Ohio Admin. Code 173-3-06 - Older Americans Act: requirements to include in every AAA- provider agreement
(A) Federal requirements: An AAA shall comply with the following federal
requirements when entering into an
for
every AAA-provider agreement (agreement) for services paid, in whole or
in part, with Older Americans Act funds:
(1)
The Older Americans Act.
(2)
Subparts C and D of 45 C.F.R. Part 1321.
(4) Any
additional federal law governing,
or federal rule regulating, or executive
order with jurisdiction over the agreement or any
service procured through the agreement .
(B) State requirements: Every
for every
agreement for services paid, in whole or in part, with Older Americans Act
funds shall comply with the following:
(1) Program and funding identification:
(a)
In
the
The agreement, the AAA shall identify the names of the federal
and state programs that are sources for the Older Americans Act funding being
used for the procurement of
to pay for the services
being procured through the
agreement.
(b)
In the
The
agreement, the AAA shall contain the
following statement:
"This agreement is for the provision of services paid with
federal funds that the United States Department of Health and Human Services
appropriated to the Ohio Department of Aging (ODA). ODA, in turn, allocated the
federal funds to the area agency on aging. The agreement is subject to federal
and rules, state
laws, and ODA's rules
(2) Additional state laws:
(a) The agreement shall comply with
is
subject to any rule in this chapter or Chapter 173-4 of the
Administrative Code regulating agreements in general or the provision of any
service being procured through the agreement.
(b) The agreement shall comply with
is
subject to any additional state law governing, or
state rule regulating,
or executive order with jurisdiction over
agreements in general or the provision of any service
being procured through the
agreement.
(3) Safety:
(a) Disasters: In
the
The agreement, the AAA shall require the provider to cooperate
with the AAA and ODA to assess disaster impact upon consumers and to coordinate
with public and private resources in the field of aging to assist consumers
whenever the president of the United States declares that the provider's
service area is a disaster area.
(b) Significant changes: If the provider
provides a service to a consumer who is enrolled in a case management service
as part of care coordination, in the
agreement, the AAA shall require the
provider to notify the AAA of any significant change that may necessitate a
reassessment the casemanaged consumer's need for the service no later than one
day after the provider is aware of a repeated refusal to receive the service;
changes in the consumer's physical, mental, or emotional status; documented
changes in the consumer's environmental conditions; or, other significant,
documented changes to the consumer's health and safety. If "one day after"
falls on a weekend or legal holiday, the deadline is extended to the day
immediately following "one day after" that is not on a weekend or legal
holiday.
(c) APS:
In the
The
agreement, the AAA shall require the
provider to immediately report any reasonable cause to believe a consumer is
the victim of abuse, neglect, or exploitation to the local adult protective
services program in accordance with section
5101.63 of the Revised
Code.
(d) Discontinuing the
provision of services: If the provider provides a service to a consumer who is
enrolled in a case management service with the AAA as part of care
coordination, the agreement shall require the provider to notify the AAA and
the case-managed consumer in writing of the anticipated last day the provider
will provide the service to the casemanaged consumer no later than thirty days
before the anticipated last day, unless the reason for discontinuing the
service is the hospitalization, institutionalization, or death of the consumer;
serious risk to the health or safety of the provider; the consumer's decision
to discontinue the service; or a similar reason why the provider is unable to
notify the AAA and the case-managed consumer thirty days before the anticipated
last day. The provider shall also notify the case-managed consumer
on how he or she
may
to reach a long-term care ombudsman.
If the thirtieth day falls on a weekend or legal holiday, the deadline is
extended to the day immediately after the thirtieth day that is not on a
weekend or a legal holiday.
(4) Confidentiality:
In the
The
agreement, the AAA shall include any
federal or state confidentiality requirements, including the following:
(a) The provider shall not disclose
information concerning a consumer unless the provider obtains and retains the
consumer's written or electronic informed consent to disclose and the purpose
for the disclosure is associated with the provider's provision of services to
the consumer.
(b) The provider
shall not disclose information concerning a consumer for a purpose unassociated
with the provider's provision of services even if the provider obtains and
retains the consumer's writtenor
written or electronic informed consent to do
so.
(c)
If the provider retains consumers' records electronically,
the
The provider shall store
their
each
consumer's electronic records in a passwordprotected file. If the provider does not retain consumers' records
electronically, the provider shall store their
and physical records in a designated, locked storage
space.
(5) Provider
qualifications: In the agreement, the AAA shall include the following
requirements:
(a) When hiring an applicant
for, or retaining an employee in, a paid directcare position, the provider
shall review databases and check criminal records
according
is subject to section
173.38 of the Revised Code and
Chapter 173-9 of the Administrative Code, unless the
provider is
or if self-employed. If the provider is self-employed, the AAA shall review
databases and check criminal records of the provider according to
, section
173.381 of the Revised Code and
Chapter 173-9 of the Administrative Code.
(b) If a federal, state, or local government
regulatory authority prohibits the provider from providing
the services
a
service required by the agreement, the provider shall notify the AAA of
the disciplinary action and the AAA shall, simultaneous to the date of the
regulatory authority's disciplinary action, deem the provider to be ineligible
to be paid with Older Americans Act funds for providing
services
that
service to consumers.
(6) Subcontracting:
In the
The
agreement, the AAA shall require the
provider to obtain authorization from the AAA before subcontracting any of its
duties under the agreement to another provider.
(7) Modification:
(a)
In
the
The agreement, the AAA shall describe the grounds (and the
process) for modifying the agreement.
(b)
In
the
The agreement, the AAA shall state that if an amendment
to
, repeal, or
rescission of any law, rule, or regulation (or
the repeal or rescission of any law, rule, or regulation) cited in the
agreement would change the responsibilities of the AAA, the provider, or both
the AAA and provider, then the AAA, the provider, or both the AAA and provider
shall comply with the amended
amendment, repeal, or rescission of the law,
rule, or regulation (or the repeal or rescission of
a law, rule, or regulation) even if the agreement is not updated
before the amendment (or
, repeal, or
rescission) takes effect.
(c)
In
every
Every new agreement, the AAA shall require the provider to sign up for
email updates on ODA's rules on
https://aging.ohio.gov/wps/portal/gov/aging/see-news-and-events/subscribe/subscribe.
(8) Renewable and multi-year
agreements: If the agreement is renewable or covers a multi-year term, the
agreement shall comply with
is subject to the requirements for renewable or
multi-year agreements under rule 173-3-
05.1
173-3-05 of the Administrative
Code.
(9) Records:
In the
The
agreement, the AAA shall include the
following permissions and requirements:
(a)
Permission to use an electronic
system to collect or retain records.
(b) A requirement to retain any record
relating to costs, services provided, supporting
documentation for payment of services provided, including activity plans (if required), assessments (if
required), permits (if required), evaluations (if required), and mandatory
reporting items to verify a unit of service , and all deliverables until all of the following
periods of time have passed:
(i) Three years
after the date the provider receives payment for the services.
(ii) The date on which ODA, the AAA, or a
duly-authorized law enforcement official concludes monitoring the records and
any findings are finally settled.
(iii) The date on which the auditor of the
state of Ohio, the inspector general, or a duly-authorized law enforcement
official concludes an audit of the records and any findings are finally
settled.
(c) A
requirement to retain all records regarding an employee's background checks and
qualifications.
, including records on initial qualifications,
and successful
completion of orientation and subsequent training (if required),
and performance reviews (if required) until all
of the following periods of time have passed:
(i) Three years after the date the provider
no longer retains the employee.
(ii) The date on which ODA, the AAA, or a
duly-authorized law enforcement official concludes monitoring the records and
any findings are finally settled.
(iii) The date on which the auditor of the
state of Ohio, the inspector general, or a duly-authorized law enforcement
official concludes an audit of the records and any findings are finally
settled.
(d) A
requirement to participate in good faith in, and
assist the AAA and ODA with the scheduling of,
the monitoring of the provider's provision of
services. To participate in good faith includes assisting the AAA and ODA with the scheduling of monitoring
and providing the AAA and ODA with access to its business site(s) during
the provider's normal business hours, a place to work in its business site(s),
and access to policies and records for each unit of service
billed.
(10) Payment:
(a)
In
the
The agreement, the AAA shall describe how
it shall pay
the
AAA pays the provider, including the amount and payment method.
(b)
In
the
The agreement, the AAA shall include the following requirements:
(ii) The
provider shall
requirement to return any Older Americans Act funds
payments for its services, if the provider's provision of the services did not
comply with the Administrative Code, the Revised
Code, or any other law
laws, rules, or
executive orders with jurisdiction over the provision of the
service .
(11) Administrative hearings:
(a)
In
the
The agreement, the AAA shall state that the provider may appeal
an action the AAA takes against the provider according to rule
173-3-09 of the Administrative
Code and state the procedures by which the provider may appeal the adverse
action.
(b) If the AAA intends to
redistribute unearned funds to other providers, in the agreement, the
AAA shall state that it may redistribute funds if a provider is not,
in a timely manner, earning the funds it was awarded and if the AAA determines
the provider is not, in a timely manner earning the funds it was awarded in the
agreement.
(C) An AAA may add requirements to an
agreement in addition to the requirements in paragraphs (A) and (B) of this
rule if the additional requirements do not conflict with any federal laws,
or rules,
or executive orders with jurisdiction over the
agreement or state laws,
or rules, or
executive orders with jurisdiction over the agreement .
Notes
Promulgated Under: 119.03
Statutory Authority: 121.07, 173.01, 173.02, 173.392; 42 U.S.C. 3025; 45 C.F.R. 1321.11
Rule Amplifies: 173.39, 173.392; 42 U.S.C. 3030d; 45 C.F.R. Part 75, 1321.11, 1321.53, 1321.65, 1321.67
Prior Effective Dates: 02/15/2009, 02/14/2010, 08/30/2010, 01/01/2013, 12/19/2013, 08/01/2016, 06/01/2018, 06/11/2020 (Emer.), 12/31/2020, 01/29/2022
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