided and activities which the cabinet shall perform in order for the contractor to meet its obligations;

      (d) A complete description of the basis for reimbursement to the contractor for services rendered including:

      1. Rates;

      2. Frequency of billing;

      3. Invoice requirements;

      4. Office site for invoices to be submitted; and

      5. A budget if applicable;

      (e) Assurances regarding the rights of cabinet personnel or designees; state or federal officials or auditors; or independent auditors to inspect records and monitor service delivery of the contractor relative to evaluation and audits;

      (f) A requirement that the contractor accepts responsibility for an audit exceptions arising from its failure to comply with the terms of the contract including regulations applicable to federally-funded activities;

      (g) A final invoice for services rendered under the contract shall be submitted to and received by the Office of Aging Services no later than thirty (30) days following the expiration date of the contract, unless a written request for waiver of this deadline is submitted by the contractor and approved by the Office of Aging Services fifteen (15) days prior to the expiration date and accompanied by a signed statement from the contractor that it is the final invoice and that no further billings shall be sent to the Office of Aging Services relative to cost for services provided under the agreement; and

      (h) A clause that either party shall have the right to terminate the contract upon thirty (30) days written notice served on the other by registered or certified mail.

      (2) A certified public accountant shall be engaged by an area development district to make independent audits of the area development district's financial and other records for the period for which the contract is in effect.

      (a) The certified public accountant engaged by the area development district shall make an independent audit of the area development district's financial and other records for the period for which the contract is in effect, and submit an original of the audit to the Kentucky Department of Local Governments and a copy of the audit to the office properly certified by the certified public accountant, not later than ninety (90) days after the end of the period or upon completion of an organization-wide audit conducted in accordance with OMB A-128 and the Single Audit Act of 1984, PL 98-502. The engagement letter between the area development district and its certified public accountant shall contain the following clauses:

      1. The auditor shall, in accordance with generally accepted auditing standards, examine the agency's final expenditure reports as required and issue a report on the examination. Specifically included within the scope of this examination are the following audit procedures:

      a. The auditor shall familiarize himself with the agency's approved cost allocation plan as submitted to the Kentucky Department of Local Government or to the area development district if provider agency is a subcontractor of the area development district and verify that the agency used the correct accounting methodology to derive the expenditures presented on the above-mentioned final expenditure reports;

      b. The audit report shall contain a supplemental schedule that consolidates individual subcontractor's final expenditure reports into a total expenditure report for each major service program. While the auditor may disclaim an opinion on this supplemental schedule, he shall verify its mathematical accuracy;

      c. The auditor shall familiarize himself with applicable requirements as set forth in the Office of Aging Services' aging policies, contract requirements, and applicable federal requirements. Deviations from these requirements which, in the judgment of the independent auditor, relate to substantive program or financial matters, shall be furnished directly by the auditor to the Kentucky Office of Aging Services.

      (b) The cabinet, Kentucky Auditor of Public Accounts, U.S. Department of Health and Human Services, U.S. General Accounting Office, and other appropriate federal agencies retain the right to audit and review the area development district's records and accounts for a period of three (3) years from the date of the last payment received for the contract period, or until audited and audit exceptions are resolved; and

      (c) The final audited fiscal report, reconciled with the audit, shall be submitted not later than ninety (90) days after the ending date of the contract, or upon completion of an organization-wide audit conducted in accordance with OMB A-128 and the Single Audit Act of 1984, PL 98-502, or, if termination or cancellation occurs, not later than sixty (60) days after notice of the termination or cancellation. The cabinet has the right to deny payment for a fiscal report that does not comply with this provision.

      (3) The office shall authorize the carry over of federal funds on a case-by-case basis. Area agencies on aging shall submit a narrative request for permission to carry over federal funds explaining the reason for a fund surplus and the intended use of these funds. Under Title III of the Older Americans Act, carry-over federal funds shall be matched with fifteen (15) percent local funds and no state general funds shall be carried over. Program income shall be expended in the same year in which it is collected. Each area agency on aging shall be advised to plan, administer and monitor its programs in a manner which assures that funds are utilized in the year in which they are allocated.

      (4) The contractor shall certify that it shall not violate a conflict of interest statute or other applicable statute or principle by the performance of the contract.

      (5) Contributions.

      (a) Contributions or donations, as pertains to Title III programs, made by participants and other contributors shall be considered program income and shall be utilized to expand services provided under the Older Americans Act. Each service provider shall have an established method for providing the opportunity for participants to voluntarily contribute to the estimated cost of services rendered. Participants may be provided information to assist them in determining the amount, if any, of an individual contribution. If the participant is unable to contribute, that person shall not be denied services for failure to contribute. A means test shall not be used.

      (b) Confidentiality of contributions from participants and other contributors shall be assured. Collection of contributions shall be done in a discreet manner. No written acknowledgement of the amount of contributions shall be issued except upon request of the person making the contribution when the contribution is made. Participants desiring a record of their contributions shall be encouraged to use checks if making contributions. To insure against loss, mishandling or theft of contributions, the following procedures shall be followed:

      1. Two (2) persons, a participant and a staff person, shall be selected at each site to be responsible for counting and recording contributions daily;

      2. Provision shall be made for safe-keeping of money from the date of collection until the provider arranges for transfer of funds. This shall be a locked box placed in a safe or a secure cabinet, file closet, or daily deposit; and

      3. Funds shall be verified and collected at least weekly by the service provider.

      (6) In-kind contributions shall be allowed to be used for the purpose of meeting the match if state funds, available local cash, and program income are not enough to provide the match required to obtain maximum federal funds.

      (a) The subcontractor shall provide to the area agencies on aging certified statements of donated items;

      (b) Match verification requirements shall be completed by the service provider and submitted to the area agency on aging if applicable; and

      (c) The Cabinet for Health Services shall retain the right to request a review of these documents.

      (7) In accordance with the contract, the contractor or area development district shall have a properly executed fidelity bond. The bond shall be sufficient to cover maximum sums handled quarterly under the contract with the Office of Aging Services; and a copy shall be provided to the Office of Aging Services no later than sixty (60) days from the effective date of the contract. Bonds required shall be obtained from companies holding certificates of authority as acceptable sureties.

      (8) Matching requirements.

      (a) The area agency on aging shall meet the matching requirements through allowable costs and third party in-kind contributions, program income or cash. Match may be cash or in-kind. Match, whether it is cash or in-kind, shall meet the following requirements:

      1. It shall not be supported with federal funds;

      2. It shall be an allowable cost;

      3. It shall be included in the accounting records and audit; and

      4. It shall not be used to match other federal program.

      (b) Certification of the appropriate match amount shall be submitted to the Office of Aging Services by the area agency on aging on a quarterly basis. The match requirement shall be met by category by the end of each quarter of the fiscal year. The procedure for certifying match shall be as follows:

      1. The area agency on aging monthly financial reports shall indicate the amount of match collected and applied during the month;

      2. At the end of the quarter, the financial report shall indicate the total amount of funds necessary to meet the match requirement, by category, for the quarter; and

      3. Requests for reimbursement shall reflect the amount of federal and state funds that is due based on expenditures and match. The Office of Aging Services shall not penalize contractors in terms of reimbursement of federal and state funds during the first two (2) months of the quarter if the required match is not documented on the report. The required amount of match shall be documented at the end of each quarter. Adjustments, decreases if necessary, in payment shall be made at this time.

      (9) Program income shall pertain to revenue received by service agencies under contract or subcontract with the office to conduct programs and provide services which are paid for either fully or partially with federal or matching funds. Program income includes participant contributions, proceeds from the sale of equipment or property, and rental fees. Program income shall be spent during the same fiscal year it is collected and shall be used to further the objectives of the aging program. The cost principles applicable to federal funds also apply to program income. Program-related income, under Title III, shall be used in either the additive alternative in 45 CFR 92.25(g)(2) or the cost-sharing or matching alternative in 45 CFR 92.25(g)(3) or a combination of the two (2). The deduction alternative described in 45 CFR 92.25(g)(1) shall not be permitted.

      (10) The area development district and subcontractors shall maintain records pertaining to the contract for a period of not less than three (3) years after the matters pertaining to the contract are resolved in accordance with applicable federal and state laws, regulations and policies.

      (11) The area development district may enter into subcontracts only upon receipt of a final contract with the Cabinet for Health Services. To conduct activities or services on its behalf, the area development district may enter into subcontracts, and amendments thereof, with profit-making corporations with prior approval of the Cabinet for Health Services. Recipients of awards shall be incorporated to safeguard the interest of the cabinet, the area agency on aging, the recipient of the award itself, the individuals involved in the delivery of services, and the individuals participating in the program, unless award is made to an individual under a personal service contract.

      (a) The area development district shall execute a formal subcontract for those activities and services to be conducted by an agency or organization other than the area development district. The subcontract shall contain sufficient program and fiscal information to assure that the activities and services under an approved plan shall be conducted in conformity with the Older Americans Act. Once a subcontract has been executed by an area development district to carry out a service or activity under an approved plan, the subcontract shall be forwarded within thirty (30) days to the office and made part of the approved area plan.

      (b) If the unit cost rate of a fixed rate subcontract is increased, a subcontract amendment reflecting the increase shall require prior review by the area agency on aging advisory council, approval by the area development district board and approval of the office.

      (12) The office shall require prior approval of transfers of funds allocated to area development districts. With respect to Title III funds, the following shall apply:

      (a) The area agency on aging may elect, in its area plan to transfer a portion of the funds for use as the area agency on aging considers appropriate to meet the needs of the area served;

      (b) The area agency on aging may elect to transfer between allotments up to a percentage, set by the office, of an agency's separate allotments for congregate and home-delivered nutrition services;

      (c) The area agency on aging may elect to transfer not more than a percentage, set by the office, of the funds allotted for a fiscal year between programs under part B and part C of Title III, for use as the agency considers appropriate;

      (d) Title III funds shall not be transferred from Part B, C1, C2 after approval of the original budget by the office; and

      (e) If the area agency on aging proposes to transfer more than the above percentages from one (1) allotment to another, the request shall be submitted to the office by March 1 of each approaching fiscal year and shall be by written request with justification for each transfer.

 

      Section 11. Medication Assistance. Providers other than licensed home health agencies may allow staff to assist participants in medication usage. Assistance shall be provided only by staff who have received training in medication assistance and only to individuals whose care plans include this service.

      (1) The assessor or case manager shall:

      (a) Conduct an assessment of the individual to determine the presence of sensory or functional impairment which may indicate problems with taking medication.

      (b) Collect information from the client on medications, including prescriptions and over-the-counter drugs and the following:

      1. Name and dosage of the medication;

      2. Purpose of the medication;

      3. The amount of the medication ordered;

      4. Amount to be taken each time and when;

      5. The physician's name.

      (c) Prepare a list of medications prescribed including the times at which they shall be taken.

      (d) If a client is using over-the-counter medications or home remedies, contact the client's physician or pharmacist to secure approval for their continued use.

      (2) The provider shall:

      (a) Set up a schedule to be followed daily. After each medication has been taken, the provider shall check it off. Refer to the schedule and remind the client if medicine is due.

      (b) Assure that the correct medication is given by checking the prescription label before giving the medicine bottle to the client.

      (c) Assure that the method of taking the medication is followed.

      (d) Explain to the client the importance of taking prescription or over-the-counter medication as directed.

      (e) Place certain medications within the client's reach so that the client can place these tablets under the tongue the moment chest pain occurs.

      (f) Put away sleep and pain medications after each use. Sleeping pills and other addicting drugs shall be used only as ordered by the doctor.

      (g) Review the evening medication schedule with the client, being sure the client knows the method and time to take medications if no assistance can be given, leaving the medications within easy reach of the client and encouraging the client to take nighttime doses in a well-lit room.

      (h) If the client has questions about the medications, encourage the client to consult his doctor.

 

      Section 12. Volunteers. Each area agency on aging shall develop mechanisms for volunteer recruitment and training. The office shall coordinate with the foster grandparent program, retired senior volunteer program, senior centers, and other agencies or organizations in the provision of meaningful volunteer services. The office shall review proposals for continuation of volunteer programs, comment to the respective agencies, and submit letters of support upon request of the applicant agencies.

 

      Section 13. Records Check. In the programs administered by the office, applicants for employment and volunteers with direct client contact shall be requested to authorize the release of police records to the area development district using a request for police record search. An applicant or volunteer with a criminal record may be employed only with the approval of the executive director of the area development district. It shall not be a condition of employment for the applicant to authorize the release of police records. It shall not be a condition of participant eligibility in the Title V program for the applicant to authorize the release of police records. Title V participants applying to be employed by the area development district or service provider in direct ongoing program responsibilities shall authorize the release of police records.

 

      Section 14. State Plan. The office shall develop and submit for federal approval and funding a state plan for the delivery of services to the elderly in accordance with the provisions of Section 307 of the Older Americans Act and which advances the state agency mission as set forth under 45 CFR 1321.7. Administration of the state plan shall be subject to the federal legislative and regulatory provisions and Office of Aging Services policies.

      (1) The state plan shall include:

      (a) Identification of the single state agency that has been designated to develop and administer the plan;

      (b) Statewide program objectives to implement the requirements under Title III of the Older Americans Act and subsequent objectives established through the rulemaking process;

      (c) A resource allocation plan indicating the proposed use of all Title III funds directly administered by the state agency, and the distribution of Title III funds to each planning and service area;

      (d) Identification of the geographic boundaries of each planning and service area and of area agencies on aging designated for each planning and service area;

      (e) Provision of prior federal fiscal year information relating to low-income minority and rural older individuals as required by Sections 307(a)(23) and (29) of the Older Americans Act;

      (f) Assurances and provisions required in Sections 305 and 307 of the Act and requirements under 45 CFR 1321.5-1231.75; and

      (g) Assurances as prescribed by the Commissioner of the U.S. Administration on Aging.

      (2) The office shall provide for amendments to the state plan on aging services in accordance with the provisions of 45 CFR 1321.19. The state plan shall be amended to:

      (a) Reflect new or revised federal statutes or regulations.

      (b) Reflect a material change in any law, organization, policy or state agency operation.

      (c) Reflect information required annually by Sections 307(a)(23) and (29) of the Older Americans Act.

      (3) The office shall submit for prior approval of the commissioner of the Administration on Aging proposed amendments to the state plan required under 45 CFR 1321.17(a) or (f); and shall notify the commissioner of changes of provisions under 45 CFR 1321.17(b) through (d).

      (4) The office shall exercise the right of appeal and request for hearing on federal disapproval of state plan on aging services under the provisions of Sections 307(c) and 207(d) of the Older Americans Act which are subject to the provisions of 45 CFR Part 213.

 

      Section 15. Hearing Procedures for Area Agency on Aging. (1) The office shall provide an opportunity for a hearing to area agencies on aging if the office proposes the following adverse actions:

      (a) Disapproves the area plan or plan amendment submitted by the area agency as specified in 45 CFR 1321;

      (b) Withdraws the area agency on aging's designation as provided in 45 CFR 1321; or

      (c) Denies an application for designation as a planning and service area under 45 CFR 1321.

      (2) If a complaint is filed, the area agency on aging shall be afforded:

      (a) An opportunity to review pertinent evidence on which the adverse action was based;

      (b) An opportunity to appear in person before a group which shall render an impartial decision to refute the basis for the decision;

      (c) An opportunity to be represented by counsel;

      (d) An opportunity to present witnesses and documentary evidence;

      (e) An opportunity to cross-examine witnesses; and

      (f) A written impartial decision which sets forth:

      1. The reasons for the decision;

      2. The evidence on which the decision is based; and

      3. A statement explaining the complainant's rights to appeal.

      (3) Complaints filed by area agencies on aging shall be as follows:

      (a) Area agencies on aging shall file a written request for a hearing with the Executive Director, Office of Aging Services, within thirty (30) days following its receipt of the notice of the adverse action. The request shall contain reasons for the appeal.

      (b) If a request for a hearing is received, the Executive Director, Office of Aging Services, shall:

      1. Appoint a hearing officer and provide written notification of the appointment to the interested parties;

      2. Notify the area agency on aging of the date, time and location of the hearing;

      3. Make arrangements for official recording of the hearing and retain the official transcript, if transcribed, of testimony and other material submitted. Interested parties may obtain transcripts of hearings upon request to the Office of Aging Services and upon payment at rates that do not exceed the actual cost. An expense shall be borne by persons requesting the transcript;

      (c) The Office of Aging Services may terminate formal hearing procedures if the office and area agency on aging, and other interested parties participating in the hearing, negotiate a written agreement that resolves the issue which led to the hearing.

      (d) It is the responsibility of the hearing officer to conduct a fair and impartial hearing, avoid delay, and maintain order. In so doing, he has authority that includes but is not limited to:

      1. Regulating the course of the hearing;

      2. Regulating the participation and conduct of parties, amicus curiae, and others at the hearing;

      3. Ruling on procedural matters and, if necessary, issuing protective orders or other relief to a party against whom discovery is sought;

      4. Taking an action authorized by the regulations;

      5. Administering oaths and affirmations;

      6. Examining witnesses;

      7. Receiving or excluding evidence;

      8. Ruling on or limiting evidence or discovery; and

      9. Recommending a final decision.

      (e) The final decision on an area agency on aging appeal to the Office of Aging Services shall be rendered by the Executive Director, Office of Aging Services. The decision of the executive director shall contain information from the federal regulations 45 CFR 1321 regarding appeal rights.

      (f) The Office of Aging Services shall complete the hearing within eighty (80) days of the date the request for hearing was received by the state agency. The state agency shall issue the hearing decision within ten (10) working days after the hearing is completed.

 

      Section 16. Hearing Procedures for Title III Subcontractors or Applicants to be Subcontractors. Subcontractors or applicants to be subcontractors of area agencies on aging shall be provided an opportunity for a hearing whose application to provide services under an area plan is denied or a service provider funded under Title III whose subcontract is terminated or not renewed except as provided in 45 CFR Part 74 Subpart B.

      (1) The procedure for complaints lodged by service providers or applicants to provide services who are subcontractors shall be as follows:

      (a) The service provider or unsuccessful applicant to provide services shall contact the contracting agency to try to work out a satisfactory solution.

      (b) If a complaint is filed, the complainant shall comply with the contracting agency's hearing procedures which shall include the following provisions:

      1. A service provider or unsuccessful applicant to provide services aggrieved by an adverse action of a contracting agency shall, within ten (10) working days from receipt of notice of the adverse action, file a written complaint with the agency;

      2. The contracting agency shall notify all parties of interest that a complaint has been filed and determine a time and place for the hearing;

      3. An opportunity to review pertinent evidence on which the adverse action was based;

      4. An opportunity to appear in person before an individual or a group of three (3) persons which can render an impartial decision to refute the basis for the decision;

      5. An opportunity to be represented by counsel;

      6. An opportunity to present witnesses and documentary evidence;

      7. An opportunity to cross-examine all witnesses; and

      8. A written impartial decision within ten (10) days of receipt of complaint which sets forth:

      a. The reasons for the decision;

      b. The evidence on which the decision is based; and

      c. A statement explaining the complainant's rights to appeal.

      (2) If the complainant is not satisfied with the decision of the contracting agency, the complainant shall file a notice of appeal within five (5) working days of the adverse action to the area development district and the area development district board of directors shall be responsible for the provision of a full evidentiary hearing within twenty (20) days of receipt of written notice of the complaint in order to render a final impartial decision. It shall be the responsibility of the area development district to provide an official transcript of the hearing at the final local appeal level to include all testimony, a copy of findings of fact, conclusions of law and final order, along with other evidence and exhibits submitted for the record. An impartial decision shall be made as soon as practicable or within ten (10) working days.

      (3) The hearing shall be limited to those issues included in the original complaint. Only those issues shall be addressed unless issues have been added, modified, or deleted through written agreement of the involved parties.

      (4) The complainant may drop the complaint if satisfied with the response of the area development district. If the complainant is not satisfied, the complainant may appeal to the Office of Aging Services for a state-level review within five (5) working days from the time the decision is received.

      (5) Upon receipt of the request, the hearing officer appointed by Office of Aging Services shall request the transcript of the hearing before the area development district board of directors and notify interested parties that the appeal has been filed. Upon proper motion of any interested party, the hearing officer may dismiss an appeal if it was not timely filed, or remand the appeal to the area development district board of directors if the appellant did not exhaust his administrative remedies at the local level.

      (6) The hearing officer shall make a determination of the issues based on the transcript of the hearing before the area development district board of directors. New evidence shall not be introduced during the appeal to the Office of Aging Services unless it is determined by the hearing officer that additional evidence is necessary in order to make a decision.

      (7) The hearing officer shall forward his recommended decision to the Executive Director, Office of Aging Services, within ten (10) days of receipt of appeal. The final decision shall be rendered by the Executive Director, Office of Aging Services, within ten (10) working days after receipt of hearing officer's recommendation. The decision of the Executive Director of the Office of Aging Services shall be the final order.

 

      Section 17. Material Incorporated by Reference. (1) Forms necessary for the implementation of the general administration of programs for the elderly are being incorporated by reference.

      (2) Material incorporated by reference may be inspected and copied at the Office of Aging Services, CHR Building, 5th Floor, 275 East Main Street, Frankfort, Kentucky 40621. Office hours are 8 a.m. to 4:30 p.m. (18 Ky.R. 1763; Am. 2291; eff. 1-10-92; Recodified from 905 KAR 8:220, 10-30-98; Recodified from 923 KAR 1:220, 7-8-1999; TAm eff. 6-14-2013.)