COMMENT DUE DATE:
February 1, 2011
DATE:
January 13, 2011
Jennifer K. Case, ASD (405) 521-4489
Dena Thayer, OIRP Programs Administrator (405) 521-4326
Nancy Kelly, OIRP (405) 522-6703
RE:
APA WF 10-20
The proposed policy is Permanent . This proposal will go to the Commission meeting on
CHAPTER 105. AGING SERVICES DIVISION
Subchapter 10. Policies and Procedures Manual for Title III of the Older Americans Act of 1965, as Amended
Part 3. State Agency
OAC 340:105-10-12 [AMENDED]
Part 7. Program Standards for Services Funded Under Title III
OAC 340:105-10-64 [AMENDED]
Part 9. Fiscal and Administrative Policies for Area Agencies on Aging and Title III Projects
OAC 340:105-10-102 [AMENDED]
OAC 340:105-10-108 [AMENDED]
OAC 340:105-10-110.1 [AMENDED]
OAC 340:105-10-121 [AMENDED]
(Reference APA WF10-20)
SUMMARY:
The proposed revisions to Subchapter 10 Policies and Procedures Manual for Title III of the Older Americans Act of 1965, as Amended of Chapter 105 amend the rules to: (1) change authority and add cross references for clarification purposes; (2) to change State Council on Aging policy to match by-law changes; and (3) match audit dollar amounts to agency fiscal policy.
OAC 340:105-10-12 is amended to delete the Adult Day Services Association of Oklahoma as a member as the organization no longer exists and to add past work considerations in the nomination of Area Agency on Aging Council members.
OAC 340:105-10-64 is amended to change the authority of the statute from 102(31) to 102(33) to reflect the amended numbering system of the Older Americans Act.
OAC 340:105-10-102 is amended to add the OKDHS Administrative cross-reference of 340:2-5-44 regarding appeal procedures.
OAC 340:105-10-108 is amended to increase audit amounts from $25,000 to $50,000 to comply with OKDHS contract language and the Office of Inspector General audit guidelines.
OAC 340:105-10-110.1 is amended to increase audit amounts from $25,000 to $50,000 to comply with OKDHS contract language and the Office of Inspector General audit guidelines.
OAC 340:105-10-121 is amended to clarify language from OMB Federal Circulars A-87 and 133 regarding "fair and equitable" to include that salary and fringe for employees must be consistently applied to both Federal and non-Federal activities.
PERMANENT RULEMAKING APPROVAL IS REQUESTED.
LEGAL AUTHORITY:
Commission for Human Services, Article XXV and Sections 2 and 4 of the Oklahoma Constitution.
Rule Impact Statement
To:Programs administrator
Office of Intergovernmental Relations and Policy
From:Lance Robertson, Director
Aging Services
Date:November 29, 2010
Re:CHAPTER 105. Aging Services Division
Subchapter 10. Policies and Procedures Manual for Title III of the Older Americans Act of 1965, as Amended
Part 12. State Council on Aging
OAC 340:105-10-12 [AMENDED]
Part 64. Legal Services
OAC 340:105-10-64 [AMENDED]
Part 102. Appeal Procedures for Title III Service Providers
OAC 340:105-10-102 [AMENDED]
Part 108. Audits of government entities and nonprofits receiving less than $25,000 in federal and state funds from all sources
OAC 340:105-10-108 [AMENDED]
Part 110.1. Audits of government entities and nonprofits receiving between $25,000 and $500,000 in federal and state funds from all sources
OAC 340:105-10-110.1 [AMENDED]
Part 121. Area Agency on Aging and Title III project salaries
OAC 340:105-10-121 [AMENDED]
(Reference APA WF 10-20)
Contact: Jennifer K. Case, 405-521-4489
A.Brief description of the purpose of the proposed rule:
Purpose.The proposed revisions to Subchapter 10 Policies and Procedures Manual for Title III of the Older Americans Act of 1965, as Amended of Chapter 105 amend the rules to change authority and add cross references for clarification purposes, to change State Council on Aging policy to match by-law changes, and to increase audit dollar amounts to match other agency fiscal policy.
Strategic Plan impact. The proposed rules achieve OKDHS goals by continuously improving systems and processes to achieve OKDHS goals.
Substantive changes.
OAC 340:105-10-12 is amended to delete the Adult Day Services Association of Oklahoma as a member as the organization no longer exists and to add past work considerations in the nomination of Area Agency on Aging Council members.
OAC 340:105-10-64 is amended to change the authority of the statute from 102(31) to 102(33) to reflect the amended numbering system of the Older Americans Act.
OAC 340:105-10-102 is amended to add the OKDHS Administrative cross-reference of 340:2-5-44 regarding appeal procedures.
OAC 340:105-10-108 is amended to increase audit amounts from $25,000 to $50,000 to comply with OKDHS contract language and the Office of Inspector General audit guidelines.
OAC 340:105-10-110.1 is amended to increase audit amounts from $25,000 to $50,000 to comply with OKDHS contract language and the Office of Inspector General audit guidelines.
OAC 340:105-10-121 is amended to clarify language from OMB Federal Circulars A-87 and 133 regarding "fair and equitable" to include that salary and fringe for employees must be consistently applied to both Federal and non-Federal activities.
Reasons. The proposed revisions clarify language for OKDHS service providers to ensure proper authority and cross-references are available to all services providers and match policies instituted by other entities.
Repercussions. The proposed rules will ensure policy has clearly documented authority and cross-references for all levels of service delivery.
Legal authority.Commission for Human Services, Article XXV and Sections 2 and 4 of the Oklahoma Constitution.
Permanent approval. Permanent rulemaking approval is requested.
B.A description of the classes of persons who most likely will be affected by the proposed rule, including classes that will bear the costs of the proposed rule, and any information on cost impacts received by the Agency from any private or public entities: The classes of persons most likely to be affected by the proposed rules are stakeholders of Aging Service Division including Area Agencies on Aging and Title III service providers. The affected classes of persons will bear no costs associated with implementation of the rules.
C.A description of the classes of persons who will benefit from the proposed rule: None.
D.A description of the probable economic impact of the proposed rule upon the affected classes of persons or political subdivisions, including a listing of all fee changes and, whenever possible, a separate justification for each fee change: The revised rules do not have an economic impact on the affected entities. There are no fee changes associated with the revised rules.
E.The probable costs and benefits to the Agency and to any other agency of the implementation and enforcement of the proposed rule, the source of revenue to be used for implementation and enforcement of the proposed rule and any anticipated effect on state revenues, including a projected net loss or gain in such revenues if it can be projected by the Agency:The probable cost to OKDHS includes the cost of printing and distributing the rules, which is estimated to be less than $100.
F.A determination whether implementation of the proposed rule will have an impact on any political subdivisions or require their cooperation in implementing or enforcing the rule: The proposed rules do not have an economic impact on any political subdivision, nor will the cooperation of any political subdivisions be required in implementation or enforcement of the rules.
G.A determination whether implementation of the proposed rule will have an adverse economic effect on small business as provided by the Oklahoma Small Business Regulatory Flexibility Act:There are no anticipated adverse effects on small business as provided by the Oklahoma Small Business Regulatory Flexibility Act.
H.An explanation of the measures the Agency has taken to minimize compliance costs and a determination whether there are less costly or nonregulatory methods or less intrusive methods for achieving the purpose of the proposed rule: There are no less costly or nonregulatory methods or less intrusive methods for achieving the purpose of the proposed rules.
I.A determination of the effect of the proposed rule on the public health, safety, and environment and, if the proposed rule is designed to reduce significant risks to the public health, safety, and environment, an explanation of the nature of the risk and to what extent the proposed rule will reduce the risk:None.
J.A determination of any detrimental effect on the public health, safety, and environment if the proposed rule is not implemented:None.
K.The date the rule impact statement was prepared and, if modified, the date modified:Prepared November 29, 2010. Modified December 22, 2010.
CHAPTER 105. AGING SERVICES DIVISION
SUBCHAPTER 10. POLICIES AND PROCEDURES MANUAL FOR TITLE III OF THE OLDER AMERICANS ACT OF 1965, AS AMENDED
PART 3. STATE AGENCY
340:105-10-12. State Council on Aging
Revised 6-1-08
(a) Policy.The State of Oklahoma has a State Council on Aging that meets meeting the requirements of for the Older Americans Act (OAA), and the Aging Services Division's (ASD's) Division (ASD) need for statewide representation from older Oklahomans and service providers.
(b) Authority.The authority for this Section is Section 305 of the OAA of 1965, as amended and the Oklahoma State Council on Aging Bylaws.
(c) Procedures.The State Council on Aging is composed of 31 30 members, who are at least 18 of whom are 60 years of age or older, residents of the state, and who have demonstrated an interest in, knowledge of, and accomplishments regarding exhibited achievements with respect to the concerns of older persons.At least 18 of the members are 60 years of age or older.
(1) Members of the State Council on Aging include:
(A) one member appointed by the Governor;
(B) one member appointed by the President Pro Tempore of the State Senate;
(C) one member appointed by the Speaker of the House of Representatives; and
(D) 26 27 members appointed by the Oklahoma Department of Human Services (OKDHS) Director and include:
(i) five members who are 60 years of age or older who and are participating consumers or volunteers working regularly in aging programs and are chosen from Area Agency on Aging (AAA) advisory council nominees.Each of the AAA advisory councils submit council submits one nominee for consideration from their respective planning and service areas.The consumer or volunteer nominee members chosen include residents of rural counties and represent citizens from all varied economic levels: whose duration and frequency of work, past and present, is considered.
(ii) one nominee member from nominees is submitted by entities to include (I) through (XIII):
(I) Oklahoma Association of Area Agencies on Aging;
(II) Oklahoma State Department of Health;
(III) Oklahoma State Department of Mental Health, gerontological representative;
(IV) Oklahoma Senior Corps Directors Association;
(V) Oklahoma State Nutrition Directors Association;
(VI) Urban League, alternating by term between Oklahoma City and Tulsa chapters;
(VII) Oklahoma Indian Council on Aging;
(VIII) Oklahoma AARP;
(IX) Oklahoma Federation of Chapters of the National Association of Retired Federal Employees;
(X) Adult Day Services Association of Oklahoma;
(XI)(X) Oklahoma Alliance on Aging;
(XII)(XI) Oklahoma Retired Educators Association;
(XIII)(XII) Silver Haired Legislature Alumni; and
(XIV)(XIII) Oklahoma Health Care Authority; and
(iii) nine at-large members nominated and appointed by the OKDHS Director to ensure ethnic, geographical, and demographical balance in the State Council on Aging.
(2) Duties of the State Council on Aging include:
(A) informing entities of communicating the needs, conditions, and concerns of older Oklahomans to include with entities including the:
(i) Oklahoma Commission for Human Services;
(ii) OKDHS Director and the Aging Services Division (ASD) director;
(iii) State of Oklahoma Governor's Office;
(iv) Oklahoma State Legislature;
(v) United States Oklahoma Congressional Delegates;
(vi) state agencies;
(vii) federal agencies; and
(viii) general public;
(B) reviewing and commenting on all policies, budget appropriations, planning regulations, and legislation that could benefit or adversely impact older Oklahomans, and advocating for their concerns and issues of older Oklahomans, while maintaining high visibility and a strong voice;
(C) monitoring and evaluating the provision of services to older persons within Oklahoma Oklahomans;
(D) conducting public forums and seeking input on the needs, or conditions, of older Oklahomans and seeking public input on programs, or issues involving older persons Oklahomans; and
(E) advising the ASD director on all matters pertaining to:
(i) development and implementation of policies, budget appropriations, planning, regulations, and standards;
(ii) effective and efficient administration of division programs;
(iii) development of training and educational programs; and
(iv) administration of other ASD functions of ASD.
PART 7. PROGRAM STANDARDS FOR SERVICES FUNDED UNDER TITLE III
340:105-10-64. Legal services
Revised 5-13-02
(a) Policy.Legal services include the provision of legal advice, counseling, and representation by attorneys, or by paralegals or interns under the supervision of supervised by an attorney.Legal services also include counseling or representation by a non-lawyer, where permitted by law.All legal service providers of legal services must comply with standards outlined in this Section and OAC 340:105-10-51, 340:105-10-65, and 340:105-10-66.
(b) Authority.The authority for this Section is Section 102(31) (33) of the Older Americans Act of 1965, as amended.
(c) Procedures.This Section is implemented by the Area Agency on Aging:
(1) incorporating the policy this Section into its Title III policy policies and procedures manual;
(2) providing technical assistance to prospective service project applicants regarding the policy in the services development of services; and
(3) utilizing the policy as an indicator in the evaluation of service project proposals proposal evaluations.
(d) Cross references.See Refer to OAC 340:105-10-50.1(a)(11), 340:105-10-51, 340:105‑10‑54(a)(6), 340:105-10-65, and 340:105-10-66.
PART 9. FISCAL AND ADMINISTRATIVE POLICIES FOR AREA AGENCIES ON AGING AND TITLE III PROJECTS
340:105-10-102. Appeal procedures for Title III service providers
Revised 4-26-04
(a) Policy.The Area Agency on Aging (AAA) grants an appeal opportunity for appeal to any existing or potential grantee or contractor when an application for Older Americans Act funds is denied or when a grant or contract is suspended or terminated prior to the end of an approved budget year year-end.
(b) Authority.The authority for this Section is Part 1321.11 of the Code of Federal Regulations.
(c) Procedures.The requirements for implementing this Section are outlined in this subsection.
(1) The Within 30 days of the complainant's receipt of notice of the adverse action, the complainant submits a written request for hearing to the AAA and its board of directors within 30 days of the complainant's receipt of notice of the adverse action.The written request includes a detailed explanation of the complainant's grievance.
(2) The AAA:
(A) schedules the a hearing within 20 days of the AAA receipt of the request for the hearing and notifies the complainant of the date, time, and location of the hearing within 20 days of the AAA receipt of the request for hearing; and
(B) prepares written testimony for the hearing outlining the appealed action being appealed and the data on which the action was it is based.A Eight calendar days prior to the hearing a copy of this written testimony is provided to the complainant eight calendar days prior to the hearing and submitted during the hearing as evidence during the hearing.
(3) The AAA board of directors, or a committee appointed by the board of directors, conducts the hearing within 30 days of the AAA receipt of the complainant's request for hearing.The hearing includes:
(A) an opportunity for the complainant to:
(i) review all pertinent evidence relating to the appealed action;
(ii) present written and verbal testimony;
(iii) be represented by counsel;
(iv) present witnesses and documentary evidence; and
(v) cross-examine witnesses;
(B) a presiding officer appointed by the board of directors who conducts the hearing and has had no part in the appealed action; and
(C) a record of the hearing proceedings, taken by the presiding officer appointed by the board of directors, and maintained on file for public viewing.
(4) The AAA board of directors issues a written hearing decision to the complainant within Within 60 days of the completion of the hearing the AAA board of directors issues a written hearing decision to the complainant.The decision letter includes notice of the complainant's right to appeal the decision to the Aging Services Division (ASD).
(A) The decision letter includes:
(i) a notice of the complainant's right to appeal the decision to the Aging Services Division (ASD); and
(ii) instructions to the complainant on how to initiate the appeal.
(B) The Within 30 days after the complainant receives notice of an adverse AAA decision the complainant submits a written request for a hearing to ASD within 30 days after the complainant receives notice of an adverse AAA decision.
(5) When the appeal process is not resolved prior to the start of the new project year, the AAA, through its board of directors, may enter into a temporary grant with a service provider for to avoid cessation of those services affected by the appeal, to avoid cessation of services.
(d) Cross references.See Refer to OAC 340:105-10-101(c)(3)(D). and OAC 340:2-5-44.
340:105-10-108.Audits of government entities and nonprofits receiving less than $25,000 50,000 in federal and state funds from all sources
Revised 5-12-05
(a) Policy.Government entities and other nonprofits receiving less than $25,000 50,000 in federal and state funds from all sources are monitored by the Area Agency on Aging (AAA) or pass through agency.
(b) Authority.The authority for this Section is the Office of Management and Budget Circular A-133.
(c) Procedures.Procedures to implement this Section are described in this subsection.
(1) Agencies subject to this Part receive a monitoring visit from the AAA or pass through agency to include, at a minimum:
(A) testing of a minimum of ten percent of all project expenditures for the period under review;
(B) testing of items listed in the current fiscal assessment tool;
(C) preparation of a report to include a narrative description of project operations;
(D) verification of the scope and time frame of the review period;
(E) a description of the findings regarding internal controls, accounting methods, and procedures;
(F) schedules of:
(i) balance sheet;
(ii) budget compared to actual revenue and costs; and
(iii) findings, questioned costs, and recommendations; and
(G) an account of the grantee's response to findings, questioned costs, and recommendations.
(2) Monitoring visits are conducted within 30 days after each project year.
(d) Cross references.See Refer to OAC 340:105-10-106 through 340:105-10-107, and 340:105-10-109 through 340:105-10-113.
340:105-10-110.1.Audits of government entities and nonprofit agencies receiving between $25,000 50,000 and $500,000 in federal and state funds from all sources
Revised 5-12-05
(a) Policy.Government entities and nonprofit agencies receiving more than $25,000 50,000 in federal and state funds and less than $500,000 in federal funds from all sources are required to obtain annual audits on such funds unless the grantee has a constitutional or statutory requirement for less frequent audits.
(b) Authority.The authority for this Section is Section 212A of Title 74 of the Oklahoma Statutes and the contract between the Area Agency on Aging and the subgrantee.
(c) Procedures.
(1) The audit:
(A) is a certified independent audit of the agency's grantee's entire operations conducted in accordance with generally accepted government auditing standards;
(B) includes financial statements prepared in accordance with generally accepted accounting principles;
(C) includes a Supplementary Schedule of State and Federal Awards listing all state and federal revenues and expenditures by contract;
(D) covers the period for which the contract was in effect;
(E) is performed by a certified public accountant or public accountant who has with a valid and current permit to practice accountancy in Oklahoma; and
(F) is not charged to federal funds or to meet match requirements.
(2) The Oklahoma Department of Human Services retains the right to examine and audit paperwork.
(d) Cross references.See Refer to OAC 340:105-10-106 through 340:105-10-113.
340:105-10-121. Area Agency on Aging and Title III project salaries
Revised 7-15-06
(a) Policy.Area Agencies on Aging (AAAs AAA) and Title III projects develop competent staff to competently perform programmatic and financial duties based on local needs, available funding, and market value, provided persons. Persons with comparable job family descriptors (JFDs) may are not be paid more than the midpoint of the salary range of a JFD paid within the State Agency Oklahoma Department of Human Services (OKDHS) salary cap set by the State Agency.The total administration costs charged to the Title III grant may not exceed the maximum provided in federal law.
(b) Authority.The authority for this Section is Part 1321.11 of Title 45 of the Code of Federal Regulations.
(c) Procedures.The requirements for implementing this Section are outlined in this subsection.
(1) AAAs and Title III projects determine starting salary salaries for positions based on local needs, available funding, and market value, provided persons with comparable JFDs may not be paid more than the midpoint of the salary range paid by the State Agency OKDHS for the JFD most like the job in question being done by the AAAs or Title III projects.
(2) Salary advancements increases are based on acceptable work performance, as evidenced by continued employment with the AAA or Title III project.The AAA may disapprove salary advances of its grantees increases due to uncertain funding allocations or funding and levels.The State Agency The Aging Services Division may disapprove salary advances of AAAs that if it believes may cause causes the AAA to exceed the federal maximum administrative cost allowed in federal law.
(3) Longevity payments may be made to all AAA and Title III employees using a longevity schedule that is:
(A) fair and equitable to all employees;
(B) consistently applied to both federal and non-federal activities;
(B)(C) based on available funding;
(C)(D) included in AAA and Title III budgets; and
(D)(E) provided for in the AAA policies and procedures manual.
(d) Cross references.See Refer to OAC 340:105-10-117, 340:105-10-120, and 340:105‑10‑122.
