Western Arizona Council of Governments

Date: January 31, 2019

To: Prospective Providers

Subject: Legal Notice (Request for Proposals)

Publication Dates: Yuma Sun (January 27th & 30th, 2019); Today’s New Herold (January 27th, 2019); Kingman Daily Minor (January 27th, 30th, 2019); Parker Pioneer (January 30th, 2019)

Western Arizona Council of Governments, Area Agency on Aging (WACOG – AAA) hereby solicits sealed proposals from qualified providers for the following services under Title III of the Older Americans Act, Social Service Block Grant, (Title XX), and Nutrition Services Incentive Program (NSIP):

SERVICES YUMA LA PAZ MOHAVEMedication Management XHome Care: Attendant Care X X XHome Care: Housekeeping X X XHome Care: Respite (In-Home) X X XAdult Day Care XTransportation X X XCongregate Meals X X XHome Delivered Meals X X XLegal Services X X X

RFP’s can be obtained by contacting Gina Whittington, WACOG Human Services and Aging Director, at 1235 S. Redondo Center Dr., Yuma, Arizona 85365; (928) 217-7123, on or after January 31, 2019.

Sealed proposals must be received no later than 3:00 P.M. on March 08, 2019. Mailed proposals must be received in the WACOG office by the established deadline at the following address:

WACOG AAA – RFP1235 S. Redondo Center Dr.

Yuma, AZ 85365

If these conditions are not met, WACOG shall have the right to reject the proposal based on failure to meet the RFP deadline. WACOG:AAA reserve the right to fund partial/all available funding to one or multiple providers per funding region.

A public opening of the sealed proposals will be conducted at 3:30 P.M. on March 08, 2019 at the WACOG – Area Agency on Aging at the aforementioned address.

Contracts lent pursuant to this RFP shall be for the period July 1, 2019 through June 30, 2020, and may be renewable for each subsequent year throughout a five (5) fiscal year RFP cycle.

AREA AGENCY ON AGINGWestern Arizona Council of Governments

Request for Proposal for the provision of:

Home Care: Attendant CareHome Care: Housekeeping

Home Care: RespiteAdult Day CareTransportation

Congregate Meals Home Delivered Meals

Legal ServicesMedication Management

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SFY 2019

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TABLE OF CONTENTS

SECTION I: NOTICE OF REQUEST FOR PROPOSAL

RFP TIMELINE

SECTION II: GUIDE TO RFP & CONTRACTS

CRITERIA FOR SUBMITTAL OF PROPOSALS PROPOSAL REVIEW AND EVALUATION NEGOTIATING AND CONTRACT PRESENTATIONS PROCEDURES FOR PROVIDER APPEALS PREPARATION OF THE CONTRACT FINALIZING THE CONTRACT RENEWABLE CONTRACTS REIMBURSEMENT INSURANCE AND INDEMNIFICATION BACKGROUND CHECK CLIENT CONTRIBUTION

SECTION III: PROPOSAL SUBMITTAL PACKET

PROPOSAL SUBMITTAL LETTER ORGANIZATIONAL INFORMATION & DOCUMENTATION PROPOSER QUALIFICATIONS DISCLOSURE OF SUBSTANTIAL INTEREST STATEMENT EXPERIENCE, METHODOLOGY AND QUALIFICATIONS FACILITY LOCATION BUDGET & OPERATIONS INFORMATION

SECTION IV: PROPOSAL SUBMITTAL CHECKLIST

ATTACHMENTS INSTRUCTIONS FOR CERTIFICATION

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SECTION I:Notice of Request for Proposal

A. GENERAL OVERVIEW The Area Agency on Aging, Western Arizona Council of Governments, Inc. (WACOG AAA), hereby requests proposals for the provision of Attendant Care, Housekeeping, Respite, Adult Day Care, Congregate Meals, Home Delivered Meals, Transportation, Legal Services and Medication Management services to adults sixty years (60) years or older and/or individuals with disabilities in Yuma, Mohave and La Paz Counties. Due to jurisdictional boundaries and funding parameters, Native American reservations shall not be served in this RFP. B. RFP TERM This RFP shall open on Thursday, January 31, 2019 and close on Friday, March 08, 2019 at 3 PM. C. BID DEADLINE Proposals must be received by WACOG AAA by 3 PM on Friday, March 08, 2019. Proposals will remain sealed until 3:30 PM on Friday, March 08, 2019 at which time they will be publicly opened. Proposals received after this deadline will be considered “late” and will not be accepted. It is the full responsibility of the proposer to ensure that proposals are received by WACOG AAA by the deadline and under the terms represented in the submittal instructions to be eligible to continue in the RFP process. D. FUNDING AVAILABILITY WACOG – AAA will use ALTCS rates as a guide for the proposed contracting rates. Below is a breakdown of proposed funding allocations per service and County:

CongregateMeals

Home Delivered

Meals

Home Care: Attendant Care

Home Care: Housekeeping Respite

Yuma County $ 306,150 $ 387,594 $82,572 $10,000 $55,378Mohave County $ 313,758 $ 411,163 $135,281 $15,000 $47,468La Paz County $ 146,174 $ 162,733 $58,761 $10,000 $10,580TOTAL $ 766,082 $ 961,490 $276,614 $35,000 $113,426

Adult Day Care Transportation Legal

Services Medication

Management

Yuma County $106,018 $60,000 $0Mohave County $40,000 $60,000 $0La Paz County $.00 $104,609 $10,000TOTAL $ 146,018 $224,609 $91,213 $10,000

Funding levels subject to the availability of funds. WACOG:AAA reserve the right to fund partial/all available funding to one or multiple providers per funding region.

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E. GEOGRAPHIC AREAS TO BE FUNDED

WACOG will accept proposals to fund the following geographic areas by service:

SERVICE GEOGRAPHIC AREAATTENDANT CARE YUMA & LA PAZ COUNTIES

MOHAVE & LA PAZ COUNTIESYUMA, LA PAZ & MOHAVE COUNTIESLA PAZ COUNTY

HOUSEKEEPING YUMA & LA PAZ COUNTIESMOHAVE & LA PAZ COUNTIESYUMA, LA PAZ & MOHAVE COUNTIESLA PAZ COUNTY

RESPITE YUMA & LA PAZ COUNTIESMOHAVE & LA PAZ COUNTIESYUMA, LA PAZ & MOHAVE COUNTIESLA PAZ COUNTY

HOME DELIVERED MEALS YUMA COUNTY OR BY COMMUNITYLA PAZ COUNTYMOHAVE COUNTY OR BY COMMUNITY

CONGREGATE MEALS YUMA COUNTY OR BY COMMUNITYLA PAZ COUNTYMOHAVE COUNTY OR BY COMMUNITY

LEGAL SERVICES YUMA, LA PAZ AND MOHAVE COUNTIESADULT DAY HEALTH CARE YUMA COUNTY

MOHAVE COUNTYTRANSPORTATION YUMA COUNTY OR BY COMMUNITY

LA PAZ COUNTY OR BY COMMUNITYMOHAVE COUNTY OR BY COMMUNITY

MEDICATION MANAGEMENT LA PAZ COUNTY - PILOT

D. CONTRACT TERM

Contracts developed pursuant to this RFP shall be for the period July 1, 2019 through June 30, 2020. When the Agency is reasonably assured of a continuing need for the services, continuous funding and provider contractual compliance it may enter into a renewable contract in subsequent years for a total of five (5) fiscal years.

E. AWARD OF CONTRACT:

Notwithstanding any other provision of the Request for Proposal, the Western Arizona Council of Governments/Area Agency on Aging (WACOG – AAA ) expressly reserves the right to:

1) Waive any immaterial defect or informality; or2) Reject any or all proposals, or portions thereof; or3) Reissue this Request for Proposals or parts thereof.4) Select for contract negotiations submissions that in WACOG-AAA’s sole judgment appear

to most likely meet the needs of the agency,5) Negotiate any terms of the submission prior to the contract award.

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RFP Timeline

RFP Proposal Packages available to applicants 1/31/19

Bidder Pre-Proposal Conference in Parker, AZ 2/06/19 9:30-12:00PM

Deadline for receipt of SEALED Proposals 3/08/19 3:00 PM

Public opening of Proposals 3/08/19 3:30 PM

Review of Proposals by WACOG Staff 3/08/19 - 3/28/19

Review of Proposals by Committee Completed by 04/08/2019

RFP Negotiations with applicants Completed by 04/30/2019

Presentation to RCOA Completed by 05/17/19

Final Recommendations to WACOG Executive Director Completed by 05/21/19

Recommendations to the WACOG Executive Board Completed by 06/21/19

Award Letters and Contracts sent to Providers Completed by 06/24/19

Contract Service Begins 7/1/19

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SECTION II:Guide to RFP & Contracts

A. CRITERIA FOR SUBMITTAL OF PROPOSALS

1. Receipt of Proposal

a. One (1) original hard copy with signatures, one (1) electronic copy with signatures, and five (5) hard copies of the proposals must be submitted, SEALED in an envelope which is clearly labeled "SEALED PROPOSAL - AAA." The electronic files may be submitted within the packet on a thumb drive. Proposals may be mailed or hand-delivered to:

WACOG AAA – RFP Proposals

Attn: Gina Whittington1235 S. Redondo Center Dr.

Yuma, Arizona 85365

b. FAXED, LATE AND/OR UNSEALED PROPOSALS WILL NOT BE ACCEPTED.

2. Proposal Deadline

a. The Proposal Deadline is established to allow sufficient time for development of the Proposal, but must also allow administrative time to evaluate Proposals and obtain official signatures by expected effective date.

b. The Proposal Deadline for this RFP is 3:00 PM, Arizona Time, Friday, March 08, 2019.

Proposals received after this deadline will be marked as “late” and will not be accepted.

c. Delivery Confirmation. Hand-delivered or mail-delivered Proposals that have not been submitted in accordance with these deadlines shall be classified “LATE” and will not be accepted. It is the full responsibility of the proposer to assure that proposals are received on time.

d. Duty to Examine. Failure to submit all information requested could result in the Proposal being classified as “unacceptable” or rejected on the basis of unresponsiveness. It is the responsibility of all proposers to examine the entire RFP package, seek clarification concerning RFP requirements, and examine all information for accuracy before submitting a Proposal.

e. Offer Amendment or Withdrawal. An Offer may not be amended or withdrawn after the Offer due date and time except as otherwise provided under applicable law.

3. Proposal Format

a. All portions of the Proposal must be typed. Every part of the Proposal must be legible and of sufficient print clarity to allow copying of the document.

4. RFP Training and/or Technical Assistance

a. WACOG AAA will hold a bidders pre-proposal conference Wednesday, February 06, 2019 from 9:30 AM-12:00 PM at the following address:

Parker Nutrition Center1115 12th Street

Parker, AZ 85344

b. WACOG AAA staff will be available to answer questions and/or provide technical assistance regarding the RFP; however, WACOG AAA staff cannot assist any proposer in the actual completion of any part of the proposal.

c. Prior to the pre-proposal conference, solicitations are encouraged to be in written format;

after the pre-proposal conference no questions will be answered.

d. The designated Solicitation Contact Person is: Gina Whittington

e. Any inquiry shall be submitted as soon as possible before the Proposal due date; failure to do so may result in the inquiry not being answered.

B. PROPOSAL REVIEW AND EVALUATION

1. Proposal Opening

a. Proposals received by the correct time and date, sealed, properly labeled as “SEALED PROPOSAL - AAA” will be opened at 3:30 PM, MST, Friday, March 08, 2019, in the WACOG offices at 1235 S. Redondo Center Dr. in Yuma, Arizona. The name of each proposer will be publicly read and recorded.

b. Public Record. Under applicable law, all Offers submitted and opened are public records

and must be retained by the WACOG AAA. Offers shall be open to public inspection after contract award, except for such Offers deemed to be confidential by the WACOG AAA. If a prospective applicant believes that information in its Offer should remain confidential, they shall stamp that information as confidential and submit a statement with its Offer detailing the reasons that information should not be disclosed. The WACOG AAA shall make a determination pursuant to the Arizona Procurement Code; there will be no guarantee that an applicant’s request will be adhered to.

2. Review

a. Initial Review: WACOG AAA staff will review each recorded Proposal to ensure that it

has been submitted on time is complete, and all required documents have been included. During this time Proposals are determined to be potentially acceptable or unacceptable.

b. Proposal Review and Evaluation Committee: A Committee composed of members of WACOG AAA staff and members of WACOG AAA Regional Council on Aging will review each Proposal.

c. WACOG Executive Director Approves and Recommends: The WACOG Executive Director will review and approve recommendations and submit them to the WACOG Executive Board for their review and approval.

d. WACOG Executive Board Approves: The WACOG Executive Board will accept or deny recommendations and approve who WACOG AAA contracts with.

3. Evaluation

The factors that will be used in evaluating and selecting prospective service providers include:

a. Competence and Responsibility of Experience

1) Proposer must have demonstrated the competence or the qualifications to perform the

required services.

2) Proposer must have adequate financial resources and show on-going capability for providing the services pending reimbursement from WACOG AAA.

3) Proposer must have accounting systems which meet acceptable accounting practices and standards of the accounting profession.

4) Proposer has satisfactory record of providing contract services.

b. Operational Capacity, Service Delivery Plan & Coordination

1) Proposer demonstrates service delivery that is appropriate to the age, mental or physical disability, and culture of the persons to be served.

2) Proposer demonstrates reasonable assurance that service goals and objective can be accomplished.

3) Proposer demonstrates safety and education are of priority in service delivery plan.

c. Adherence to Bid Procedures and RFP Instructions

1) Proposal is prepared in accordance with all applicable RFP instructions.

d. Contract Compliance

1) Proposer demonstrates assurance of contractual compliance fiscally and programmatically in relation to the RFP, Scope of Work, Contract, Service Agreement, Terms, Conditions and Policies and Procedures as amended.

C. NEGOTIATING AND CONTRACT PRESENTATIONS

1. Once the Proposal has been evaluated, selected bidders will be notified directly by WACOG AAA by email and phone in order to expedite the contract process. Acceptance or denials letters will also be mailed or delivered in person.

2. WACOG AAA may recommend changes in the proposed service program or service costs. The

prospective provider may be given an opportunity to negotiate portions of the contract. Note: Certain portions of the RFP are non-negotiable, i.e. Generals and Special Provisions to the Contract, Scopes of Work/Service Specifications and sound cost principles.

3. Contract negotiations shall be completed by April 30, 2019.

D. PROCEDURES FOR PROVIDER APPEALS

1. If a Proposal is rejected, Proposer has ten (10) working days from receipt of denial notice to appeal decisions in writing to the Human Services and Aging Director. Letter of appeal should contain:

a. The reason for requesting an appeal.

b. Documentation that would support appeal.

2. The AAA Director will schedule a meeting to discuss the applicant’s question and concerns within ten (10) working days after receiving the applicant’s request for a meeting.

3. If a resolution cannot be reached in a meeting with the Human Services and Aging Director/WACOG Director, the AAA-Regional Council on Aging Officers will review the matter within thirty (30) days to determine whether:

a. The Area Agency on Aging followed the procedures established for: requesting proposals; reviewing proposals, and for selecting providers.

b. The applicant was given equitable treatment in the review and selection process.

4. The AAA-Regional Council on Aging Officers will make the decision on the applicant’s appeal and will notify the applicant in writing of its decision with ten (10) working days.

5. Applicants who are dissatisfied with the decision of the AAA-RCOA Officers may appeal to the full AAA-RCOA within ten (10) working days of the receipt of the Officers decision.

6. The AAA-RCOA will consider the appeal at a special meeting or during their next regularly scheduled meeting and will notify the applicant in writing of its decision within ten (10) working days.

E. PREPARATION OF THE CONTRACT A contract is prepared when committee recommendations have been approved by the WACOG Executive Director and contract negotiations have been completed. The WACOG AAA utilizes a contract format that consists of several components:

1. Administrative Section consists of the Contract Signature Page and the Contract Summary Sheet, which includes such items as contract purpose, authorized signatory of the provider agency, person to whom notices are to be addressed, term of the contract, method and maximum amount of compensation for service delivery, the number of service units purchased under the contract and the facility location(s) and program reporting requirements are also contained in this section.

2. General and Special Provisions delineate the basic rights and obligations of the WACOG AAA and the provider, the authority to contract, and the contract definitions. Both General and Special Provisions are non-negotiable.

3. Programmatic Section contains the Scope of Work Specifications, which include the service goals, objectives, service tasks and methodologies related to each contracted service, response to the proposers’ questionnaire, targeting/outreach statement and the method of evaluation.

4. Financial Section contains the financial provisions including an Agency Operations Spreadsheet for the total agency, Itemized Service Budgets for all fixed price with price adjustment contracts (formerly cost reimbursement), and Rate Sheets for fixed rate contracts.

F. FINALIZING THE CONTRACT

The final step in effecting a contract between the WACOG AAA and the provider is the signature process. No contract exists until both parties sign it.

1. Provider Signature

a. Once the contract document is finalized, the provider will be asked to sign the contract.

b. Governmental entities subject to the provisions of A.R.S. 11-952 must also allow sufficient time for obtaining the signature of legal counsel and a resolution from the governing body approving the contract.

2. WACOG Signature

Prior to signature by WACOG, the contract undergoes a final review:

a. The contract signed by the provider is returned to the Area Agency on Aging Operations Manager for review and to verify that all programmatic and financial provisions are in order.

b. The contract is then sent to Area Agency on Aging Director for final approval for the Area Agency on Aging.

c. The contract is then sent to the WACOG Finance Director for review.

d. Once the contract has been reviewed, it is sent to the Executive Director of WACOG for final review and signature. The proposed contract becomes a binding and fully executed agreement only upon the effective date and upon signature by both parties.

G. RENEWABLE CONTRACTS

1. Contracts are generally written for a period of one year coinciding with the State fiscal year (July 1 through June 30). Contracts originating out of this RFP are for the term July 1, 2019 through June 30, 2020. At the option of the WACOG AAA, these contracts may be renewed depending on continued need for the service, availability of funds, WACOG AAA’s determination of the provider’s success in meeting the conditions and objectives specified in the contract, and/or at the discretion of WACOG AAA.

2. Prior to renewal of a contract, the service program, service costs and/or any other conditions

that may have changed during the initial term of the contract may be renegotiated and amended with the concurrence of both parties to the contract. In the case of a rate contract, the rate contract shall be renewable at the firm, rate of the original contract.

H. REIMBURSEMENT

Eligibility of reimbursement is contingent upon the following items:

1. The method of payment for services provided by the contractor shall be on a unit rate reimbursement basis per month. A unit is defined within the service’s Scope of Work.

2. Upon the timely submission of required reporting documents, WACOG AAA shall reimburse the contractor up to the contract monthly reimbursement ceiling. These reporting documents consist of monthly Service Logs and Provider Invoices and Quarterly Reports for performance measurement data. The reporting documents will be provided by WACOG AAA.

3. Contractor must maintain contractual compliance fiscally, contractually and programmatically as listed within the RFP, Scope of Work, Contract, Service Agreement, Terms, Conditions, Policies and Procedures as amended.

4. Performance Measures and Reporting Unit Requirements must be met and costs must be allowable in accordance with service delivery and eligibility requirements as listed within the RFP, Scope of Work, Contract, Service Agreement, Terms, Conditions, Policies and Procedures as amended.

I. INSURANCE AND INDEMNIFICATION

1. Provider must maintain current Liability and Workman’s Compensation Insurance at all times in accordance with the RFP, Scope of Work, Contract, Service Agreement, Terms, Conditions, Policies and Procedures as amended. (Attachment D)

2. Provider is responsible for sending ACORD certificate of insurance at time of change/renewal.

3. Provider must list DES and WACOG as additionally insured parties on the certificates and policy shall be endorsed to include the following additional insurance language:

a. “The State of Arizona, its departments, agencies, boards, commissions, universities and its officers, officials, agents, and employees shall be named as additional insured’s with respect to liability arising out of the activities performed by or on behalf of the Contractor, including activities involving automobiles owned, leased, hired or borrowed by the Contractor".

4. Provider must list DES and WACOG as certificate holders on the certificates as follows:

Western Arizona Council of Governments 1235 S. Redondo Center Dr.

Yuma, AZ 85364

Arizona Department of Economic Security Division of Aging and Adult Services 1789 W. Jefferson St. (Site Code 950A) Phoenix, AZ 85007

5. Indemnification requirements must be followed in accordance with the RFP, Scope of Work, Contract, Service Agreement, Terms, Conditions, Policies and Procedures as amended. (Attachment D)

J. BACKGROUND CHECK

Background Checks for Employment through the Central Registry.

If providing direct services to children or vulnerable adults, the following shall apply:

1. The provisions of A.R.S. § 8-804 (as may be amended) are hereby incorporated in its entirety as provisions of this Contract.

2. The Department will conduct Central Registry Background Checks and will use the information contained in the Central Registry as a factor to determine qualifications for adults for:

a. Any person who applies for a contract with this State and that person's employees;

b. All employees of a contractor;

c. A subcontractor of a contractor and the subcontractor's employees; and

d. Prospective employees of the contractor or subcontractor at the request of the prospective employer.

3. Volunteers who provide direct services to children or vulnerable adults shall have a Central Registry Background Check which is to be used as a factor to determine qualifications for volunteer positions.

4. A person who is disqualified because of a Central Registry Background Check may apply to the Board of Fingerprinting for a Central Registry exception pursuant to A.R.S. § 41-619.57. A person who is granted a Central Registry exception pursuant to A.R.S. § 41-619.57 is not entitled to a contract, employment, licensure, certification or other benefit because the person has been granted a Central Registry exception.

5. Before being employed or volunteering in a position that provides direct services to children or vulnerable adults, persons shall certify on forms that are provided by the Department whether an allegation of abuse or neglect was made against them and was substantiated. The completed forms are to be maintained as confidential.

6. A person awaiting receipt of the Central Registry Background Check may provide direct services to ADES clients after completion and submittal of the Direct Service Position certification form if the certification states:

a. The person is not currently the subject of an investigation of child abuse or neglect in Arizona, or another state of jurisdiction; and

b. The person has not been the subject of an investigation of child abuse or neglect in Arizona, or another state or jurisdiction, which resulted in a substantiated finding.

Note: The Certification for Direct Service Position is located at:http://www.azdes.gov/InternetFiles/InternetProgrammaticForms/doc/ACY-1287AFORFF.doc

7. If the Central Registry Background Check specifies any disqualifying act and the person does not have a Central Registry exception, the person shall be prohibited from providing direct services to ADES clients.

8. The Contractor shall maintain the Central Registry Background Check results and any related forms or documents in a confidential file for five (5) years after termination of the Contract.

Note: The Request for Search of Central Registry for Background Check is located at: https://www.azdes.gov/opac

K. CLIENT CONTRIBUTION

1. All clients shall be provided the opportunity to contribute toward the cost of the services. Clients shall be informed of their right to contribute as well as their right to obtain services without making a contribution. Suggested contribution rates may be developed by the provider. Contractor must have a written donation policy. Any suggested contribution shall not imply a charge for service.

2. Methods for collecting contributions may vary; however, any method, or combination of methods:

a. Must allow for a free and voluntary contribution.

b. Protect the privacy and confidentiality of each client with respect to his/her contribution.

c. Be readily accessible to any client who chooses to make a contribution.

d. Allow clients to contribute any amount they choose.

e. Client donations must be accounted for separately from other funding.

SECTION III:PROPOSAL SUBMITTAL PACKET

Proposers must complete each of the following sections in response to this RFP.

INSTRUCTIONS: Proposals must be completed fully in the required format and order as outlined. All questions should be answered fully; do not identify attachments as the answer. Attachments can be submitted, but only in support of the answer given. All pages must be numbered and in the sequence identified in Section IV Proposal Submittal Checklist.

Sealed Proposals, including one (1) original signed bound, four (4) unbound copies, and one (1) electronic copy must be physically in the possession of the Area Agency on Aging by 3:00 PM, Arizona Time, Friday, March 08, 2019. Late proposals will not be accepted. Sealed Proposals will be opened on March 08, 2019 at 3:30 PM in the Area Agency on Aging conference room located at 1235 S. Redondo Center Dr., Yuma, AZ 85365. Note: Bound is defined as a fully enclosed binder, notebook, spiral, etc., not stapled or otherwise clipped such that papers may become loose. Furthermore, all pages must be numbered sequentially.

PROPOSAL SUBMITTAL LETTER

Name of Proposer / Agency:

In response to the Western Arizona Council of Governments (WACOG) Area Agency on Aging (AAA), Request for Proposal (RFP), offeror hereby submits the proposal to provide the following services in the specified Counties:

SERVICE: GEOGRAPHIC AREA:

In submitting this proposal, offeror certifies that:

1. All attached documents have been read, understood and all information provided is true, complete, and accurate to the best of their knowledge.

2. Should an investigation, at any time disclose any misrepresentation or falsification, this proposal may be rejected and if contract has been awarded it may be terminated.

3. All information requested in this RFP is enclosed. 4. The proposer assumes all costs with the preparation, submittal and follow-up associated with their

proposal. 5. Any RFP addendums received in regards to this RFP are signed and submitted with this proposal. 6. One (1) original hard copy with signatures, one (1) electronic copy with signatures (submitted on

thumb drive) and five (5) hard copies of the proposals must be submitted, SEALED in an envelope which is clearly labeled SEALED PROPOSAL - AAA as instructed within this RFP.

7. The assurances contained in this proposal have been met. 8. The submission of this proposal does not involve collusion or other anti-competitive practices. 9. All applicable Department of Economic Security scopes of work and Area Agency on Aging

service specifications; contract terms, manuals, policies, terms, conditions and directives will be complied within the RFP.

10. To provide services to eligible individuals regardless of the source of funding. 11. That upon award of contract, insurance will be maintained as specified in the Uniform Terms and

Conditions and Special Terms. 12. That upon award of contract, provider will administer and manage the contract in compliance with

RFP, Scope of Work, Contract, Service Agreement, Terms, Conditions, Policies and Procedures as amended.

On behalf of this proposing agency, I am authorized to make this certification.

Signature: Date:

Typed Name: Title:

ORGANIZATIONAL INFORMATION & DOCUMENTATION Name of Agency:Mailing Address:

City:State: Zip:

Telephone: Fax:Contractor EIN: Web Site:

Principal Authorized Signatory to execute contracts and amendments:

Name:Address:

City:State: Zip:

Telephone: Fax:E-Mail:

In the absence of the principal authorized signatory, is anyone else within the organization authorized to sign this contract or amendment documents? YES NO

Name:Address:

City:State: Zip:

Telephone: Fax:E-Mail:

Daily Contact regarding programmatic issues for this contract:

Name:Address:

City:State: Zip:

Telephone: Fax:E-Mail:

Financial Contact for issues related to this contract:

Name:Address:

City:State: Zip:

Telephone: Fax:E-Mail:

PROPOSER QUALIFICATIONS

INSTRUCTIONS: Thoroughly answer the following questions about the organization. Attachments may be provided only in addition to the response provided herein. Successful proposers may be required to submit additional documentation.

PART A: ORGANIZATION UPDATE/INTRODUCTION

A. Provide an organization abstract which includes, at a minimum, the organization's mission statement, organizational structure, and significant changes within the organization in the last eighteen (18) months.

B. Describe previous experience (specifically by each service proposed) within the past two (2) years, which qualifies the organization to deliver the proposed services. Identify all funding sources, annual contract amounts, and duration of contracts for the proposed service(s).

PART B: ORGANIZATION INFORMATION

1. AGENCY BACKGROUND INFORMATION

a. Indicate the type of organization, specifics on ownership of the agency and the date the organization was formed.

Organizational Type: Date Formed:

(Private non-profit, government, sole proprietorship, partnership, individual, etc)

b. Is the organization qualified as a charitable organization under Section 501c(3) of the Internal Revenue Code?

Yes No

c. Has any federal or state agency ever made a finding of noncompliance with any civil rights requirements with respect to the service program?

Yes No If yes, explain:

d. Have any licenses ever been denied, revoked-or suspended or provisionally issued within the past five years?

Yes No If yes, explain:

e. Have you or has the organization/any of its officers been the subject of criminal investigations or prosecutions?

Yes No If yes, was there any conviction? Include the offense and year of the conviction:

f. Have any officers, staff or volunteers in your organization been convicted or pled guilty to any criminal offense, including nolo contendere (“no contest”) pleas?

Yes No If yes, provide an explanation, including the nature of the offense, the date charges were brought, the legal jurisdiction, and the final resolution:

g. Do you, your staff, any of your relatives, or voting members of your Board of Directors maintain any ownerships, employments, public and private affiliations or relationships which may have substantial interest (as defined in A.R.S. § 38-502) in any contract, sale, purchase or service involving the Area Agency on Aging?

Yes No If yes, complete and submit a Disclosure of Substantial Interest Statement: .

h. Are there lawsuits, judgments, tax deficiencies, or claims pending against your organization? Have any licenses or certificates held by the entity applying or its officers, directors, partners, or key managers ever been denied, revoked, suspended, or provisionally issued within the past five years?

Yes No If yes, explain:

2. FINANCIAL CAPABILITY

a. Describe your organizations budgeting process and planning calendar, and the manner in

which your organization manages its financials? How your organization meets acceptable accounting practices and standards.

b. How will your organization provide for financial subsidy pending reimbursement? What assurances can you provide to WACOG your program is capable of operating until reimbursed?

c. Has your Agency experienced bankruptcy? If yes, explain.

d. Explain your method of soliciting contributions from participants, security procedures, accounting and cash handling procedures. Identify the staff that would be responsible for implementing this procedure.

3. HISTORY OF SUCCESSFUL CONTRACT SERVICE

a. List all the organizations current agreements, grants or contracts substantiating your organizations successful history as contract provider. Indicate specific services provided and years of service.

b. Has the organization terminated any contracts, had any contracts terminated, or been involved in contract lawsuits?

Yes No If yes, explain:

c. Have any entities managed by current administration been debarred from contracting.

Yes No If yes, explain:

d. Describe the organizations ability to manage the WACOG AAA Contract by administering proposed program(s) successfully and ensuring contractual compliance. Specify how the programs will be internally managed and years of experience administering the proposed programs.

4. OPERATIONAL CAPACITY

a. How many staff (volunteer, paid) will your organization require to deliver the proposed service(s)?

b. Describe the training your organization will offer staff/volunteers to ensure training

requirements are met and maintained.

c. Give examples of the organizations daily, monthly, yearly activities that will be/are offered

at the congregate site as specified in the Congregate Meals Scope of Work. (Attachment A4)

d. Describe the vehicles that will be utilized to deliver the Home Delivered Meals and what assurances can you provide to WACOG AAA that all vehicles will be registered/licensed and insurance.

e. Describe the organizations plan, process and policy to ensure the WACOG AAA Background check requirements are fulfilled and current at all times in accordance with the RFP, Scope of Work, Contract, Service Agreement, Terms, Conditions, Policies and Procedures as amended.

1) ATTACH the organization’s sample Background Check Policy as it relates to Section 10 of the Terms and Conditions of the contract.

f. If applicable, is the organization proposing to increase, decrease or maintain service from past years? Explain.

g. List the proposed capacity by which the organization is prepared to serve in client and units for each proposed service. (Also input numbers into Proposed Budget Worksheet)

DISCLOSURE OF SUBSTANTIAL INTEREST STATEMENT

Name of Proposer/Agency:

Following is a list of all persons, partnerships, corporations, trusts or other organizations, which have a substantial interest in my organization as defined in A-R.S. § 38-502. The list also includes those persons, partnerships, corporations, trusts or other organizations in which I, one of my relatives, or a director, officer, owner or trust certificate holder of my organization, or a relative thereof have a substantial interest. This list is limited to those "substantial interest" relationships which may involve either direct or indirect payments by my organization under contracts awarded by the Arizona Department of Economic Security or the Area Agency on Aging. I understand that I shall not make any payment with funds received from the Department of Economic Security or the Area Agency on Aging, either directly or indirectly, to the listed persons, partnerships, corporations, trusts and other organizations without prior notification to the Area Agency on Aging. I will advise the Area Agency on Aging in writing of any additions to or deletions from this list.

List of Persons / et al with “substantial interest”: (Name and Title and interest/relationship)

Offeror Authorized Signature: Date:

Typed Name and Title:

PART C: CERTIFICATE OF DEBARMENT (ATTACHMENT E)

Proposer has reviewed the Certificate of Debarment and will execute the Certificate at the time of RFP submittal.

Yes No

PART D. ASSURANCES Proposers are required to have all applicable documentation of these assurances on file in order to be eligible for a contract with the Area Agency on Aging. Certification that these assurances have been met is contained in the Proposal Submittal Letter. If any of the items are not applicable to the organization, include an explanation in the proposal.

1. AGENCY ORGANIZATION

a. Proposer has on file a current staff organization chart, setting forth lines of authority, responsibility and communication in accordance with policies established the governing body.

Yes No

b. Proposer has on file a current organization chart depicting its relationship to the organization of which it is a subsidiary or by which it is sponsored.

Yes No

c. Proposer has on file a current copy of Articles of Incorporation and/or partnership agreement.

Yes No

d. Proposer has on file a current and complete list of the names and addresses of all members of the Board of Directors.

Yes No

e. Proposer has written procedures, requiring due process and prompt resolution of any complaint of discrimination on the basis of age, sex, religion, race, national origin or handicap.

Yes No

f. Proposer has read the Scopes of Work and Service Specification and assures implementation of these and other Area Agency policies, standards, manuals and directives to direct service staff.

Yes No

g. For Home Delivered Meals Only – If WACOG approves non-daily deliver, a plan must be included stating how the proposer will maintain daily contact with clients.

Yes No

2. PERSONNEL

a. Proposer has on file a current written job description, including minimum qualification for training and experience for each position.

Yes No

b. There is a resume on file for persons providing any service that specified qualifications to perform the proposed service.

Yes No

c. All Personnel has on file, a copy of a level one fingerprint clearance card, signed self-declaration affidavit, central registry clearance and Direct Service Provider form before providing direct care.

Yes No

3. FINANCIAL

d. Proposer has submitted a copy of the most recent independent audit report, including the auditor’s letter to management with this RFP proposal.

Yes No

e. Proposer has submitted a copy of its line item cost allocation plan with this RFP proposal.

Yes No

f. Proposer has submitted a copy of its most recent IRS-990, “Return of Organization Exempt from Income Tax” with this RFP proposal.

Yes No

EXPERIENCE, METHODOLOGY AND QUALIFACATIONS

Annex A and the WACOG Proposal Contractual Requirement Addendums that are provided for service must be completed in detail. The methodology explained in these documents will become part of the contract if awarded. Please read the General Instructions to Offerors and the Annex A Completion Instructions in their entirety before completing Annex A, the WACOG Proposal Contractual Requirement Addendums, and subsequent attachments.

All questions must be included when completing each response in the Contractual Requirement Addendum. Complete the addendum in the order and format that it is given. All questions should be fully answered and completed; attachments cannot be identified as your answer for each question. Attachments can be submitted, but only in support of the answer given; attachments will not be included in the contract, if awarded.

Note: Attachments A.1 through A.12 are the Scope of Work for each service.

Note: WACOG Proposal Contractual Requirement Addendums will be provided for each service being applied for.

GENERAL INSTRUCTIONSTO OFFERORS

1. PREPARATION OF PROPOSAL:

A. Unless otherwise specified in the Request For Proposal (RFP), all proposals shall be on the forms provided in this RFP package. It is permissible to copy these forms if required. Telegraphic proposals, mailgrams, or facsimiles will not be considered.

B. It is the responsibility of the offerors to examine the entire Request for Proposal packages and seek clarification of any item or requirement that may not be clear and to check all information for accuracy before submitting the proposal. Negligence in preparing an offer confers no right of withdrawal after the due date and time.

C. All proposals must be typed unless stated otherwise. Every part of the proposal must be legible and of sufficient print clarity to allow copying of the document.

D. All proposals must be complete, accurate, and professionally assembled, to include a cover page showing your agency, the service applying for, and the date of the application. The final proposal must be bound either in a 3-ring binder, combs (with plastic covers), or professionally bound. A proposal may be classified as unacceptable or rejected on the basis of unresponsiveness if there is a failure to submit all the requested information.

2. INQUIRIES: Any questions related to this RFP must be directed to Gina Whittington, Human Services & Aging Director at (928) 217-7123 or emailed at: ginaw@wacog.com

3. LATE PROPOSALS: Late proposals shall not be considered (See Arizona Administrative code (A.A.C.)( Rule R2-7-328). Offerors submitting a late proposal shall be so notified.

4. AWARD OF CONTRACT:

A. Notwithstanding any other provision of the Request for Proposal, the Western Arizona Council of Governments/Area Agency on Aging (WACOG – AAA ) expressly reserves the right to:

6) Waive any immaterial defect or informality; or

7) Reject any or all proposals, or portions thereof; or

8) Reissue this Request for Proposals or parts thereof.

B. A response to a RFP is an offer to contract with Western Arizona Council of Governments/Area Agency on Aging (WACOG – AAA) based upon the terms and conditions, and specifications contained in the RFP. Proposals do not become contracts unless and until they are signed by an authorized representative of both parties.

C. The finalized product mailed to the prospective provider shall be a contract with all changes submitted as the prospective provider’s best and final offer. The prospective providers must submit three (3) signed contracts to WACOG – AAA by the established date.

ANNEX ACOMPLETION INSTRUCTIONS

The Annex A (Program/Admin Section) will become part of any contract should an award occur.

1.0 Authorized Signatory of Provider

1.1 Enter the legal name of your agency and the Federal Employer Identification number assigned to your agency for tax reporting purposes.

1.2 Enter the name and title of the authorized signatory for your agency.

1.3 Enter the name and title of the individual authorized to sign in the absence of the person named in 1.2.

2.0 Notices

2.1 Indicate the name, title, address, and telephone number of the individual to whom any written notices related to this contract should be delivered.

2.2 This information has already been completed.

3.0 Contract Term

This information has already been completed.

4.0 Contract Purpose

This section has been pre-printed by the soliciting agency. No further information is required.

5.0 Contract Services and Service Delivery

5.1 This section has been pre-printed. No further action is required.

5.2 Darken the Box ONLY if this applies to you or your organization.

5.3 Place an “X” on the appropriate line(s) to indicate the service you are proposing to provide.

5.4 This section has been pre-printed. No further information is required.

5.5 Staffing.

Contract Services: Enter the title of each contract service for which funding is requested in this proposal. The title entered must be identical to the title at the top of the application Service Specification(s). If your proposal includes more than one contract service, leave sufficient space between service titles to list all of the positions responsible for providing each service opposite the service title in that section’s column.

Administrative Personnel Positions: For each contract service proposed, list the titles of all administrative staff and volunteer positions which devote any time to the provision of that specific service. The information on this page should match that of Schedule I of the budget for services that are not to be reimbursed on a fixed unit rate. If a given position devotes time to the delivery of more than one contract service, that position must be listed separately, opposite each contract service to which it devotes time.

Number of FTEs: For each position title listed, enter the Full-Time Equivalency (FTE) that position title devotes to the provision of that contract service, regardless of fund source. One FTE (1.) is approximately 2080 hours per; year including vacation

time. For example, if a full-time director of nursing spends 20 percent of her time supervising the home health aide service, then this position has .20 FTE allocated to home health aide administration.

Direct Personnel Positions: For each contract service proposed, list the titles of all direct staff and volunteer positions which devote any time to the direct provision of that specific service. Drivers, cooks and home health aides are examples of direct service staff. The information on this page should match that on Schedule I of the budget. If a given position devotes time to the delivery of more than one contract service, that position must be listed separately, opposite each contract service to which it devotes time.

Number of FTEs: For each position title listed, enter the Full-Time equivalency (FTE) that position title devotes to the provision of that contract service, regardless of fund source. One FTE (1) is approximately 2080 hours per year (including vacation time). For example, if a full-time director of nursing will be spending 10 percent of her time providing hands on nursing to clients in their homes, then .10 FTE of this position is allocated to home nursing.

5.6 Facility Location:

Service: List each service for which funds are requested. The service title entered must be identical to the title found at the tip of the application Service Specification(s).

Facility Name and Address: List the name and address of the facility or facilities, at which each service is provided.

NOTE: If all services are provided at one facility location, list the facility and address only once. If a given service is provided at more than one location, list all of the facilities and addresses where the service will be provided. The names and addresses of any subcontractor(s) facilities must be included in this listing.

Subcontract: Designate subcontractor facilities by placing a checkmark alongside the subcontractor facility name. If none of the facilities listed are subcontractor facilities, enter N/A.

Days and Hours of Operation: List the days and hours during which each service is available at the facility location. Where applicable, ditto marks (“) may be used to indicate duplicative information.

Holidays When Facility will be Closed: Darken the box in front of each holiday on which the facility will be closed. Indicate if an emergency answering service is available when the facility is closed. If your facility is closed on holidays not pre-printed on this form, type those holidays in the space provided.

SCOPE OF WORK AND SERVICE DELIVERY PLAN

The Scope of Work and Service Delivery Plan are provided in Attachments A.1 through A.12; these will be included as part of any contract awarded. The Scope of Work defines the service itself and the unit of service; they also identify service objectives, prescribe standards and/or licensure requirements and specify the service tasks to be performed. The WACOG Proposal Submittal Requirements addendums for each service expand upon the Scope of Work by identifying regional service intent, client eligibility, the scope of work and the reimbursement system that will be used for each specific service. The Service Delivery Plan is a narrative explanation prepared by the prospective provider as to how a service will be delivered in accordance with requirements.

A. Method of Preparation:

Instructions for completing each part of the Scope of Work are as follows:

I. Service Definition: Read the definition to ensure that the service you propose to provide corresponds to the service as defined.

II. Program Information: Read the program information to ensure that the service you propose corresponds to the program information as stated in the Scope of Work.

III. Definition of Unit of Service: The unit of service may be based on either measured time or on goods/items provided. If the unit is time measured, it will either be defined as staff time or service time. Staff time includes the amount of time spent performing the tasks listed in the service specifications. The productivity of a case manager will therefore be a reflection of the degree to which he/she documents time spent per client. Service time is measured by the amount of time spent providing services directly to a group or individual, and consists primarily of face to face client contact. Home care component services are measured as service time. Time measured services are to be tracked by minute and reported on a monthly basis by client, converting the total minutes provided to each client by dividing by 60 and rounding to two decimal places, e.g. 75 minutes equals 1.25 hours.

IV. Standards/Licensure Requirements: The contractor should study this section of the Scope of Work to ensure understanding of the requirements, willingness, and ability to comply with them in the delivery of Contract Services.

V. Service Standards: The Scope of Work identifies the service toward which the individual service is directed. Do not add to or delete the given service goals.

VI. Optional Tasks/Activities: Optional tasks/activities in the Scope of Work are items the contractor is expected to comply with throughout the duration of the contract.

VII. Service Delivery Plan: The Service Delivery Plan is part of the Scope of Work and is completed entirely by the Contractor. The Service delivery Plan and the budget are the two most important documents in the evaluation of a proposal.

B. Operational Plan

This plan should be a narrative description as to how the contractor will operate a service to include information about:

Site of Office Location

Intake Procedures

Outreach and Targeting Objectives

Staff Qualifications

Unit of Service Productivity Objectives

Organizational Structure

Quality Assurance

The plan should be clear and concise, and written in a manner that a layperson, who has never seen the contractor’s program, could understand how the service will be provided. Attached to the Scope of Work in the Proposal Package is an outline for the Service Delivery Plan. Complete this outline by answering the questions in the instructions for completing a particular Service Delivery Plan.

The Service Delivery Plan will become a part of any contract awarded and is subject to negotiation. The plan should explain how the service will comply with applicable Scopes of Work, additional AAA requirements including the service manuals prepared by WACOG/Area Agency on Aging and Service Standards issued by the Department of Economic Security/Division of Aging and Adult Services.

COST DATA

A. Introduction

This section includes:

Instructions and guidelines for preparation of the proposed Itemized Service Budget (ISB) or Rate Sheet and the Agency Operations Spread Sheet.

A sample Itemized Service Budget form.

A sample Agency Operations Spread Sheet form.

The Agency Operations Spread Sheet is to be completed regardless of whether a fixed unit rate or a fixed price with price adjustment contract is being solicited. Itemized Service Budget(s) must be submitted for all fixed price with price adjustment contracts and a rate sheet is to be submitted for all fixed unit rate contracts.

Budgets provide a system for cost analysis that enables the prospective applicant to see whether a service can be provided at a competitive price. All applicants are encouraged as part of an internal analysis to develop cost data information that is as detailed as the Itemized Service Budget even if a fixed unit rate contract is being solicited. However, this detailed budget need not be submitted as part of the proposal. The unit rate that an applicant offers should be stated on line 16 of the Agency Operations Spread Sheet. All revenues that will be used to provide units of service and will augment WACOG – AAA funding should be identified on the top portion of the Agency Operations Spread Sheet.

B. Itemized Service Budget Completion

The Itemized Service Budget projects (by line item) the costs expected to be incurred in the delivery of contract services and a narrative rationale for those items. The Itemized Service Budget may be negotiated with the prospective provider, accepted as presented or not accepted at all. The ISB is to be prepared on the basis of Total Service, inclusive of all fund sources. The Total Service includes all of the costs for personnel, equipment, supplies, activities, etc., associated with a given service, regardless of the fund source used to support those costs.

The following general instructions apply to the preparation of the ISBs:

1. Each ISB must portray, on a line item basis, the projected TOTAL COST of providing the individual service regardless of fund source. An ISB is also prepared for indirect costs.

2. All ISBs must be typed, or prepared by computer, in the specified format.

3. For any budget category where no costs will be incurred, place a zero (-0-) in the Service Cost Column.

4. Figures shall be rounded to the nearest whole dollar. For consistency $.49 and under shall be rounded down; $.50 and above shall be rounded up. Be sure to round figures only at the conclusion of each line item calculation, to avoid multiplying the effect of rounding.

5. Below is an explanation of each budget category:

Personnel

Use a Schedule I in either the legal or letter size paper or computer printout in the format of Schedule 1 to identify all employees of which any portion of their salary is a direct cost of the proposed service(s).For each position line the following columns must be completed:

1. Number of Positions

2. Full Time Employee (FTE) Level

3. Position (title)

4. Total Salary for Contract Period

5. Percentage (%) allocated to Service Cost

In addition, the Schedule I must include an “A” (Administrative Activities) and “D” (Direct Service Activities) line in the column “Percentage allocated to service”.Administrative Positions (A) devote all of their time to the performance of administrative activities. Administrative time is defined as time spent on activities/tasks that are not identified in Part VI of the Scope of Work. It is time spent in administering, or providing support for the provision of direct service. Direct Service Positions (D) devote all of their time to the performance of direct service to clients. Direct Service Time is defined as time spent in performance of the service tasks listed in Part VI of the Service specifications.

For some positions, a portion of the time will be devoted to administrative functions and the remainder will be spent in Direct Service. This split time factor is frequently true of such positions as Executive Director or Program Administrator/Supervisor.

Employee Related Expenses (ERE):

Use a Schedule II or a spread sheet in that format to indicate any fringe benefit that is expected to be allocated to the proposed service. Each entry should show the calculation of and the basis of allocating the expected costs of each benefit to the service. The percentage allocated to each service should match those on Schedule I.

Non-personnel Services Budget Categories (Professional/Outside Service, Travel, Space, Equipment, Materials and Supplies, Operating Services, and Indirect costs):

For each of these budget categories indicate the items included in the category, the basis for the cost, and the amount allocated to the service. Entries should be compatible with the DES Cost Principles and Service Budget Guidelines, and any applicable OMB Circular(s), and should accurately reflect the prospective provider’s

Cost Allocation Processes. A copy of the DES Cost Principles and Service Budget Guidelines may be obtained from the soliciting agency, and OMB Circulars may be available at the public library or the State Library of Archives.

The nature and allocation basis are needed for all indirect costs included in an ISB. The specific nature of indirect costs should be detailed. For example, if there is a fee for general administrative services that the organization levels against all its contracts, this should be indicated (“Administrative Service Fee…”). If indirect costs represent a service’s expected share of the costs of an Indirect cost Rate should be so described.

The approval letter from the federal cognizant agency must be included as an attachment. The other element needed is the basis of allocation of indirect costs to the contract service. The allocation basis must be the same as that detailed in the Agency’s Cost Allocation Plan.

C. Rate SheetAcross from the name of each service that the prospective provider proposes to provide enter the total number of units that will be provided during the period beginning July 1, 2019 through June 30, 2020. Then enter the rate that is being offered. The rate proposed may be negotiated with the prospective provider, accepted as presented or not accepted at all. The rate may not exceed that paid by any other payer for the same service.

D. Agency Operations Spread Sheet The purpose of the Agency Operations Spread Sheet is to give an overview of the total agency budget so that the relationship of the contract services to the total operations of the agency can be seen. The Agency Operations Spread Sheet portrays total agency revenues and projected expenditures, inclusive of all services and fund sources.

E. Method of Preparation:The Agency Operations Spread Sheet may be either typed or prepared by computer. Photocopies, rather than the original of any handwritten Agency Operations Spread Sheet may be included in the proposal but these must be legible. Illegible documents could result in your proposal being determined unacceptable for further evaluation and consideration.

The Agency Operations Spread Sheet identifies an agency’s expected revenue and expenditures for a proposed contract or budget period (usually a State Fiscal Year) by the prospective provider’s individual services or programs (per the columns of this form). Expected expenditures for each service/program are detailed by budget category. For fixed unit rate contracts the line item expenditures are not required. All revenues that will be used to provide units of service and will augment WACOG – AAA funding should be identified on the top portion of the Agency Operations Spread Sheet. Revenues required to fund expected service/program costs for an individual service or program are displayed by use of the seven lines in the revenue section of this form. All significant funding sources should be displayed and labeled in the “Revenue Sources” Section on the upper left hand corner of the form.

1. Item 1 through 3: Self-explanatory.

2. Item 4: Although the period covered by the next fiscal year Proposed Budget will normally be July 1-June 30 of the following year, there may be exceptions, particularly in mid-year proposals.

3. Item 5: This item denotes eight columns with six blank column headings plus the Indirect Cost and Total Column. Indirect Costs are treated like a service on this form and thus the column heading is pre-printed. If all costs are direct charges for your agency, enter “N/A” in this column. In the blank column headings, enter the names of all the services the prospective provider is proposing to provide, whether or not WACOG – AAA will be participating in the funding of the service. Do not list revenue sources as services.

4. Item 6: Enter the total revenues planned for each service. The revenue must be at least equal to the total costs for service, which will be listed below in the “Expenses” section. The “total” column at the far right must be completed for the “Revenues” section.

5. Item 7: In the column to the left under “Sources,” list the sources of revenue (e.g. RSA. United Way) with each row representing a single, separate fund source. If more rows are required, add

to the form provided. Once the fund sources are identified, enter the dollar amount contributed by each fund source to each service. Be sure that the sum of the funding components equal the total revenues expected. The “Total” column must also be completed for each fund source.

6. Item 8: Once the service headings are identified and the “Revenue” section is completed, enter the total dollars by budget category for each service unless a fixed unit rate contract is being solicited. These figures constitute the operating budget proposed by the prospective provider’s for each service and for the total organization for the coming year. These service budgets are for the entire organization inclusive for all fund sources, even those not related to DES.

If a fixed unit rate contract is being solicited skip down to Item 12.

NOTE: If you need additional service budget columns, use additional “Agency Operations Spread Sheets” as continuation pages, adjusting the column headings accordingly, and using the “Total” column on the last page.

7. Item 9: The “Total” column is the sum of all the line entries for all columns EXCLUDING THE INDIRECT COLUMN. The sum of the “Total” column is the dollar figure which represents the prospective provider’s proposed total operating budget for the next fiscal year and must also equal the sum of the individual service total shown.

8. Item 10: The “Allocated Indirect” row represents the distribution of all the indirect costs across all the services. The sum of all the entries in this row must equal the “Indirect Column Total” in the indirect Cost Column.

9. Item 11: Calculate the ratio of indirect to direct costs for each service and enter the percents in this row. The ratio is computed by dividing indirect costs by direct costs.

10. Item 12: Service total is the sum of the respective column’s individual line item expenditures or dollar entries. The sum of all line items must equal the sum of the total revenues. Keep in mind that the service totals represent the Prospective Provider’s total costs for the service, irrespective of the fund source.

If a fixed unit rate contract is being solicited enter the total sum of all the revenues.

11. Item 13: If a portion of the costs charged to a given service are “one time” or “start-up” expenditure, enter the total “one time” or “start-up” costs on line 13 under the appropriate service column(s). If no “one time” or “start-up” costs have been included in service totals, proceed on to Item 15.

12. Item 14: Subtract line 13 from line 12 for each service for which an entry has been made on line 13. Enter this figure on line 14.

13. Item 15: Enter the total number of units of service expected to be delivered during the coming fiscal year for each service. This number should match the service level specified on the Rate Sheet.

14. Item 16: For a fixed price with price adjustments (formerly cost reimbursement) contract; the unit rate is derived by dividing the service total by the number of units for each service. This will give you the unit rate. Enter this figure for each service. If the potential provider is soliciting for a fixed price with price adjustments contract, enter the rate that has been bid for each service on the Rate Sheet.

NOTE: If a one time or start-up figure is used (Line 14) you must subtract that figure from the total expenditures before dividing the amount by the number of units.

NOTE: This unit rate shall be the basis for the five (5%) percent adjustment to a fixed price with price adjustment contract that allows reimbursement up to 105 percent of the rate specified in the Contract Operating Budget.

ANNEX A

PROGRAM/ADMINISTRATION SECTION

1.0 Authorized Signatory for Contractor:

1.1 ___________________________________________ FEIN_______________________________ Contractor Name Federal Employer Identification Number

___________________________________________ _____________________________ Address Phone Number

1.2 ___________________________________________ __________________________________

Name of Authorized Signatory Title

is the signatory to this Contract on behalf of the Contractor and is responsible for the delivery of Contract Services during the term of this Contract.

1.3 In the absence of the principal authorized signatory named above, ___________________________

Name ______________________________ is authorized to sign this Contract and any amendments

Title thereto on behalf of the contractor.

2.0 Notices:

2.1 The WACOG AAA shall address all notices relative to this Contract to the attention of: ________________________________________________________________________________ Name and Title ________________________________________________________________________________ Address Phone Number

2.2 The Contractor shall address all notices relative to this Contract to the attention of:

Gina Whittington, Human Services & Aging Director______________________________________ 1235 S. Redondo Center Dr., Yuma, AZ 85365 ginaw@wacog.com (928) 217-7123 Address E-Mail Address Phone Number

3.0 Contract Term:

A. Term:

The term of this Contract shall begin on July 1, 2019 or date of last signature, whichever is later, through June 30, 2020 and may be extended for up to 5 years.

B. Intent to Terminate:

In the event a contractor decides to terminate the contract, a written sixty (60) day notice will be required. The contractor shall assist the Department in the transition of services or eligible person to other contractors. This assistance shall include, but not limited to, forwarding of program and other records as may be necessary to assure the smoothest possible transition and continuity of services.

4.0 Contract Purpose:

A. Title III:

The target populations, problems and needs are identified and specified in the Area Agency on Aging Area Plan for services and the Area Plan amendments.

Contract Goal:

To provide the services specified in 5.3 to eligible older persons in accordance with the Older Americans Act of 1965, as amended (42 U.S.C., and 3001, et.se1.); the OAA Regulations (45 CFR part 1321); DHHS Grant Administration Regulations (45 CFR part 74); and other applicable laws, rules, and policies.

B. Supplemental Payment Program:

The target population and problems are identified in the DES Operating Manual, Article 6 Chapter 3, page 603 A-3 and 603 B-1.2. (DES-6-3-603).

Contract Goals:

To provide a range of home care services to eligible aged, blind, or disabled persons who qualify for either the optional or mandatory Supplemental Payment Program.

Contract Objective:

To provide Supplemental Payments to or on behalf of persons who qualify for the Home Care Program funded with Supplemental Payment funds.

C. Title XX and/or State Case Management:

The Title XX and State Case Management Services to be provided during the term of this Contract shall address the problem(s) and need(s) and seek to achieve the program goals describe below:

(1) Achieve or maintain economic self-support to prevent, reduce, or eliminate dependency.

(2) Achieve or maintain self-sufficiency, including reduction or prevention of dependency.

(3) Prevent or remedy neglect, abuse, or exploitation of children and adults unable to protect their own interests; or preserve, rehabilitate, or reunite families.

(4) Prevent or reduce inappropriate institutional care by providing for community-based care or other forms of less intensive care.

(5) Secure referral or admission for institutional care when other forms of care are not appropriate.

5.0 Contract Services and Service Delivery:

5.1 Scope of Work:

Each Contract Service to be provided under this contract shall be delivered in accordance with the requirements indicated in the applicable Scope of Work.

5.2 Subcontractors:

A portion of the Contract Services to be provided under this Contract shall be delivered by Subcontractors as identified in section 5.6 of this Annex. Contractor understands and warrants that no work shall be performed by a Subcontractor until the subcontract document has been reviewed by and approved in writing by the authorized Area Agency on Aging representative.

5.3 Contract Services: (Check all services that Contractor will deliver.)

Congregate Meals Transportation In-Home Respite/Group Respite

Home Delivered Meals Legal Assistance Health Benefits Outreach

Attendant Care Housekeeping Medication Management

Adult Day Care

5.4 Eligibility Criteria, Intake Procedures, and Case Records:

5.4.1 Eligibility Criteria

A. Title III:

Aging Services eligibility criteria is limited to the descriptions in 45 CFR Part IV, “Grants for State and Community Programs on Aging,” and Title XVI of the Social Security Act, as amended.

B. Supplemental Payment Program:

Eligibility to be determined by case management agency. Clients eligible for the Supplemental Payment Program must meet the following criteria in order to receive services from the authorized direct service provider:

1. Be eligible for and receiving Supplemental Security Income (SSI).

2. Be 60 years of age or older if applying for Home Health or Home Nurse Services.

C. Title XX and/or State Case Management

Eligibility criteria will be as indicated in the Omnibus Budget Reconciliation Act of 1981 (Public Law 97-35) including Section 2352 “title XX Block Grants;” Title 45 Code of Federal regulations, Parts 74 and 96; and the Arizona Title XX Social Services Plan. Specific Eligibility criteria will be as indicated in the Facility Location Chart, Section 5.6 and/or in the Service Methodology of the applicable Service Specification(s). In addition, Adult Protective service recipients shall be considered eligible for Title XX services and case management upon referral from Adult Protective Services.

D. Attendant Care and Housekeeping/Homemaker:

Beginning July 1, 2010, providers of personal care, attendant care, and housekeeping/homemaker services must implement training and testing of staff consistent with the Arizona Direct Care Worker (DCW) Training Standards. Providers have until June 30, 2011, to fully meet all DCW requirements. Beginning July 1, 2012, AAAs will contract only with providers that have fully implemented the Arizona DCW Training Standards.

E. Evidence Based Chronic Disease Self Management Program:

The EVIDENCE BASED CHRONIC DISEASE SELF MANAGEMENT PROGRAM will be introduced into the communities with provider participation during the SFY 2011. This program is to teach the elderly and disabled the skills needed to effectively manage their health and improve their quality of life.

F. Fingerprinting and Background Checks:

Personnel who are employed by the Contractor, whether paid or not, and who are required or allowed to provide services directly to juveniles or vulnerable adults shall submit a full set of fingerprints to the Department for the purpose of obtaining a state and federal criminal records check pursuant to section 41-1750 and Public Law 92-544 or shall apply for fingerprint clearance card within seven working days of employment. The proof must be kept in the employee/volunteer file and available for review upon request by the WACOG/AAA monitor.

The contractor shall maintain the Central Registry Background Check results in a confidential file for five (5) years after termination of the Contract.

G. 10% inkind match on all contractual re-imbursement funds:

In accordance with the DAAS/DES Administration on Aging, all reimbursable funding rewarded to the regional contractors requires a 10% inkind match. This match can be a combination of non-federal inkind derived from volunteer hours, non- monetary donations, etc. and from non-federal cash. Non-Federal cash does not include donations from the clients for the services received.

The formula to determine the amount of this match (as set by DES/Administration on Aging) is as follows: total reimbursement ceiling/.90X.10.

H. Emergency Preparedness Requirements - The Contractor Shall

Coordinate activities with local and State disaster/emergency response agencies, relief organizations, local and state governments, and any other institutions that have responsibility for disaster relief service delivery.

Establish and implement a Disaster/Emergency Management Plan that includes components of disaster/emergency preparedness, disaster/emergency response, and disaster/emergency recovery as described in the DAAS Policy and Procedure Manual, as may be amended.

5.4.2 Intake Procedures

A. Intake for Respite (Group, In-Home), Adult Day Care/Adult Day Health, Home Delivered Meals and Attendant Care (Housekeeping, Personal Care,) shall be through the WACOG Case Management System.

B. Contractors of services specified in “A” above may only serve clients who have been determined eligible by the WACOG Case Management system.

C. Case Management providers shall comply with the intake procedures specified in the WACOG AAA Program Instructions and Case Management Manual.

D. Contractors of Congregate Meals, Legal Assistance, or Transportation services shall complete a WACOG Application/Registration Form AGO26 (3-93) on every individual that is to receive any contract services.

5.4.3. Case Records

A. Contractor shall maintain daily service records identifying the clients that receive services, the dates that each client received services and the units of service that each client received by date.

B. Individual client files shall be maintained on persons receiving Respite (Group, In-Home, Adult Day Care/Adult Day Health Care), Home Delivered Meals, Housekeeping and Attendant Care and these files must include documentation of service planning by the WACIG Case Management system.

C. Housekeeping and Attendant Care providers shall maintain individual client files which shall include documentation specified in the WACOG Home Care Manual.

5.4.4 Project Income

The Contractor commits to not denying service to any client solely because the client refuses to make a donation.

The contractor shall solicit voluntary donations from clients for services received.

5.5 Staffing:

Each Contract Service shall be provided by the following personnel positions:

Contract Service Name

Administrative

Personnel Positions FTE

Direct

Personnel Positions FTE

5.6 Facility Location:

Contract Services may be delivered only at the facilities and locations specified below and shall be available during the hours of operation indicated:

SERVICE

FACILITY NAMEAND

ADDRESSSUBCON-TRACT ( )

DAYS AND HOURSOF OPERATION

GEOGRAPHIC COVERAGE

The facility(ies) listed above will not be open on those holidays marked below (darken box for applicable holidays):

New Year’s Day Independence Day Christmas Day Martin Luther King, Jr. Day Labor Day ___________ President’s Day Columbus Day ___________ Memorial Day Veteran’s Day ___________

Thanksgiving Day

RATE SHEET FOR SFY 2019-2020

Service Service Level Unit Rate Quote

Home Care

Housekeeping

Attendant /Personal Care

Respite

Legal Assistance

In-Home Respite

Group Respite/Adult Day Care

Medication Management

Congregate Meals

Home Delivered Meals

Transportation

SECTION IV:PROPOSAL SUBMITTAL CHECKLIST

Sealed Proposals, including one (1) signed bound and four (5) unbound copies and one (1) electronic copy, must be physically in the possession of the Area Agency on Aging by 3:00 pm, Arizona Standard Time, Friday, March 08, 2019. Late proposals will not be accepted. Sealed Proposals will be opened on March 08, 2019 at 3:30 pm in the Area Agency on Aging conference room. Bound is defined as a fully enclosed binder, not stapled or otherwise clipped such that papers may easily become loose. Whereas the Budget forms may have been provided via disc, the Proposal Submittal Packet must be submitted in paper format, all pages numbered in the sequence identified below. Proposals must include this checklist to specifically verify that the following items, as applicable, are submitted and in the order listed:

SECTION III Proposal Submittal Letter Organizational Information and DocumentationProposer Qualifications Part A Part B Disclosure of Substantial Interest Certificate of Debarment Assurances Addendums (if any are issued)Experience, Methodology and Qualifications Annex A WACOG Proposal Contractual Requirements (for each service)

Budget Information and Worksheets Staffing Worksheet Itemized Service Budget Agency Operations Spreadsheet

Additional Operations Expenses Worksheet Agency Profit/Loss Statement or Latest Audit

SECTION IV Proposal Checklist

Attachment A.1 – Adult Dare CareScope of Work

Arizona Department of Economic Security (DES) – Area Agencies on Aging

10.0 ADULT DAY CARE/ADULT DAY HEALTH CARE

10.1 Purpose Statement10.1.1 The service improves the emotional and mental well-being of eligible individuals, enabling

eligible individuals to interact socially, receive health monitoring, and to acquire knowledge and skills, and provides respite for the caregivers of eligible individuals. Services provide respite for family caregivers from the demanding responsibilities of their role, helping to avoid costly and unwanted placement of the care recipient in a full-time care facility.

10.2 Service Description10.2.1 Taxonomy Definition – A service that provides supervised planned care and health-related

services to adults in a group setting during a portion of a 24-hour day. 10.2.2 In general, there are three types of adult day centers: social (which provides meals,

recreation and some health-related services), medical/health (which provides social activities as well as more intensive health and therapeutic services) and specialized (which provide services only to specific care recipients, such as those with diagnosed dementias or developmental disabilities). Caregivers typically select the type of center a care recipient attends based on the care needed.

10.2.3 Adult Day Care is a component of community-based long-term care systems and a service that supports the caregiver. As a supportive caregiver service, adult day care can diminish caregiver burden and stress, and can prevent or delay more costly unwanted out-of-home placement for care recipients.

10.2.4 Services are designed to provide social and some health services to adults who need supervised care in a safe place outside the home during the day.

10.2.5 Adult Day Care is a caregiver-focused service, but can be provided to individuals living at home alone as an opportunity for socialization and health care supervision.

10.2.6 Adult Day Care is a case-managed service.10.2.7 Adult Day Care is short-term (4-8 hours at a time), with preference in length based on the

caregiver’s specific need.10.2.8 Adult Day Care is normally planned in advance as part of a care plan, but can also be

provided on an emergency basis.10.2.9 For the purpose of the Family Caregiver Support Program, this service is to be provided to

the caregiver as a form of respite care service and is considered to be a temporary substitute supportive service that provides a brief period of relief or rest for caregivers. Temporary is defined as not more than 8 hours per week.

10.2.10 Eligibility Requirements – The Contractor shall provide services to individuals that meet the eligibility requirements described in the DAAS Policy and Procedure Manual, as may be amended.

10.3 Service Requirements – The Contractor shall: 10.3.1 Provide supervision and monitoring.

1. Review case manager authorization for duration of service and any special service requirements.

2. Develop a written care plan for each individual upon entry. The care plan shall utilize the individual’s family and/or friends when applicable/possible. The care plan shall include a plan of action to be followed in the event of an emergency.

3. Maintain monthly progress notes for each individual. Reassess at least every six months, in writing, the adequacy of the individual’s care plan. Reassessments are to be completed more frequently than six months if the individual’s medical condition changes.

4. Refer individuals/caregiver to and coordinate with the appropriate agencies and resources when additional social, emotional or physical needs are present.

10.3.2 Ensure services provided to the care recipient include, but are not limited, to:1. Provide short-term personal care and supervision.2. Provide supervision of the individual to protect the individual’s welfare and safety. 3. Provide for the social, emotional, and physical needs of the individual. 4. An initial visit may be conducted to set up a care plan that addresses the

individual’s interests, e.g., cards, sports.5. Ensure that the individual receives medication as prescribed.6. Provide first aid and appropriate attention to injury and illness.7. Ensure provision of food to meet daily dietary needs, including a therapeutic diet if

prescribed.

8. Provide general supervision of the individual’s activities of daily living, including activities such as bathing, dressing, eating, toileting, etc.

9. Provide individual or family psycho-social intervention when applicable.10. Ensure that for individuals living in nursing homes, services shall only be provided

when there is a discharge plan which indicates a definite time-line for transitioning back into the community.

10.4 Licensure/Certification Requirements – The Contractor shall: 10.4.1 Ensure that the facility where Adult Day Care/Adult Day Health Care is provided is licensed

by the Department of Health Services according to the Arizona Administrative Code (A.A.C.) R9-10-501 through R9-10-514, as may be amended. Tribal providers need approval from the tribal government or the Bureau of Indian Affairs in operating an Adult Day Care/Adult Day Health Care facility.

10.4.2 Ensure that programs that provide meals comply with the nutrition requirements as specified in the A.A.C. R9-10-509, as may be amended.

10.4.3 Service providers shall meet the requirements according to A.A.C. R9-10-501 through R9-10-514, as may be amended.

10.5 Performance Measures 10.5.1 The number of caregivers who were provided respite through the provision of Adult Day Care services.10.5.2 The ability to care for the individual was enhanced as measured by the pre and post service

delivery evaluation (Caregiver Assessment Tool). Note: This measure becomes effective on July 1, 2011.

10.6 Reporting Unit10.6.1 One unit of service equals 60 minutes of service time.

Attachment A.2 – Attendant CareScope of Work

Arizona Department of Economic Security (DES) – Area Agencies on Aging

12.1 ATTENDANT CARE

12.2 Purpose Statement12.2.1 The service provides assistance with routine housekeeping tasks, personal physical needs,

and related services at an individual’s place of residence, helping clients to maintain their independence and avoid costly and unwanted placement in a care facility.

12.3 Service Description12.3.1 Taxonomy Definition - A service that provides a qualified individual to supply needed

services in order for an individual to remain in his/her home and/or participate in work/community activities.

12.3.2 Attendant care is a case managed service. 12.3.3 Attendant care provides assistance with homemaker services, personal care, coordination

of services, general supervision and assistance, companionship, socialization and skills development at an individual’s place of residence.

12.3.4 The Non-Medical Home and Community Based Services System is designed to establish the necessary support services to retain functionally impaired individuals within their community and avoid premature institutionalization. Attendant Care is a component of community-based long-term care systems.

12.3.5 Attendant care increases an individual’s ability to live independently in the community. 12.3.6 The service may be used as part of the Home Care cluster.12.3.7 Eligibility Requirements – The Contractor shall provide services to individuals that meet the

eligibility requirements described in the DAAS Policy and Procedure Manual, as may be amended.

12.4 Service Requirements – The Contractor shall:12.4.1 Provide assessment, supervision, and monitoring.

1. Upon authorization by a case manager, an initial supervisory visit by the service provider to determine specific tasks is to be performed is recommended. During this visit, a care plan is developed and specific tasks can be assigned to the attendant care worker for completion at each visit in the time allotted.

2. The Supervisor shall conduct home visits for each client at least every 90 days, or more frequently if required, to determine if the worker is performing tasks according to the care plan and to remedy areas of deficiency.

12.4.2 Provide attendant care services in accordance with the client’s individualized care plan as authorized by the case manager. Services include but are not limited to:1. Provide housekeeping/homemaker tasks to maintain safe and sanitary living

conditions for individuals.2. Provide cleaning tasks to include dusting, cleaning floors, bathrooms, windows (if

necessary to attain safe or sanitary living conditions); cleaning oven and refrigerator (if necessary to prepare food safely); cleaning kitchen; washing dishes; changing linens; making beds; and routine maintenance of household appliances.

3. Wash, dry and fold laundry. Ironing to be included if clothes cannot be worn otherwise.

4. Provide Personal care services including1. Assist with showering, bathing, toileting, dressing, oral care and

shampooing.2. Assist with transfer to and from wheelchair and/or bed.3. Assist with eating, where the assistance required may include: reminding or

encouraging the individual to maintain intake; serving or bringing food to the individual; preparing food for consumption through cutting meats or other set-up activities; (assist with menus/food selection) and feeding the individual.

4. Assist with routine ambulation activities.5. Assist with routine nail and skin care.6. Assist with tasks necessary for the comfort and safety of the movement-

restricted (tasks that do not require medical or nursing supervision)

7. Assist the individual with special appliances and/or prosthetic devices, if the procedure is routine and well established.

8. Train the individual, his/her family members, and/or friends in personal care tasks, as appropriate.

5. Provide general supervision which includes 1. Client self-administration of medications; 2. Monitoring the Member’s medical condition and functional level; and 3. Reporting findings to the Case Manager.

6. Provide assistance with recreational/socialization skill development.7. Encourage the individual, family, caregiver or representative to provide input into

and support the individual’s service plan to assure that activities and services are provided to meet the objectives of the individual’s service plan.

8. Other tasks such as documenting and communicating to the individual’s case manager, any decline, improvement or continuing maintenance of the individual’s condition.

9. Refer for appropriate action all individuals who present additional medical or social problems during the course of service delivery.

10. Staff may not handle client’s cash or write checks for clients.

12.5 Optional Tasks/Activities - The Contractor may:12.5.1 Provide or ensure nutritional maintenance for eligible individuals.

1. Plan and cook meals.2. Shop for and store food.3. Shop for and store household supplies and medicines.

12.5.2 Attain safe living conditions for individuals.1. Provide heavy cleaning such as ceiling, walls or floors.2. Provide yard work such as cleaning yard and hauling away debris.3. Provide pest control services, when insect infestation presents a health concern for

the client. Pest control services will be purchased from licensed agencies, if no other funding for this service is available.

12.5.3 Assist individuals in obtaining and/or caring for basic material needs for water, heating and food.1. Haul water for household use.2. Gather and haul firewood for household heating or cooking. This includes sawing

logs and chopping wood into usable sizes.3. Care for livestock used for consumption. This includes feeding, watering and

milking.4. Care for the garden used for food consumption.5. Dig out dirt floors and replacing with fresh dirt.6. Turn heating and/or cooling systems on or off. The person who performs the chore

service of turning on/off utilities shall have instruction about heating and cooling systems from the local utility company or weatherization project.

12.6 Licensure/Certification Requirements – The Contractor shall:12.6.1 Ensure that direct service providers have current certification in CPR and training in home

accident prevention and first aid.(Licensed medical personnel are not required to provide this service.)

12.6.2 Ensure the following staffing standards:1. Newly hired employees providing Attendant Care shall submit three (3) references

from persons other than family members. All references, whether verbal or written, shall be contacted and results documented in the personnel record.

2. Attendant Care Workers shall not give personal care services until they have been certified competent in this area by their agency. As described in the DAAS Policy and Procedure Manual, as may be amended, staff providing Attendant Care shall demonstrate knowledge and skills consistent with the Arizona Direct Care Training standards before providing services. The complete curriculum, competencies and information related to agencies that want to become an approved testing site will be made available on the ADES website. Documentation of test results (knowledge and skills) or verification of prior testing shall be included in the personnel record.

3. The direct service staff supervisor shall have at least two (2) years’ full time employment experience in supervisory capacity; one (1) year of studies at an accredited college in a related field can substitute for one (1) year’s experience.

Orientation to target population is also required, unless otherwise evident in background.

4. The direct service staff supervisors demonstrates knowledge and skills consistent with the Arizona Direct Care standards at the same level, at a minimum, as the employees being supervised.

12.7 Performance Measures12.7.1 Percentage of clients 60+ years of age with severe disabilities (3+Activities of Daily Living

(ADL) limitations) that receive Attendant Care services.12.7.2 Percentage of clients 60+ years of age living below the poverty level that receive Attendant

Care services.

12.8 Reporting Unit12.8.1 One unit of service equals 60 minutes of service time.

Attachment A.3 – Caregiver Training – Direct Care Workforce

Scope of WorkArizona Department of Economic Security (DES) – Area Agencies on Aging

13.1 CAREGIVER TRAINING - DIRECT CARE WORKFORCE

13.2 Purpose Statement13.2.1 The services helps to ensure the availability of a qualified Direct Care Workforce (DCW)

that meets the needs of the population and the non-medical home and community based service system.

13.3 Service Description13.3.1 Taxonomy Definition – A service that provides training to assist caregivers in performing

care giving activities, decision making, and problem solving.13.3.2 Service includes training for individuals in preparation for employment as direct care

professionals and support staff in the community as well as continuing education.13.3.3 Services are to be designed in accordance with the goals of the DCW Initiative, utilizing the

Principles of Caregiving model curriculum and related materials. 13.3.4 Training may be offered to professional and informal caregivers and individuals desiring to

become caregivers.13.3.5 This service may also encompass the training of instructors or supervisors of direct care

staff and related activities, such as curriculum development and outreach. 13.3.6 Target Population

1. Individuals seeking employment as direct care workers or desiring to improve their qualifications.

2. Trainers and supervisors of direct care staff at provider agencies. 3. Individuals providing support and development services for activities related to the

training program.4. Informal caregivers and volunteers.

13.3.7 Eligibility Requirements – The Contractor shall provide services to individuals that meet the eligibility requirements described in the DAAS Policy and Procedure Manual, as may be amended.

13.3.8 Background - A training curriculum was developed for direct care professionals based upon the recommendation of the Citizens Workgroup on the Long-Term Care Workforce with the goal to establish standardized training for direct care workers in Arizona. The DCW Training Program promotes collaboration between training entities and employers to build support for the program. Common outreach materials will be developed to inform providers in Arizona about the curriculum and the objectives of the training. Based on recommendations submitted by the DCW Committee in 2008, a standardized test for direct care workers and a public awareness campaign to promote the value of qualified, trained direct care workers were developed. Workshops for trainers enable subcontractors to train direct care workers on the curriculum.

13.4 Service Requirements – The Contractor shall:13.4.1 Provide professional development for trainers or supervisors of direct care staff

1. Provide workshops for trainers or supervisors in a classroom setting or alternate formats, to meet the needs of trainers in the respective region, including rural and underserved areas.

2. Utilize materials and experiences from the direct care curriculum pilot project and previous workshops. New materials and findings shall be documented and made available to DES and/or other agencies providing training.

3. Utilize an evaluation tool to allow participants to evaluate their training.

13.4.2 Provide training for the direct care workforce1. Facilitate the training of direct care professionals through payment of tuition,

instructional materials, instructors and facilities, and other approved means. 2. Utilize the Principles of Caregiving model curriculum as appropriate and provide

training that meets the standards determined by the DCW Initiative.

3. Include direct care providers and professionals in rural and underserved areas and informal caregivers as appropriate.

4. Utilize an evaluation tool to allow participants to evaluate their training and to collect data n participants and their needs.

13.4.3 Provide course development1. Provide for development of curriculum revisions, supplemental materials, such as

tests and materials in different languages, or alternative delivery methods, including electronic media, to ensure continuing compliance with standardized competency and testing requirements for direct care workers delivering services for public programs.

2. Develop delivery methods appropriate to rural settings, where applicable.3. Utilize existing course materials and competencies, building on the work of the

DCW Initiative. 13.4.4 Provide Outreach

1. Coordinate or participate in statewide public awareness activities in collaboration with the DCW Initiative and related committees regarding career development, best practices in training and supervision, and related activities.

2. Identify providers of non-medical home and community based services and engage them in the direct care workforce initiative through a variety of activities, including the dissemination of outreach materials, invitations to trainer workshops, and related activities.

3. Provide planning, logistics, and program support for special events, such as conferences

4. or professional development events.13.4.5 Evaluate training materials, classes or workshops, or the effectiveness of other activities

related to the direct care workforce initiative.13.4.6 Ensure that a staff person shall be designated who will be responsible for coordinating

activities, submitting reports, and facilitating communication and collaboration among project participants including those in other regions.

13.4.7 Ensure that instructors/trainers have the educational qualifications and/or required certifications or related experience in the subject matter, through an industry-recognized standard or an educational institution.

13.4.8 Ensure that training is appropriate in design and implementation to account for different types of service delivery, employee profiles, and client demographics.

13.5 Performance Measures 13.5.1 Evaluation instruments used at workshops show that trainers/supervisors of direct care

workers have increased their knowledge of relevant topics or skills. 13.5.2 Individuals participating in worker training are prepared to take the Arizona Standardized

DCW tests.13.5.3 Course materials address specific needs identified by the DCW Initiative, related

committees, or providers of direct care.

13.6 Reporting Unit13.6.1 One unit of service equals one completed activity or deliverable.

Attachment A.4 – Congregate MealsScope of Work

Arizona Department of Economic Security (DES) – Area Agencies on Aging

17.1 CONGREGATE MEALS

17.2 Purpose Statement17.2.1 The service help to increase the nutrient intake of participants to prevent or reduce the risk

of chronic diseases, preserve and promote health, and improve nutritional status. 17.3 Service Description17.3.1 Taxonomy Definition – A service that provides for a nutritious meal containing at least 1/3 of

the Recommended Dietary Allowance for an individual in a congregate setting. 17.3.3 Congregate nutrition services:

1. Provide for meal planning, preparation and service.2. Provide staff training, nutrition education and social interaction.3. Links older adults with community-based services and provide resources that give

participants choices for physical and health interventions, where available.17.3.4 The Older Americans Act as amended in 2006 adopted 1/3 of Dietary Reference Intakes as

the meal standard.17.2.5 Eligibility Requirements – The Contractor shall ensure services are provided to individuals

that meet the eligibility requirements described in chapter 3100 of the DAAS Policy and Procedure Manual, as may be amended.

17.4 Service Requirements – The Contractor shall provide: 17.4.1 Menu planning

1. Develop cycle menus to be used on a semi-annual basis (every 6 months). A cycle menu is a six or more week menu that will be rotated throughout the period.

2. Keep menus, as served, available for audit inspection for at least one year after the meals have been served. Menus shall also be kept for at least one year at the meal preparation site and the location where the meal was served.

3. Ensure a mechanism is in place to solicit the advice and expertise of:a. a dietitian or other individual described in paragraph in 17.3.1.11b. meal participants, and

c. other individuals knowledgeable with regard to the needs of older individuals as stated in DAAS Policy and Procedure Manual, Chapter 3200

4. Write menus in the dominant language or languages of the participant group for each site.

5. Incorporate ethnic and cultural preferences of participants when planning menus.6. Plan, prepare, provide and serve meals in accordance with the Arizona Department

of Economic Security Division of Aging and Adult Services “Nutrition, Food Service, and Wellness Manual (2008)” and as amended.

7. Ensure that each meal contains at least one-third (1/3) of the current Dietary Reference Intakes for nutrients as may be amended, as established by the Food and Nutrition Board of the National Academy of Science – National Research Council. i. Each meal must contain a specified number of calories as defined in DAAS

policies and procedures. Ii. Plan the menu with a majority as hot meals. iii. A few cold meals may be planned, such as once a week during the

summer, to add variety to the menu. Examples include chef salad, sub sandwich or deli plate.

8. Submit menus per the DAAS Policy and Procedures Manual, as may be amended on a standardized menu form and secure the approval of a Registered Dietitian (R.D.), Nutritionist, Dietetic Technician Registered (DTR), or Certified Dietary Manager (CDM) prior to serving. i. The R.D., Nutritionist, DTR, or CDM shall verify this by computerized

nutritional analysis of at least one meal per week of the menu cycle and adherence to menu requirements in the Arizona Department of Economic Security Division of Aging and Adult Services “Nutrition, Food Service, and Wellness Manual” and as may be amended from time to time.

9. Plan menus to reduce the frequent use of foods high in sugar, salt, and saturated fats.

10. Plan menus considering the availability of foods during seasons when they are most plentiful.

17.4.2 Provide meal preparation and service1. Prepare or arrange for preparation and service of meals, and adhere to menus as

written. Substitutions which shall be made because of a temporary inability to obtain certain foods shall be selected from the same food group, for example, 1/2 cup carrots for 1/2 cup green beans. Substitution menus for holidays and special occasions must meet menu requirements. All substitutions shall be documented on the menu for site review.

2. Purchase and receive food contributions only from an approved source, such as grocery stores and food vendors. The following shall not be used: cans which are bulging, dented, leaking, rusty, or which spurt liquid when opened; food with an off-odor; food which shows signs of mold; food prepared or canned in the home.

3. Prepare and serve meals for persons needing diabetic or sodium-restricted diets, etc. (when appropriate and feasible) with written approval from the individual’s physician, e.g., diet order. All special diet menus shall be approved by a Registered Dietitian or Nutritionist.

4. Maintain a distinct and physical separation of dining facilities from food preparation facilities.

5. Use facilities and equipment that are suitable and accessible for use by aged and disabled individuals when providing congregate meals.

6. Allow adequate aisle space between tables for the use of wheelchairs, or to allow persons with canes or other support devices to walk with ease.

7. Post menus at the site at least one week in advance, in a location at the site that is clearly accessible and visible to individuals attending the congregate meals site.

8. Obtain the individual’s signature and date for each meal served and maintain the signatures in a central file, or contractor staff shall certify the individuals and dates for which each meal was served and maintain the certification in a central file.

9. Document the number of meals provided each month.10. Review food service expenditures in order to further cost effective management.11. Develop and implement an emergency plan to be used when a meal cannot be

prepared or is unsuitable for consumption. This includes a one-day emergency menu with supplies on hand for implementation.

12. Give participants an opportunity to contribute towards the cost of the meal in accordance with the DAAS Policy and Procedure Manual Chapter 3200, as may be amended.

13. Prepare and serve congregate meals in compliance with all municipal, county, state, and federal requirements related to the food service operation.

17.4.3 Staff Training 1. Provide food safety and sanitation training for all new food service personnel within

the first month of employment to include at a minimum, but not limited to: personal hygiene, proper attire for food service workers, cleaning and sanitizing, correct use of gloves, proper hot and cold food temperatures, proper use of a thermometer, food delivery procedures and correct disposal and/or storage of left-overs.

2. Ensure that all food handlers pass a course in food safety and sanitation within one month of employment. The site manager or the appropriate management staff shall have additional training such as ServSafe or other course approved by their County Health Department.

3. Provide training on a periodic basis to persons preparing and delivering meals. Training is encouraged in the areas of food safety and sanitation, storage, food preparation and service, cost effective management, purchasing, menu planning, equipment operation and safety.

4. Document staff training in personnel files.17.4.4 Nutrition Education

1. Plan, develop, and implement a written nutrition education program that includes at least two sessions/activities each quarter.

2. Nutrition education includes written materials, demonstrations, audio-visual presentations, lectures, and small group discussions.

3. Nutrition education pertains to nutritionally related topics that are culturally sensitive such as: dietary guidelines for older adults, modified meals and chronic disease,

food and drug interaction, physical fitness health information as it relates to nutrition, meal planning and preparation, budgeting, shopping, and sanitation.

4. Nutrition information shall be backed by credible research. Only materials from reputable sources shall be used such as The American Dietetic Association, United State Department of Agriculture, United States Food and Drug Administration, National Institutes of Health, Centers for Disease Control, Administration on Aging, and the National Institute on Aging.

5. Post and advertise nutrition education sessions/activities in advance. 6. Ensure that each center/site site submits to the Contractor an outline of the

proposed nutrition education program annually.7. Document the date, topic covered, name of the presenter and the number of people

who attended the nutrition education. Keep documentation available for audit inspection for at least one year at the center/site.

8. Ensure that every participant is given the Nutrition Screening Checklist initially, and annually thereafter. Those at high nutritional risk with a score of six or higher are referred to a healthcare professional for nutrition-related counseling.

17.4.5 Social Interaction 1. Provide activities that encourage social interaction, e.g., recreation and group

activities.2. Establish and maintain project/site councils.

17.4.6 Site Monitoring 1. Monitor on an annual basis the centers/sites for compliance to the scope of work.2. Establish timeframes (not to exceed 30 days) for centers/sites to respond to

monitoring reports and to initiate corrective actions.

17.5 Licensure/Certification Requirements – The Contractor shall ensure that:17.5.1 Registered Dietitians and Registered Dietetic Technicians meet the requirements for

membership in the American Dietetic Association, have successfully completed the examination for registration, and meet continuing education requirements.

17.5.2 Nutritionists hold a Bachelor’s or Master’s degree in food and nutrition.17.5.3 Certified Dietary Managers meet the requirements for certification as identified by the

Certifying Board of Dietary Managers of the Dietary Managers Association, in good standing with the Board, and meet continuing education requirements.

17.5.4 Staffing Standards1. Newly hired employees providing congregate meals shall submit three (3)

references from persons other than their family members. All references, whether verbal or written, shall be contacted and results documented in the personnel record.

17.6 Performance Measures 17.6.1 Number of congregate meals served annually.17.6.2 Site Council minutes indicate participant input into menu planning.

17.7 Reporting Unit17.7.1 One unit of service equals one meal.

Attachment A.5 – General TransportationScope of Work

Arizona Department of Economic Security (DES) – Area Agencies on Aging

19.1 GENERAL TRANSPORTATION

19.2 Purpose Statement19.2.1 The service helps to assist older individuals and individuals with disabilities to maintain their

independence and avoid costly and unwanted placement in a care facility by providing access to services.

19.3 Service Description19.3.1 Taxonomy Definition - A service that provides or assists in obtaining various types of

transportation for specific needs.19.3.2 The service includes the arrangement/provision of transportation services which may

include the use of a bus or van. 19.3.3 Under the Family Caregiver Support Program, the service is provided as a supplemental

service, on a limited basis, to complement the care provided by the caregiver.19.3.4 Senior center participants may be transported from their place of residence to the center

and returned to their residence; they may also be transported to appointments or other community services such as shopping.

19.3.5 Services may include the transport of groups to activities such as recreational, educational or community events.

19.3.6 Eligibility Requirements – The Contractor shall provide services to individuals and caregivers who meet the eligibility requirements described in Chapter 3100 and 3600 of the DAAS Policy and Procedure Manual, as may be amended.

19.4 Service Requirements – The Contractor shall:19.4.1 Ensure the vehicles used are constructed specifically for the transportation of persons. All

seats are securely fastened to the body of the vehicle, individuals are properly seated when the vehicle is in operation, and individuals utilize seatbelts.

19.4.2 Ensure the availability and use of vehicles that are wheelchair accessible for those individuals who are wheelchair bound.

19.4.3 Maintain logs of maintenance completed on all vehicles used for the transportation of clients.

19.4.4 Ensure that drivers, including volunteers, carry required identification.19.4.5 Provide training to drivers that includes instructing drivers how to assist individuals entering

and exiting vehicles, handling emergencies, safe driving, vehicle safety, and disease specific training (e.g., Alzheimer’s, Parkinson’s, and Diabetes).

19.4.6 Ensure protection of the client’s physical, emotional and mental well-being while using this service.

19.4.7 Provide information to individuals on accessing the transportation service.19.4.8 Arrange transportation for individuals -

1. Make arrangements for transportation through public or private transportation methods.

2. Determine, with the individual and/or significant others, a plan for providing transportation.

3. Ensure that drivers are physically capable and carry identification, when transportation is provided by a volunteer.

19.4.9 Provide transportation for individuals1. Transport individuals from one location to another. (This includes traveling to and

from designated locations to pick up or drop off individuals.)2. Ensure that drivers are physically capable to assist the individual with entering and

exiting the vehicles as needed, and securing them safely within the vehicle. 3. Provide transportation to individuals with a physical disability in a vehicle adapted to

their needs.4. Record services delivered to each individual.5. Adhere to time schedules.

19.5 Licensure/Certification Requirements – The Contractor shall:

19.5.1 Ensure that vehicles used for the transportation of clients meet federal, state and local safety and maintenance standards.

19.5.2 Ensure that individuals providing transportation are at least 18 years of age and possess valid Arizona Operator’s or Commercial Driver’s License.

19.5.3 Ensure that the vehicle in which transportation is provided has a valid Arizona license plate and, at a minimum, the required level of liability insurance.

19.5.4 Ensure that individuals providing transportation services have the expertise in safely standards to perform their tasks which may include training in CPR and first aid.

19.5.5 Pass a physical prior to providing transportation service to clients and pass a physical at least every two years.

19.6 Performance Measure19.6.1 Number of one-way trips annually.

19.7 Reporting Unit 19.7.1 One unit of service equals one trip per person one way.

Attachment A.6 – Home Delivered MealsScope of Work

Arizona Department of Economic Security (DES) – Area Agencies on Aging

20.0 HOME DELIVERED MEALS

20.1 Purpose Statement20.1.1 The service helps increase the nutrient intake of older adults at nutrition risk and allow them

to remain independent in their homes.

20.2 Service Description20.2.1 Taxonomy Definition – A service that provides for a nutritious meal containing at least 1/3 of

the Recommended Dietary Allowance for an individual, delivered to his/her place of residence.

20.2.2 Home delivered nutrition services provide older adults, in their home or place of residence, with nutritious meals that meet 1/3 of the Dietary Reference Intakes.

20.2.3 Home delivered nutrition services provide resources and options, when available, that allow older adults to remain independent in their homes and communities.

20.2.4 A “wellness check” is conducted at the time of the meal delivery to ensure the general health and well-being of the client.

20.2.5 The service also provides for the opportunity for socialization.20.2.6 Eligibility Requirements - The Contractor shall provide services to individuals that meet the

eligibility requirements described in Chapter 3100 of the DAAS Policy and Procedure Manual, as may be amended.

20.3 Service Requirements – The Contractor shall provide:20.3.1 Menu planning

1. Develop cycle menus of six weeks or more to be rotated on a semi-annual basis (every six months).

2. Keep menus available, as served, for audit inspection for at least one year after the meals have been served.

3. Develop/distribute menus in the dominant language or languages of the participant group.

4. Incorporate ethnic and cultural preferences when planning menus. 5. Ensure a mechanism is in place to solicit the advice and expertise of:

1. a dietitian or other individual described in 20.3.1.11,2. meal participants, and3. other individuals knowledgeable with regard to the needs of older individuals as stated in

the DAAS Policy and Procedure Manual, Chapter 32006. Plan, prepare, provide and serve meals in accordance with the Arizona Department

of Economic Security Division of Aging and Adult Services “Nutrition, Food Service, and Wellness Manual” as amended.

7. Ensure that each meal contains at least one-third (1/3) of the current Dietary Reference Intakes of nutrients, as established by the Food and Nutrition Board of the National Academy of Science – National Research Council.

8. Ensure that meals are planned following the current Dietary Guidelines for Americans, as may be amended.

9. Each meal must contain a specified number of calories as defined in the DAAS Policy and Procedure Manual.

10. Plan a majority of meals as hot. A few cold meals may planned, such as once a week during the summer, to add variety to the menu. Examples include chef salad, sub sandwich or deli plate.

11. Submit menus on a standardized menu form to, and secure the approval of, a Registered Dietitian (R.D.), Nutritionist, Dietetic Technician Registered (DTR), or Certified Dietary Manager (CDM) prior to serving. The R.D., Nutritionist, DTR, or CDM verifies menus by computerized nutritional analysis of at least one meal per week of the menu cycle and adherence to menu requirements in the DES/DAAS “Nutrition, Food Service and Wellness Manual” as may be amended.

12. Plan menus to reduce the frequent use of foods high in sugar, salt, and saturated fats.

13. Plan menus considering the availability of foods during seasons when they are most plentiful.

20.3.2 Meal Preparation and Service1. Provide a nutritious home delivered meal at least once a day, five days a week

except in rural areas where such frequency is not feasible, and has been approved by the DAAS.

2. Prepare or arrange for preparation and service of meals, and adhere to menus as written.

3. Ensure that menu substitutions made because of a temporary inability to obtain certain foods are selected from the same food group, for example, 1/2 cup carrots for 1/2 cup green beans.1. Substitution menus for holidays and special occasions must meet menu

requirements. 2. All substitutions must be documented on the menu for site review.

4. Purchase and receive food contributions only from an approved source, such as grocery stores and food vendors. The following shall not be used: cans which are bulging, dented, leaking, rusty, or which spurt liquid when opened; food with an off-odor; food which shows signs of mold; food prepared or canned in the home.

5. Package and deliver meals in a safe and sanitary manner.6. Deliver meals directly to an individual, i.e., not left on doorsteps, mailboxes, or

porches. 7. Provide each new participant with a current week’s menu and provide on-going

individuals with a copy of the menu at least one week in advance.8. Obtain the client’s or authorized signature and date for each meal delivered and

maintain the signatures in a central file.9. Document in the individual’s service log the number of meals received each month.10. Maintain record/log of the number of meals delivered each month to each

participant. 11. Assess general mental and physical health status (“wellness check”) of the

individual at the time of meal delivery. 12. Refer all individuals for appropriate action who present additional medical or social

problems during the course of service delivery.13. Prepare then chill/freeze for distribution when appropriate for the preservation of the

nutritional quality of the meal and/or the efficiency of food delivery. Documentation of the participant’s ability to store and reheat the meal to appropriate temperatures must be maintained in the file.

14. Provide a frozen or shelf stable meal when it will be used as meals for non-delivery days, additional meals for the same day, or where it is cost-effective to service expansion to provide frozen meals beyond the limitations of a hot meal delivery circuit, provided that:1. The meal, its menu, and its preparation meet all the required standards;2. It is verified and documented in the case record that the individual has the

facilities to properly store and prepare frozen meal(s); and3. If an individual is to receive more than one frozen meal per delivery, that

the reason for receiving delivery of multiple meals is documented in the individual’s case record.

15. Prepare and serve meals for persons needing diabetic or sodium-restricted diets, etc. (when appropriate and feasible) with written approval from the individual’s physician, e.g., diet order. All special diet menus must be approved by a RD, Nutritionist, DTR, or CDM.

16. Review food service expenditures in order to further cost effective management.17. Develop and implement an emergency plan to be used when the meal cannot be

prepared or is unsuitable for consumption. This includes a one-day emergency menu with supplies on hand for implementation.

18. Give participants an opportunity to contribute towards the cost of the meal in accordance with the DAAS Policy and Procedure Manual, Chapter 3190, as may be amended.

19. Ensure that every participant is given the Nutrition Screening Checklist initially, and annually thereafter. Those at high nutritional risk with a score of six or greater are referred to a healthcare professional for nutrition-related counseling.

20.3.3 Staff Training1. Provide food safety and sanitation training for all new food service personnel within

the first month of employment to include at a minimum: personal hygiene, proper

attire for food service workers, cleaning and sanitizing, correct use of gloves, proper hot and cold food temperatures, proper use of a thermometer, food delivery procedures and correct disposal or storage of leftovers.

2. Ensure that all food handlers complete a course of food safety and sanitation within one month of employment. The site manager or the appropriate management staff shall have additional training such as ServSafe or other course approved by their County Health Department.

3. Provide training on a periodic basis to persons preparing and delivering meals. Training is encouraged in the areas of food safety and sanitation, storage, food preparation and service, cost effective management, purchasing, menu planning, equipment operation and safety;

4. Train meal delivery staff in communication and observation skills necessary to evaluate an individual’s general mental and physical status at the time of meal delivery. This evaluation is considered a wellness check.

5. Document staff training in personnel files.20.3.4 Nutrition Education

1. Provide to home delivered meal participants the printed nutrition education materials two times per quarter.

2. Plan, develop, and implement a written nutrition education program that includes at least two handouts each quarter, and that pertain to nutritionally related topics that are culturally sensitive such as, but not limited to:1. dietary guidelines for older adults2. modified meals and chronic disease3. food and drug interaction4. physical fitness health information as it relates to nutrition 5. meal planning and preparation6. budgeting, shopping7. sanitation

3. Ensure that materials provided to participants allow for participant choices to achieve optimal nutritional health and remain independent in their homes and communities.

4. Ensure that nutrition information provided to participants is backed by credible research, such as but limited to: The American Dietetic Association, United State Department of Agriculture, United States Food and Drug Administration, National Institutes of Health, Centers for Disease Control, Administration on Aging, and the National Institute on Aging.

20.4 Licensure/Certification Requirements – The Contractor shall:20.4.1 Ensure that Registered Dietitians and Registered Dietetic Technicians meet the

requirements for membership in the American Dietetic Association, have successfully completed the examination for registration, and meet continuing education requirements.

20.4.2 Ensure that Nutritionists hold a Bachelor’s or Master’s degree in food and nutrition.20.4.3 Ensure that Certified Dietary Managers meet the requirements for certification as identified

by the Certifying Board of Dietary Managers of the Dietary Managers Association and who meet continuing education requirements and are in good standing with the Board.

20.4.4 Prepare and deliver meals in compliance with all local, county, state, and federal regulations and requirements for food service.

20.5 Performance Measure 20.5.1 Number of home delivered meals served annually.20.5.2 Percentage of Home Delivered Meal clients who experienced socialization at least 2 times

per week.

20.6 Reporting Unit20.6.1 One unit of service equals one meal.

Attachment A.7 – HousekeepingScope of Work

Arizona Department of Economic Security (DES) – Area Agencies on Aging

23.0 HOUSEKEEPING/HOMEMAKER

23.1 Purpose Statement23.1.1 The service provides assistance with routine housekeeping tasks at an individual’s place of

residence in order to maintain and improve safe and sanitary living conditions and the nutritional value of foods/meals for eligible individuals.

23.2 Service Description23.2.1 Taxonomy Definition – A service that provides assistance in the performance of routine

household activities at an individual’s place of residence.23.2.2 Housekeeping/Homemaker is a case managed service.23.2.3 Housekeeping/Homemaker is a medically related service within the NMHCBS System.23.2.3 The complete curriculum and information related to agencies that want to become an

approved testing site for the Arizona Direct Care Standards will be made available on the DES website.

23.2.4 Eligibility Requirements - The Contractor shall provide services to individuals that meet the eligibility requirements described in section 3100 of the DAAS Policy and Procedure Manual, with priority given as indicated in section 3100, as may be amended.

23.3 Service Requirements – The Contractor shall:23.3.1 Provide assessment, supervision, and monitoring.

1. Upon authorization by a case manager, an initial supervisory visit by the housekeeper service agency to determine specific tasks to be performed is conducted. During this visit, a care plan is developed and specific housekeeping tasks can be assigned to the housekeeper for completion at each visit in the time allotted.

2. The Supervisor shall conduct home visits for each client at least every 180 days, or more frequently if required, to determine if the Housekeeper is performing tasks according to the care plan and to remedy areas of deficiency.

23.3.2 Maintain safe and sanitary living conditions for individuals.1. Provide cleaning tasks to include dusting, cleaning floors, bathrooms, windows (if

necessary to attain safe or sanitary living conditions); cleaning oven and refrigerator (if necessary to prepare food safely); cleaning kitchen; washing dishes; changing linens; making beds; and routine maintenance of household appliances.

2. Wash, dry and fold laundry. Ironing is to be conducted if clothes cannot be worn otherwise.

3. Shop for and store household supplies and medicines.

23.4 Optional Service Requirements – The Contractor may:23.4.1 Plan and cook meals to ensure nutritional maintenance for eligible individuals.23.4.2 Shop for and store food, household supplies and medicines. 23.4.3 Attain safe living conditions for individuals.

1. Provide heavy cleaning such as ceiling, walls or floors.2. Provide yard work such as cleaning yard and hauling away debris.3. Provide pest control services, when insect infestation presents a health concern for

the client.4. Pest control services will be purchased from licensed agencies, if no other funding

for this service is available. 23.4.4 Assist individuals in obtaining and/or caring for basic material needs for water, heating and

food.1. Haul water for household use.2. Gather and haul firewood for household heating or cooking. This includes sawing

logs and chopping wood into usable sizes.3. Care for livestock used for consumption. This includes feeding, watering and

milking.4. Care for the garden used for food consumption.5. Dig out dirt floors and replacing with fresh dirt.

6. Turn heating and/or cooling systems on or off. The person who performs the chore service of turning on/off utilities must have instruction about heating and cooling systems from the local utility company or weatherization project.

23.5 Licensure/Certification Requirements – The Contractor shall:23.5.1 Ensure compliance with A.R.S. Chapter 32, Sections 2212 as may be amended, for

persons who perform pest control (Arizona Structural Pest Control Board).23.5.2 Ensure direct service staff has current certification in CPR23.5.3 Staffing Standards:

1. Newly hired employees providing services shall submit three (3) references from persons other than family members. All references, whether verbal or written, shall be contacted and results documented in the personnel record.

2. Employees shall have training in home accident prevention and first aid.3. Housekeepers shall not provide Housekeeping/Homemaker service until they have

been certified competent in this area by the provider by demonstrating knowledge and skills consistent with the Arizona Direct Care Standards.

4. As described in the DAAS Policy and Procedure Manual, as may be amended, documentation of Arizona Direct Care Standard test results (knowledge and skills) or verification of prior testing shall be included in employee personnel records.

5. Supervisors shall have at least one (1) year of full-time employment experience in a supervisory capacity and have completed an orientation to the target population, unless it is evident in the supervisor’s background that s/he has previous experience serving the target population.

6. Supervisors shall demonstrate knowledge and skills consistent with the Arizona Direct Care standards at the same level as the employees being supervised.

23.6 Performance Measures 23.6.1 Percentage of clients 60+ years of age with severe disabilities (3+Activities of Daily Living

(ADL) limitations) that receive Housekeeping/Homemaker services.23.6.2 Percentage of clients 60+ years of age living below the poverty level that receive

Housekeeping/Homemaker services.

23.7 Reporting Unit23.7.1 One unit of service is equal to 60 minutes of service time.

Attachment A.8 – Legal AssistanceScope of Work

Arizona Department of Economic Security (DES) – Area Agencies on Aging

26.0 LEGAL ASSISTANCE

26.1 Purpose Statement26.1.1 The service provides legal assistance, legal advice, advocacy and representation to older

individuals, and in particular, those with the most economic or social need.

26.2 Service Description26.2.1 Taxonomy Definition- A service that provides consultation and representation in civil legal

matters. 26.2.2 Services protect the rights of older individuals and ensure they receive the services to which

they are entitled.26.2.3 Eligibility Requirements - The Contractor shall provide services to individuals that meet the

eligibility requirements described in the DAAS Policy and Procedure Manual, as may be amended.1. Services are available to persons who are 60 years or older and low income. 2. Legal Services Assistance is available to persons under 60 years of age only if

supported by funds other than those authorized in Older Americans Act.26.2.4 Background

1. Vulnerable persons have limited access to legal services and the justice system. 2. Individuals with few financial resources, physical or mental disabilities and those

reliant on public resources are most at risk of being unable to secure needed legal services. Legal interventions are necessary to ensure their rights are protected.

26.3 Service Requirements – The Contractor shall:26.3.1 Provide legal services.

1. Identify the individual’s legal needs by means of a personal interview.2. Research the law pertaining to the identified legal issues.3. Conduct issue research and investigation.4. Provide legal advice to the individual regarding the identified need.5. Draft legal documentation pertaining to the identified need.6. Provide legal advice, advocacy or representation.7. Schedule service hours to be flexible to the locally defined needs.8. Ensure that only licensed attorneys provide legal advice and representation.9. Ensure that paralegals or law students provide legal counseling or assistance only

under the direct supervision of an attorney licensed to practice in Arizona.26.3.2 Provide education and outreach activities.

1. Disseminate information and provide education to individuals and community groups regarding legal issues affecting the elderly.

2. Provide technical assistance to individuals and groups involved in advocacy on behalf of the elder population.

3. Identify changes to policies, regulations and laws which would increase access to necessary services or clarify available legal remedies.

4. Participate in outreach activities that inform seniors and the community of the Older Americans Act legal service and other available legal resources.

5. Participate in community coalitions and network activities.26.3.3 Collect accurate data for needs assessment, program evaluation, and reporting

1. Collect at a minimum the following data on each individual who requests assistance: individual’s name, age and ethnicity, as well as a detailed description of the presenting issue and resolution.

2. Collect at a minimum the number of participants and type of activity on each public outreach and educational activity where the program participated.

3. Collect participant evaluations of training and educational presentations. 4. Evaluate collected data to determine current legal needs and identify systemic

trends.5. Compile the evaluations for program improvement.

26.3.4 Attend and participate in meetings with the DAAS and other legal services contractors and sub-contractors as scheduled.

26.4.1.1 Licensure/Certification Requirements – The Contractor shall:26.4.1.2 Ensure that attorneys hold a current license to practice in the State of Arizona.

26.5 Performance Measure 26.5.1 Using standardized evaluation tools, achieve a client satisfaction of at least 85% annually.

26.6 Reporting Unit26.6.1 One unit of service equals 60 minutes of service time.

Attachment A.9 – Peer CounselingScope of Work

Arizona Department of Economic Security (DES) – Area Agencies on Aging

32.0 PEER COUNSELING

32.1 Purpose Statement32.1.1 The purpose is to provide support for informal caregivers by offering support groups

attended by cohorts promoting self-help strategies and allowing expression of shared feelings in a non-judgmental environment. Support groups can mitigate the effects of stress and burden related to caregiving, allowing the caregiver to continue to provide care, helping to avoid costly and unwanted placement of the care recipient in a care facility.

32.2 Service Description32.2.1 Taxonomy Definition - A service that provides self-help opportunities.32.2.2 Peer counseling refers to a range of individual or group services that assist individuals in

need and/or their caregivers in making decisions, solving problems, and gaining knowledge related to their caregiver role.

32.2.3 Caregiver support groups are a primary component of this service, providing a forum in which caregivers can:1. Come together and exchange ideas2. Learn to maintain a sense of self and establish good boundaries3. Learn to enlist the help of other family members and friends4. Relieve stress and anxiety through sharing experiences with cohorts5. Experience a healthier attitude and approach to caregiving6. Learn how to enlist the help of family and friends to share the load7. Validate the difficulty and complexity of the caregiving role8. Reduce stress and guilt by learning and implementing coping skills

32.2.4 Support groups for grandparents raising grandchildren are included in the service.32.2.5 Eligibility Requirements – The Contractor shall provide services to caregivers that meet the

eligibility requirements described in 3602.2 of the DAAS Policy and Procedure Manual, with priority given as indicated in 3602.3, as may be amended.

32.3 Service Requirements – The Contractor shall:32.3.1 Organize support groups for eligible caregivers, providing disease specific peer counseling

and specific groups for grandparents raising grandchildren, when appropriate.1. Assess the community need for caregiver support groups in specific

geographic/service areas.2. Determine appropriate location(s) and times where caregiver support groups will be

conducted, based upon the community assessment.3. Establish appropriate local guidelines for qualifications of support group facilitators

that will provide leadership and guidance for the groups, ensuring at a minimum the facilitators/leaders have an understanding of the risks and burdens associated with caregiving and a good knowledge of caregiver support needs, including knowledge of community resources.

4. Publicize the availability of the support group(s) through a multifaceted approach, such as flyers, Internet, and direct mailings, targeted to the general public and caregivers already receiving agency-funded services.

5. To the extent possible, support groups should be tailored to the needs of the specific caregiver groups, such as caregivers of persons with Alzheimer’s Disease, etc.

6. Convene initial support group meetings.7. Provide regularly scheduled caregiver support group meetings.

32.3.2 Evaluate the satisfaction level of support group members every six months, including an independent evaluation of the facilitator by group participants.

32.3.3 Support group facilitators/leaders shall have the educational qualifications and/or required related experience for the type of support group being facilitated.

32.3.4 Support groups shall be appropriate in design and implementation to account for different types of issues that participating caregivers may present

32.3.5 Account for the cultural diversity of the participating caregivers.

32.4 Performance Measures 32.4.1 The number of caregivers provided support through the service annually.32.4.2 Evaluation instruments show that the service enhanced the ability of the caregiver to care

for the care recipient.

32.5 Reporting Unit32.5.1 One unit of service equals one peer counseling session.

Attachment A.10 – Personal CareScope of Work

Arizona Department of Economic Security (DES) – Area Agencies on Aging

33.0 PERSONAL CARE

33.1 Purpose StatementThe purpose is to provide assistance with personal physical needs at an individual’s place of residence, helping clients to maintain their independence and avoid costly and unwanted placement in a care facility.

33.2 Service Description33.2.1 Taxonomy Definition - A service that provides assistance with personal physical needs.33.2.2 Personal care is a case managed service. 33.2.3 Assistance with activities of daily living is provided at an individual’s place of residence. 33.2.4 Personal care workers help individuals with tasks they are unable to complete

independently due to illness, disability, or the natural progression of aging.33.2.5 The service may be used as part of the Home Care cluster.33.2.6 Licensed medical personnel are not required to provide this service.33.2.7 Eligibility Requirements – The Contractor shall provide services to individuals that meet the

eligibility requirements described in section 3213 of the DAAS Policy and Procedure Manual, with priority given as indicated in section 3224, as may be amended.

33.3 Service Requirements – The Contractor shall:33.3.1 Provide supervision and monitoring.

1. Upon authorization by a case manager, an initial supervisory visit by the service agency to determine specific tasks is to be performed. During this visit, a care plan is developed and specific tasks can be assigned to the personal care worker for completion during each visit in the time allotted.

2. The supervisor shall conduct home visits for each client at least every 90 days, or more frequently if required, to determine if the worker is performing tasks according to the care plan and to remedy areas of deficiency.

33.3.2 Provide personal care services1. Assist with showering, bathing, toileting, dressing, oral care and shampooing.2. Assist with transfer to and from wheelchair and/or bed.3. Assist with eating, where the assistance required may include: reminding or

encouraging the individual to maintain intake; serving or bringing food to the individual; preparing food for consumption through cutting meats or other set-up activities; (assist with menus/food selection) and feeding the individual.

4. Assist with routine ambulation activities.5. Assist with routine nail and skin care.6. Assist with tasks necessary for the comfort and safety of the movement-restricted

(tasks that do not require medical or nursing supervision)7. Assist the individual with special appliances and/or prosthetic devices, if the

procedure is routine and well established.8. Train the individual, his/her family members, and/or friends in personal care tasks,

as appropriate.9. Encourage the individual, family and caregiver to provide input into and support the

individual’s service plan.10. Refer for appropriate action all individuals who present additional medical or social

problems during the course of service delivery.

33.4 Staffing Requirements – The Contractor shall:33.4.1 Ensure that newly hired employees providing personal care shall submit three (3)

references from persons other than their family members. All references, whether verbal or written, shall be contacted and results documented in the personnel record.

33.4.2 Ensure that employees have a current certification in CPR and training in home accident prevention and first aid.

33.4.3 Ensure that Personal Care Workers do not provide personal care services until they have been certified competent in this area by their agency.

33.4.4 As described in the DAAS Policy and Procedure Manual, as may be amended, employees providing personal care shall demonstrate knowledge and skills consistent with the Arizona Direct Care Training standards before providing services. The complete curriculum, competencies and information related to agencies that want to become an approved testing site are made available on the ADES website.

33.4.5 Documentation of test results (knowledge and skills) or verification of prior testing shall be included in the personnel record.

33.4.6 The supervisor shall have at least two (2) years of full-time employment experience in supervisory capacity; one (1) year of studies at an accredited college in a related field can substitute for one (1) year’s experience. Orientation to target population is required, unless otherwise evident in background.

33.4.7 Supervisors shall demonstrate knowledge and skills consistent with the Arizona Direct Care Training standards at the same level as the employees being supervised.

33.5 Performance Measures33.5.1 Increase from the previous year in the percentage of clients 60+ years of age living below

the poverty level that receive Personal Care services.33.5.2 Increase from the previous year in the percentage of clients 60+ years of age with severe

disabilities (3+Activities of Daily Living (ADL) limitations) that receive Personal Care services.

33.6 Reporting Unit33.6.1 One unit of service equals 60 minutes of service time.

Attachment A.11 – Health Education – Disease Prevention and Health Promotion

Scope of WorkArizona Department of Economic Security (DES) – Area Agencies on Aging

38.0 HEALTH EDUCATION – DISEASE PREVENTION AND HEALTH PROMOTION

38.1 Purpose Statement38.1.1 The purpose is to provide information and services that help reduce the impact of disease,

chronic conditions, and minimize health-related risk factors associated with aging.

38.2 Service Description38.2.1 Taxonomy Definition - A service that provides individual or group instruction to maintain or

improve physical well-being. 38.2.2 Health promotion and disease prevention programs are designed to maintain or improve the

emotional and physical well-being of older adults.38.2.3 Evidence-based health promotion and disease prevention programs that relate to

prevention and mitigation of the effects of chronic disease for participants and eligible individuals in the community are provided.

38.2.4 Programs provide planned activities to identify, prevent, or decrease risk factors for specific conditions, diseases, and injuries.

38.2.5 Programs provide a variety of health promotion activities on a weekly basis at senior centers that may include; health risk assessments, blood pressure checks, physical fitness, medication management, health screenings, and disease specific education.

38.2.6 Programs increase participants’ control of factors associated with optimal psychosocial and physical health through education.

38.2.7 Programs provide nutrition education to promote health and help to prevent disease by improving the diets of older adults and assisting them achieve or maintain optimal nutritional status.

38.2.8 Programs provide information and access to community resources.38.2.9 Eligibility Requirements – The Contractor shall provide services to individuals that meet the

eligibility requirements described in Chapter 3300 of the DAAS Policy and Procedure Manual, as may be amended.

38.3 Service Requirements – The Contractor shall:38.3.1 Title IIID section 361 of the Older Americans Act for Disease Prevention and Health

Promotion shall only be used for programs and activities which have been demonstrated through rigorous evaluation to be evidence-based and effective.

38.3.2 Where applicable, partner with community health centers, mental health centers, state and local government agencies, centers for independent living, public health departments, state and local non-profit organizations, educational and/or health care institutions, community organizations, or other identified entities to provide one or more of the services listed below:1. Health risk assessments.2. Routine health screenings, which may include hypertension, glaucoma, cholesterol,

cancer, vision, hearing, diabetes, bone density, and nutrition screening.3. Nutritional counseling and educational services for individuals and their primary

caregivers.4. Evidence-based health promotion programs, including programs related to the

prevention and mitigation of the effects of chronic disease (including osteoporosis, hypertension, obesity, diabetes, and cardiovascular disease), alcohol and substance abuse reduction, smoking cessation, weight loss and control, stress management, depression, falls prevention, physical activity and improved nutrition.

5. Programs regarding physical fitness, group exercise and music, art, and dance-movement therapy, including programs for multigenerational participation that are provided by an institution of higher education, a local educational agency, or a community-based organization.

6. Home injury control services, including screening of high risk home environments and provision of educational programs on injury prevention (including fall and fracture prevention) in the home environment.

7. Screening for the prevention of depression, coordination of community mental health services, provision of educational activities, and referral to psychiatric and psychological services.

8. Educational programs on the availability, benefits, and appropriate use of prevention health services covered under Title XVIII of the Social Security Act (42 USC 1395 et seq.), as may be amended.

9. Information concerning diagnosis, prevention, treatment, and rehabilitation concerning age-related diseases and chronic disabling conditions, including osteoporosis, cardiovascular diseases, diabetes, and Alzheimer’s disease and related disorders with neurological and brain dysfunction.

10. Gerontological counseling.11. Counseling regarding social services and follow-up health services.

38.4 Licensure/Certification Requirements – The Contractor shall:38.4.1 Ensure certification and licensure standards are met when providing an evidenced-based

program for which licensing or certification requirements exist.38.4.2 Ensure that educators/presenters providing health promotion activities meet appropriate

certification/licensure standards.

38.5 Performance Measure38.5.1 Number of evidence-based program offered annually.38.5.2 Number of participants completing evidence-based programs.38.5.3 Number of screening events held annually.

38.6 Reporting Unit38.6.1 One unit of service equals one activity.

Attachment A.12 – Respite CareScope of Work

Arizona Department of Economic Security (DES) – Area Agencies on Aging

40.0 RESPITE CARE

40.1 Purpose StatementThe purpose is to provide temporary relief or rest to caregivers from the demands and stressors of providing ongoing unpaid care in the home, helping to avoid costly and unwanted placement of the care recipient in a care facility. (“Temporary” is defined by DAAS Policy and Procedure as not more than 8 hours per week).

40.2 Service Description40.2.1 Taxonomy Definition - A service that provides short-term care and supervision consistent

with the health needs of the person, to supplement existing care, to provide a safe living environment, and to support or relieve the burden of caregivers.

40.2.2 Respite care is a caregiver-focused service.40.2.3 Respite care is a case-managed service.40.2.4 Respite care is considered to be a temporary supportive service to provide a brief period of

relief or rest for caregivers.40.2.5 Respite care can take the form of in-home respite, adult day services respite, group respite,

or institutional respite.40.2.6 Respite care is typically short-term in duration (4-8 hours at a time), but can vary in length

based on the caregiver’s specific need.40.2.7 Respite care is normally planned in advance as part of a care plan, but can also be

provided on an emergency basis.40.2.8 Services can diminish caregiver burden and stress, and can prevent or delay more costly

unwanted out-of-home placement for care recipients.40.2.9 Eligibility Requirements – The Contractor shall:

1. Provide services to individuals that meet the eligibility requirements described in section 3113 of the DAAS Policy and Procedure Manual, with priority given as indicated in section 3124, as may be amended.

2. For the purpose of the Lifespan Respite Care Program, provide services to any primary caregiver of an individual who does not currently receive for other publicly funded respite services, as stated in A.R.S. §46-172, as may be amended.

40.2.10 Background1. Respite care was developed in response to the understanding of the emotional and

physical risk to the caregiver involved in long-term care of a family member or loved one. Maintaining individuals in their natural homes rather than placing them in long-term care facilities has been shown to be beneficial to the individual, the involved family, and society (in terms of lowered health care costs). Respite is a component of community-based long-term care systems and a service that supports the caregiver.

2. The Lifespan Respite Program was established in 2006 for caregivers who are assisting family members who are not eligible for any other publicly supported programs.

40.3 Service Requirements – The Contractor shall provide:40.3.1 Supervision and monitoring.

1. Review case manager authorization for duration of service and any special service requirements.

2. An initial supervisory visit by the service agency to determine specific tasks to be performed is recommended. During this visit, a care plan is developed and specific tasks can be assigned to the respite care worker for completion during each visit in the time allotted.

3. Ensure that the supervisor conducts home visits for each client at least every 90 days, or more frequently if required, to determine if the worker is performing tasks according to the care plan and to remedy areas of deficiency.

40.3.2 Services to the care recipient:1. Provide short-term personal care and supervision either in or outside of the

individual’s home.2. Provide supervision of the individual to protect the individual’s welfare and safety.

3. Provide for the social, emotional, and physical needs of the individual. An initial supervisory visit may be conducted to set up a care plan that addresses the individual’s interests, e.g. cards, sports, etc.

4. Supervision of self-administration of medication as prescribed.5. Provide first aid and appropriate attention to injury and illness.6. Ensure provision of food to meet daily dietary needs, including a therapeutic diet if

prescribed.7. Provide general supervision of the individual’s activities of daily living, including

activities such as bathing, dressing, eating, toileting, etc. 8. Provide assistance with personal care and housekeeping, if authorized by the case

manager.

40.4 Licensure/Certification Requirements – The Contractor shall:40.4.1 Ensure that if services are provided within a facility outside the client’s home, the facility

meets Arizona Department of Health Services license requirements appropriate to the facility.

40.4.2 Secure the approval of tribal government and/or the Bureau of Indian Affairs for tribal facilities.

40.4.3 Ensure that direct service staff have current certification in CPR and training in home accident prevention and first aid.

40.4.4 Ensure that direct service staff do not provide services until they have been certified competent in this area by their agency. 1. As described in the DAAS Policy and Procedure Manual, as may be amended,

direct service staff shall demonstrate knowledge and skills consistent with the Arizona Direct Care Training standards before providing services.

2. The complete curriculum, competencies and information related to agencies that want to become an approved testing site is available on the ADES website.

3. Documentation of test results (knowledge and skills) or verification of prior testing shall be included in the personnel record.

40.4.5 Ensure compliance with the following:1. Newly hired employees providing respite care shall submit three (3) references from

persons other than their family members. All references, whether verbal or written, shall be contacted and results documented in the personnel record.

2. Direct service staff shall have received training in home accident prevention and first aid.

3. Supervisors shall have at least two (2) years’ full time employment experience in supervisory capacity.1. One (1) year of studies at an accredited college in a related field can substitute

for one (1) year’s experience. 2. Orientation to target population is required, unless otherwise evident in

background.4. Supervisors shall demonstrate knowledge and skills consistent with the Arizona Direct

Care Training standards at the same level as the employees being supervised.

40.5 Performance Measures40.5.1 The number of caregivers who were provided temporary relief through the service.40.5.2 The ability to care for the individual at home was enhanced as measured by a pre and post

service delivery evaluation (Caregiver Assessment Tool).

40.6 Reporting Unit40.6.1 One unit of service equals 60 minutes of service time.

Attachment B

WACOG - Area Agency on Aging Provider Procedure forBACKGROUND CLEARANCE

1. All staff/volunteers that work directly with vulnerable adults in an unsupervised setting MUST be

cleared in this process. This includes Senior Center Directors, people who deliver meals into client homes or provide direct care to a client without supervision.

2. The following documentation must be completed and sent to WACOG AAA. A COMPLETED

FAXED OR MAILED PACKET WITH ALL FOUR ITEMS BELOW MUST BE SENT TO ACTIVATE A NEW STAFF/VOLUNTEER. (KEEP COPY OF PACKET FOR YOUR OWN RECORDS AND MONITORING)

Background Checks for Employment through the Central Registry.

If providing direct services to children or vulnerable adults, the following shall apply:

9. The provisions of A.R.S. § 8-804 (as may be amended) are hereby incorporated in its entirety as provisions of this Contract.

10. The Department will conduct Central Registry Background Checks and will use the information contained in the Central Registry as a factor to determine qualifications for adults for:

e. Any person who applies for a contract with this State and that person's employees;

f. All employees of a contractor;

g. A subcontractor of a contractor and the subcontractor's employees; and

h. Prospective employees of the contractor or subcontractor at the request of the prospective employer.

11. Volunteers who provide direct services to children or vulnerable adults shall have a Central Registry Background Check which is to be used as a factor to determine qualifications for volunteer positions.

12. A person who is disqualified because of a Central Registry Background Check may apply to the Board of Fingerprinting for a Central Registry exception pursuant to A.R.S. § 41-619.57. A person who is granted a Central Registry exception pursuant to A.R.S. § 41-619.57 is not entitled to a contract, employment, licensure, certification or other benefit because the person has been granted a Central Registry exception.

13. Before being employed or volunteering in a position that provides direct services to children or vulnerable adults, persons shall certify on forms that are provided by the Department whether an allegation of abuse or neglect was made against them and was substantiated. The completed forms are to be maintained as confidential.

14. A person awaiting receipt of the Central Registry Background Check may provide direct services to ADES clients after completion and submittal of the Direct Service Position certification form if the certification states:

c. The person is not currently the subject of an investigation of child abuse or neglect in Arizona, or another state of jurisdiction; and

d. The person has not been the subject of an investigation of child abuse or neglect in Arizona, or another state or jurisdiction, which resulted in a substantiated finding.

Note: The Certification for Direct Service Position is located at:http://www.azdes.gov/InternetFiles/InternetProgrammaticForms/doc/ACY-1287AFORFF.doc

15. If the Central Registry Background Check specifies any disqualifying act and the person does not have a Central Registry exception, the person shall be prohibited from providing direct services to ADES clients.

16. The Contractor shall maintain the Central Registry Background Check results and any related forms or documents in a confidential file for five (5) years after termination of the Contract.

Note: The Request for Search of Central Registry for Background Check is located at: https://www.azdes.gov/opac

Attachment CSample RFP Scoresheets

Independent Review Group (IRG)Proposal Review Form for Western Arizona Council of Governments,

Area Agency on Aging

Service Delivery Area:La Paz – Mohave - Yuma Counties

SFY-2019 RFP Applicants

RFP Proposal Package

Required Activities

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Proposal Submittal Letter: Did the bidder provide a submittal letter and address all subject matter within the body of the letter?

Basis for Replacing Current Provider of Service: Q 1 Did the bidder demonstrate why their agency is better qualified to provide the service and basis for replacing current bidder? Bidder must use specific, measurable facts.

Q 2 Is Annex A of the RFP completed? Q 3 Did the bidder follow the service specifications provided in the packet?Q 4 Did the bidder provide a detailed service delivery plan that demonstrates a firm understanding of the service delivery system?Q 5 Was Schedules I and II completed providing sufficient detail for the AAA to make reasonable decision

Q 5 a If applicable did Schedule I and II provide enough detail regarding the development of staffing and ERE’s to determine a competitive cost basis for this RFP?

Q 6 If applicable is an Itemized Service Budget included for each service the provider is bidding on? (Fixed Price with Price Adjustment)

Q 7 Did the bidder provide a rate sheet for reimbursement Fixed Rate and are the rates competitive with other bidders?

Q 8 Was an Agency Operations Spread Sheet completed? Q 9 Was a Cost Allocation Plan submitted that provides information for the AAA on direct and indirect costs to the program and services being charged to AAA fund sources?

Q 10 Were assurances submitted with the appropriate signatures and authority from the governing body of the bidding entity?

Did the assurances include sufficient information regarding: Agency Operation; Personnel and Financial to include Insurance Coverage?

Q 11 Was the background information submitted detailed enough to allow the AAA to evaluate the professional and contractual history of the bidder?Q 12 Were current Certificates of Liability Insurance provided at the time the bids were submitted to the AAA? Were the insured amounts enough to meet the requirements of the Department of Economic Security/Aging and Adult Administration insurances requirements?Q 13 Did the bidder provide a recent audit report? If so, were there findings or recommendations that the AAA should be aware of or concerned about?

Reviewer’s Note: As necessary please refer to the RFP instructions,

Reviewer’s Note: Please refer to Proposal Package information packet provided to you

Q 14 Did the bidder provide an inventory list of capital purchases with WACOG monies if the bidder has provided services to WACOG/AAA in the past/?

Qualitative Assessment of Required Activity #1: AssessmentOutstanding Very Good Acceptable Marginal Unacceptable

Weaknesses ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Strengths________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Review Comments:

Proposal Submittal Requirements: Legal Services

Reviewer’s Note: Please refer to Proposal Submittal Requirements for Legal Services in information packet provided to you

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IRG 1. 5.0 Service Delivery Plan IRG A. Provider Qualifications: Does the RFP describe provider qualifications, identify key personnel and include a brief resume of their qualifications/experiences related to the program?

IRG B. Coordination: Does the RFP detail how the service will coordinate with other programs that service the elderly? Does the provider demonstrate a working knowledge of the functions of an Ombudsman in relation to the Legal Services program? IRG C. Did the bidder demonstrate an ability to solicit donations from participants and identify accounting security procedures for handling cash? Did the bidder identify staff responsible for implementing the procedure?

IRG D. Legal Assistance Operations: Were efforts to maintain existing service levels to older persons funded with Non-AAA money identified? Did the provider specify the number of units to be provided with all fund sources available? Identify the staff time that will be reported as units of service?IRG E. Targeting: Did the provider explain how they will identify those persons in the greatest economic or social need? IRG F. Outreach: Were specific outreach activities identified that were specific, measurable, realistic and timely? IRG G. Complaint Resolutions and Client Input: Does the bidder explain how they will handle client grievances? Who will handle grievances, personnel qualifications and training? Time frames for grievance response times?

IRG H. Quality Assurance: What mechanisms does the bidder have to monitor service performance internally? Does the bidder have a case closure and follow up procedure? Does the bidder have a system for reviewing cases to analyze the quality of the work performed?

IRG I. Organizational Chart: Is an organizational chart attached that identifies source of supervision for staff and placement of legal assistance? IRG J: Evidenced Based Health Promotion/Disease Prevention Programs: Did the bidder reference/recognize the need for Evidenced Based Health Promotion/Disease Prevention Programming as part of an expected component of service delivery? IRG K: Emergency Preparedness: Does the bidder have a plan for emergency preparedness that includes: disaster/emergency preparedness, response, recovery?

Qualitative Assessment of 4.1Outstanding Very Good Acceptable Marginal Unacceptable

Weaknesses ___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Reviewer’s Note: As necessary, please refer to the RFP instructions,

_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Strengths________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Reviewer Comments:

Proposal Submittal Requirements: In-Home Respite/Adult Day Care

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QC Distinction Between Services Did the bidder distinguish respite services between In-Home, Group Respite, Adult Day Care and Adult Day Health Care?

Reviewer’s Note: As necessary, please refer to the RFP instructions, Reviewer’s Note: Please refer to Proposal Submittal Requirements for Adult Day Care Services information packet provided to you

QD Intake and Assessment Did the bidder demonstrate an understanding of the role case management has in authorizing a person for respite services? QE Service Plan Did the bidder demonstrate an understanding of the role case management has in writing a service plan and the provider’s responsibility to also document a service plan for each client?

QF Service Authorization Limits Does the bidder have a method of tracking the number of units of respite each client is authorized? Does the bidder identify a method in which frequent communication will occur between case management and respite staff?QG Care Plans Does the bidder identify how a care plan will be developed that is consistent with the case manager’s service plan? Does the service plan include emergency and family/caregiver information?QH. Re-Determination Does the bidder identify how often a client’s case and file will be reviewed? QI Staffing How will the bidder work with case manager’s to address a clients changing condition?Did the provider identify how often they would review case files and with whom?

QJ Changes, Discontinuation, Termination and Denial of Service What methods has the bidder identified to notify case management of changes dictated by the family caregiver? How will the provider discontinue or terminate a service?

Q 160 (Page 11) Monitoring and Audits How does the bidder monitor and provide quality assurance within their own agency for services? Q (Page 11) Emergency Preparedness Does the bidder have an emergency preparedness plan? Q (Page 11) Does the provider reference an ability and willingness to work with the Area Agency on Aging on Health Promotion/Disease Prevention?

Qualitative Assessment of 4.1Outstanding Very Good Acceptable Marginal Unacceptable

Weaknesses ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Strengths________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Proposal Submittal Requirements: Home Care Cluster: Attendant Care, and Housekeeping

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Service Requirements for Home Care Program Scope of Work (WACOG may choose to contract with an agency to provide only one or any combination of the five services in a given geographic area. Preference will be given to any proposal that assures the coordinated delivery of each of the five services, including any that might be provided by a different contractor. Q1 Did the applicant on a separate sheet of paper describe how each service would be operated and which of the four services the applicant seeks to provide? The narrative must be in the format of the pre printed scopes of services. Q2 Under each subtitle the following information should be provided:Housekeeping/Personal Care, Home Health Care, Home Nursing, RespiteIdentify which of the five components they propose to provide? i.e. Does the bidder identify the personnel and qualifications required to perform the service? Identify key personnel and include a brief resume of their qualifications and experience as it relates to this program?Explain the functions that personnel will perform for this service?Identify whether home health aides have met the training requirements under the Omnibus Budget Reconciliation Act (OBRA) 1987 and 1989, and are registered was certified nursing assistants? (CNA’s)

Identify whether the provider has set minimum education or experiential requirements beyond those included in the scopes of services?Specify whether any tasks related to this service will be preformed by anyone other than the provider’s employees?Attached job descriptions for each position/scope of service?Attached a copy of the license if the delivery of home health aid or home nursing is being offered?

Included in the packet a report for the most recent 12 month period available, summarizing by fund source and by service the number of units and dollar cost of that service for any home and community based services billed to Medicare, ALTCS, AHCCCS and third party payers including insurance companies?

Reviewer’s Note: As necessary, please refer to the RFP instructions,

Reviewer’s Note: Please refer to Proposal Submittal Requirements for Home Care Service Cluster (Respite, personal care and housekeeping).

Did the bidder provide sufficient information related to personnel and current programming to assess whether the provider is capable of delivering the service?

Q3 Coordination Does the bidder identify community partners in which services can be maximized through the use of collaboration and coordinated between service partners?

Explain how services will be coordinated if different service providers are added to the AAA network?Identify if the agency and another bidder are submitting separate, cooperative proposals in order to ensure the provision of all five services or whether they plan to subcontract with another agency? Subcontracting requires prior written approval from WACOG.Describe how services will be coordinated with any other programs that service the elderly and disabled.Explain how the bidder will arrange for the provision of services that are covered by Medicare, ALTCS or another third party payer AND how the provider will assure that the these fund sources are maximized in order to use AAA funding when no other source is available. Describe how client staffing’s with case managers will be conducted and commit to holding these on at least a monthly basis. Q4 Client Donations and Costs Sharing Does the bidder have a mechanism in which client donations can be accepted? Explain bidders security procedures, accounting and cash handling procedures?Identify staff responsibility for implementing the procedures?If WACOG/AAA decides to require cost sharing in the future did the bidder describe how they might help implement the system?Q5 Service Operations Did the bidder identify each of the service components proposed and describe how they intend to operate each service?Identify where staff will be located?Specify the number of housekeepers, personal workers, home health aids etc?Identify the minimum training and competency that an individual must demonstrate before being certified competent by the applicant to provide housekeeping, personal care, home health aid or visiting nurse? Explain how each service component will be supervised?Identify the positions responsible for determining the specific tasks to be performed for each client within a service and how the work will be documented? i.e. care planSpecify whether any services will be provided on an itinerant basis by staff based in one community, but traveling to another community to provide coverage?Describe how the provision of all the component services in the proposal will be assured throughout the PSA (provider service area)?

Q6 Complaint ResolutionDoes the bidder have a demonstrated method for resolving conflicts and complaints?

Did the bidder identify specify time frames to be followed for resolving complaints?Q7 Internal ControlDid the bidder describe procedures in place to monitor the quality of the program and to assure that the program remains in compliance with fund sources? Did they provide a list of items to review?Identify individuals responsible for this process?Describe reporting methods?Describe supervisory methods of review for employees? Q8 In Service TrainingIdentify specific in –service trainings that will be provided to staff by job title?Provide a SMART timetable on how the bidders proposed to demonstrate this?Q9 Outreach Did the bidder identify specific outreach activities that will be conducted to reach and inform those of greatest economic or social need? Q10 Patient RightsExplain how patient’s rights will be protected in order to comply with Section 314 of the Older American Act, As amended in 2000?Q11 Emergency/Disaster PreparednessDoes the bidder have an emergency and/or disaster plan in place that addresses some or all of the provisions found in the Disaster/Emergency Preparedness section of the RFP as distributed by WACOG/AAA for SFY 09?Q12 Evidenced Based Health Promotion/Disease Prevention Programs ( Required) Does the bidder/provider have an evidenced based health promotion program? If so, did the provider specify the type, specific interventions and testing methods? If no, does the provider identify how they will work with the Area Agency on Aging in establishing and developing and evidenced based health promotion program?Q13 Attach an organizational chart?

Qualitative Assessment Outstanding Very Good Acceptable Marginal Unacceptable

Weaknesses ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Strengths_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Reviewer Comments:

___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Proposal Submittal Requirements: Transportation

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Q Service Requirements for Transportation A. Does the bidder identify the target audience for transportation services? B. Client Contribution Policies 1. Are clients provided the opportunity to contribute towards the cost of

the service? 2. Does the bidder describe a method of how this will occur?

2. How is the bidder going to assure that clients are informed of their right to contribute towards the service as well as their right to obtain services without making a contribution? 3. Did the bidder describe how suggested donation rates were established? 4. Did the bidder describe a method for collecting contributions and does the method involve: free and voluntary contribution, confidentiality, and accessibility, and allow clients to contribute any amount they choose? C. Coordination of Transportation Services

1. Does the bidder identify that at a minimum, transportation will be provided to the congregate meal sites in the provider’s service area?

2. Will the bidder make referrals to and receive referrals from other AAA funded transportation providers when appropriate?D. Schedules, Routes, Equipment and Equipment Maintenance:1. Did the bidder prepare transportation schedule/routes for the RFP? 2. Does the bidder identify how vehicles will be kept in good repair and meet safety standards according to federal, state and local ordinances? 3. For existing service providers, were vehicles inspected prior to the awarding of the contract and did the vehicles meet safety standards as determined by the AAA Monitoring instrument?4. Are vans equipped with comfortable sized steps and safety features conducive to the frail elderly and/or disabled individuals? 5. Did the bidder identify how maintenance logs would be kept on each vehicle to be used to transport clients? E. Service Delivery Plana. Did the bidder sufficiently describe their qualifications to provide such a service?b. Did the bidder adequately describe the coordination of services with other providers regarding the transportation of the elderly and disabled?c. Did the bidder identify a client complaint resolution processes?

Qualitative Assessment of 4.1Outstanding Very Good Acceptable Marginal Unacceptable

Weaknesses (by item letter):

Reviewer’s Note: As necessary, please refer to the RFP instructions,

Reviewer’s Note: Please refer to Proposal Submittal Requirements for Transportation information packet provided to you

Weaknesses ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Strengths________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Reviewer Comments:

Proposal Submittal Requirements: Medication Management

Reviewer’s Note: As necessary, please refer to the RFP instructions,

Reviewer’s Note: Please refer to Proposal Submittal Requirements for Caregiver Support Peer Counseling information packet provided to you

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Service Requirements for Peer Counseling Q1 Does the bidder have the personnel and qualifications required to perform the service? Did the bidder provide sufficient information related to personnel and current programming to assess whether the provider is capable of delivering the service?

Q2 Coordination Does the bidder identify community partners in which services can be maximized through the use of collaboration and coordinated between service partners?

Q3 Client Donations Does the bidder have a mechanism in which client donations can be accepted? Q4 Service OperationsDid the bidder specify how they will: access community need for caregiver support groups? Find appropriate locations to conduct groups? Select a group facilitator? Publicize the availability of groups and convene in initial support group meetings? Establish provisions for regularly scheduled caregiver support groups? Q5 ScheduleDoes the bidder identify a SMART (specific, measurable, attainable, realistic and timely) method of securing regularly scheduled groups and services? Q6 TargetingDoes the bidder identify their target population?Q7 Outreach Is the outreach program for the service appropriate and targeted in areas where the most amount of people and information can be dispersed or reached?Q8 Complaint ResolutionDoes the bidder have a demonstrated method for resolving conflicts and complaints?Q9 Internal ControlDid the bidder describe procedures in place to monitor the quality of the program and to assure that the program remains in compliance with fund sources?

Q10 Emergency/Disaster PreparednessDoes the bidder have an emergency and/or disaster plan in place that addresses some or all of the provisions found in the Disaster/Emergency Preparedness section of the RFP as distributed by WACOG/AAA for SFY 09?Q11 Evidenced Based Health Promotion/Disease Prevention Programs ( Required) Does the bidder/provider have an evidenced based health promotion program? If so, did the provider specify the type, specific interventions and testing methods? If no, does the provider identify how they will work with the Area Agency on Aging in establishing and developing and evidenced based health promotion program?

Qualitative Assessment of 4.1Outstanding Very Good Acceptable Marginal Unacceptable

Weaknesses ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________Strengths________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Reviewer Comments:

Proposal Submittal Requirements: Caregiver Support Caregiver Training

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Service Requirements for Caregiver Training Q1 Does the bidder have the personnel and qualifications required to perform the service? Did the bidder provide sufficient information related to personnel and current programming to access whether the provider is capable of delivering the service?

Q2 Coordination

Reviewer’s Note: As necessary, please refer to the RFP instructions,

Reviewer’s Note: Please refer to Proposal Submittal Requirements for Caregiver Support Caregiver Training information packet provided to you

Does the bidder identify community partners in which services can be maximized through the use of collaboration and coordinated between service partners?

Q3 Client Donations Does the bidder have a mechanism in which client donations can be accepted? Q4 Service OperationsDid the bidder specify how they will: assess community need for caregiver support groups? Find appropriate locations to conduct groups? Select a group facilitator?Publicize the availability of groups and convene in initial support group meetings? Establish provisions for regularly scheduled caregiver support groups?

Q5 ScheduleDoes the bidder identify a SMART (specific, measurable, attainable, realistic and timely) method of securing regularly scheduled groups and services? Q6 TargetingDoes the bidder identify their target population?Q7 Outreach Is the outreach program for the service appropriate and targeted in areas where the most amount of people and information can be dispersed or reached?Q8 Complaint ResolutionDoes the bidder have a demonstrated method for resolving conflicts and complaints?

QI Internal ControlDid the bidder describe procedures in place to monitor the quality of the program and to assure that the program remains in compliance with fund sources? Q10 Disaster/Emergency Preparedness(Required) Does the bidder have an emergency and/or disaster plan in place that addresses some or all of the provisions found in the Disaster/Emergency Preparedness section of the RFP as distributed by WACOG/AAA for SFY 09?Q11 Evidenced Based Health Promotion/Disease Prevention Programs(Required) Does the bidder/provider have an evidenced based health promotion program? If so, did the provider specify the type, specific interventions and testing methods? If no, does the provider identify how they will work with the Area Agency on Aging in establishing and developing the evidenced based health promotion program?

Qualitative Assessment of 4.1Outstanding Very Good Acceptable Marginal Unacceptable

Weaknesses ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________Strengths________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Review Comments:

Proposal Submittal Requirements: Caregiver Support Peer Counseling

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Service Requirements for Peer Counseling Q1 Does the bidder have the personnel and qualifications required to perform the service? Did the bidder provide sufficient information related to personnel and current programming to access whether the provider is capable of delivering the service?

Q2 Coordination Does the bidder identify community partners in which services can be maximized through the use of collaboration and coordinated between service partners?

Q3 Client Donations Does the bidder have a mechanism in which client donations can be accepted? Q4 Service Operations

Reviewer’s Note: As necessary, please refer to the RFP instructions,

Reviewer’s Note: Please refer to Proposal Submittal Requirements for Caregiver Support Peer Counseling information packet provided to you

Did the bidder specify how they will: access community need for caregiver support groups? Find appropriate locations to conduct groups?Select a group facilitator?Publicize the availability of groups and convene in initial support group meetings? Establish provisions for regularly scheduled caregiver support groups? Q5 ScheduleDoes the bidder identify a SMART (specific, measurable, attainable, realistic and timely) method of securing regularly scheduled groups and services? Q6 TargetingDoes the bidder identify their target population?Q7 Outreach Is the outreach program for the service appropriate and targeted in areas where the most amounts of people and information can be dispersed or reached?Q8 Complaint ResolutionDoes the bidder have a demonstrated method for resolving conflicts and complaints?Q9 Internal ControlDid the bidder describe procedures in place to monitor the quality of the program and to assure that the program remains in compliance with fund sources?

Q10 Emergency/Disaster Preparedness(Required) Does the bidder have an emergency and/or disaster plan in place that addresses some or all of the provisions found in the Disaster/Emergency Preparedness section of the RFP as distributed by WACOG/AAA for SFY 09?Q11 Evidenced Based Health Promotion/Disease Prevention Programs(Required) Does the bidder/provider have an evidenced based health promotion program? If so, did the provider specify the type, specific interventions and testing methods? If no, does the provider identify how they will work with the Area Agency on Aging in establishing and developing the evidenced based health promotion program?

Qualitative Assessment of 4.1Outstanding Very Good Acceptable Marginal Unacceptable

Weaknesses ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________Strengths___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Review Comments:

Proposal Submittal Requirements: Congregate and Home Delivered Meals

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Service Requirements for Congregate and Home Delivered Meals Q1 Client Eligibility: Does the bidder identify who can receive a home delivered and congregate meal?Does the bidder have the personnel and qualifications required to perform the service?

Did the bidder provide sufficient information related to personnel and current programming to evaluate whether the bidder is capable of delivering the service?Does the bidder indicate an understanding of the difference between how home delivered meals are authorized and congregate meals are made available? Q3 Scope of Work

Does the bidder specify how many meals per week will be served in a congregate setting?

Does the bidder specify how many Home Delivered Meals will be served?

Does the bidder address home meal delivery issues in outlying areas i.e. La Paz County and parts of Mohave County?

Are restricted diets addressed in the methodology? Did the bidder address nutrition education and identify methods of

how information will be distributed to nutrition center participants?

Q4 Reimbursement Does the bidder identify the rate in which services will be reimbursed? Q5 Service Delivery Plan for Congregate and Home Delivered MealsA. Provider’s Qualifications and Personnel Did the bidder identify appropriate qualifications and experience for

operating a food service program? Were key personnel assigned to the service and resumes of their

experience and qualifications as it relates to the program included? Did the bidder explain the functions of personnel involved in the

program? Did the bidder specify tasks related to the service that may be

performed by someone other than the provider’s employee? i.e. Title V employee’s and volunteer’s? (This information may also be found in the financial information Itemized Service Budget).

B. Coordination

Reviewer’s Note: As necessary, please refer to the RFP instructions,

Reviewer’s Note: Please refer to Proposal Submittal Requirements for Congregate and Home Delivered Meals information packet provided to you

Does the bidder describe how the program will integrate with other services and programs that serve the elderly?

Did the bidder identify any services or programs that will be located at the nutrition site either ongoing or itinerant basis?

C. Client Donations Did the bidder explain their method of soliciting donations from

participants? Does the bidder have internal controls for appropriate accounting

practices of handling cash donations? Can the bidder explain/describe how ineligible individuals, including

staff or guests, will be informed of the donation policy and required to pay full costs?

D. Food Service Operations Will the meals be served on site or catered? Are satellite sites used? Is each community to be served by a congregate site identified? Can the bidder describe the methods, safety precaution and

equipment needed and used to safely transport meals? Did the bidder describe how the Scope of Work will be met vs.

reiterating back to the AAA what the bidder intends to do? Describe the method in which menus were developed and by

whom? Identify who will be signing off on the nutritional analysis and

menus that are developed? If special diets are to be offered, did the method explain how? If special diets are not going to be offered explain why?

E. Schedule Did the bidder identify how many times per week congregate and

home delivered meals will be served? Identify whether holiday’s (i.e. Christmas and Thanksgiving) will be

celebrated? Does the bidder intend to make provisions for a holiday meal for congregate and home delivered meal recipients?

F. Complaint Resolution Did the bidder describe how complaints will be resolved? Did the bidder identify who is assigned to addressing client

complaints and resolving grievances? Could the bidder explain a SMART (specific, measurable, attainable,

realistic and timely) response process for addressing grievances and client concerns?

G. Social Interaction

Are recreational and group activities conducted at the site? Are activities conducted on a frequent basis? Did the bidder specify whether paid or volunteer staff is responsible

for promoting group activities? How will the bidder perform tasks/activities in the scope of work or

home delivered meal clients? Did the bidder identify what staff is responsible for recruiting and

training volunteers or staff who delivered meals? Does the bidder have a training and orientation program for

volunteer drivers that addressed the following areas:A. Elder Abuse (Financial, Physical, Mental)B. Safety ( Driving, entering homes, universal precautions?)C. Grief Counseling and follow up if a driver finds a diseased client?

Q11 Emergency/Disaster Preparedness(Required) Does the bidder have an emergency and/or disaster plan in place that addresses some or all of the provisions found in the Disaster/Emergency Preparedness section of the RFP as distributed by WACOG/AAA for SFY 09?Q12 Evidenced Based Health Promotion/Disease Prevention Programs(Required) Does the bidder/provider have an evidenced based health promotion program? If so, did the provider specify the type, specific interventions and testing methods? If no, does the provider identify how they will work with the Area Agency on Aging in establishing and developing the evidenced based health promotion program?

Qualitative Assessment of 4.1Outstanding Very Good Acceptable Marginal Unacceptable

Weaknesses ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________Strengths________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________Reviewer Comments:

ATTACHEMENT D

TERMS AND CONDITIONS

1.0 Contract Term and Option to Extend 1.1 The term of the Contract shall be effective the date specified on the Contract Signature page

and shall remain in effect one (1) year and can be extended for a total of five (5) years or otherwise specified date, unless terminated, cancelled, or extended as otherwise provided herein.

1.2 The WACOG-AAA has no obligation to extend or renew this Contract. However, this Contract may be extended or renewed for multiple periods, or may be established as a multi-year Contract in its entirety or in part at the sole option of WACOG-AAA

1.3 The Contractor shall not provide services prior to Contract term commencing or after the end date of the Contract. (No billable activity outside of the effective dates).

2.0 Definitions 2.1 “Attachment” means any item the Solicitation requires the Offeror to submit as part of the Offer.

2.2 “Award Date” means the date the Contract is executed by WACOG. This may or may not be the same date at the “Effective Date” which is the date specified on the Offer and Award or Signature page.

2.3 “Contract” means the combination of the Request for Applications, Instructions to Applicants, Terms and Conditions, Scope of Work, Attachments, and Contract Amendments.

2.4 "Contract Amendment" means a written document signed by the Executive Director that is issued for the purpose of making changes in the Contract.

2.5 “Contractor” means any person who has a Contract with the WACOG-AAA.

2.6 “Days” means calendar days unless otherwise specified.

2.7 “Department” means the Arizona Department of Economic Security or ADES, unless otherwise indicated.

2.8 “Effective Date” means the date the Contractor is to start delivering services. The Effective Date is specified on the Offer and Award or Signature page.

2.9 “Equipment” means all vehicles, furniture, machinery, electronic data processing (EDP) equipment, software and all other equipment costing $5,000.00 or more, including all normal and necessary expenses incurred to make the equipment ready for its intended use (e.g., axes, freight, installation, assembly and testing charges, etc.), and with a useful life of greater than one year. Equipment as used herein does not include real property (e.g., land, building, structures, or facilities’ improvements).

2.10 “Exhibit” means any item labeled as an Exhibit.

2.11 “Gratuity” means a payment, loan, subscription, advance, deposit of money, services, or anything of more than nominal value, present or promised, unless consideration of substantially equal or greater value is received.

2.12 “Materials” means all property, including equipment, supplies, printing, insurance and leases of property but does not include land, a permanent interest in land or real property or leasing space.

2.13 “May” indicates something that is not mandatory but permissible.

2.14 “Executive Director” means the person, or his or her designee, duly authorized by the WACOG to enter into and administer Contracts and make written determinations with respect to the Contract.

2.15 “Services” means the furnishing of labor, time or effort by a Contractor or subcontractor which does not involve the delivery of a specific end product other than required reports and performance, but does not include employment agreements or collective bargaining agreements.

2.16 “Shall, Must” indicates a mandatory requirement.

2.17 “Should” indicates something that is recommended but not mandatory. If the Contractor fails to provide recommended information, the State may, at its sole option, ask the Contractor to provide the information.

2.18 “Subcontract” means any Contract, expressed or implied, between the Contractor and another party or between a subcontractor and another party delegating or assigning, in whole or in part, the making or furnishing of any material or any service required for the performance of the Contract.

2.19 “State” means the State of Arizona and Department or Agency of the State that executes the Contract.

2.20 “State Fiscal Year” means the period beginning with July 1 and ending June 30.

2.21 “Vulnerable adult” means an individual who is eighteen years of age or older who is unable to protect himself from abuse, neglect or exploitation by others because of a physical or mental impairment.

3.0 Advertising, Publishing and Promotion of Contract 3.1 The Contractor shall provide to the WACOG-AAA for review and approval all reports or

publications (written, visual or sound) that are funded or partially funded under this Contract, a minimum of fifteen (15) calendar days prior to public release. All reports and publications whether written, visual or verbal shall contain the following statement:

“This program was funded through a Contract with the WACOG-AAA and funded by the Arizona Department of Economic Security. Points of view are those of the author and do not necessarily represent the official position or policies of WACOG or the Department.”

3.2 The Contractor shall not use, advertise or promote information for commercial benefit concerning this Contract without the prior written approval of the WACOG Human Services and Aging Director.

4.0 Amendments or Modifications 4.1 This Contract may be amended or modified at any time by mutual agreement. No agent,

employee or other representative of either party is empowered to alter any of the terms of the Contract, unless done in writing and signed by the authorized representative of the respective parties.

4.2 Either party shall give written notice to the other party of any non-material alteration that affects the provisions of this Contract. Non-material alterations that do not require a written amendment are as follows:

4.2.1 Change of telephone number;

4.2.2 Change in authorized signatory; and/or

4.2.3 Change in the name and/or address of the person to whom notices are to be sent.

4.3 This Contract is issued under the authority of the Executive Director who signed this Contract. The Contract may be modified only through a Contract Amendment within the scope of the Contract. Changes to the Contract, including the addition of work or materials, the revision of payment terms, or the substitution of work or materials, directed by a person who is not specifically authorized by the Executive Director in writing or made unilaterally by the Contractor are violations of the Contract and of applicable law. Such changes, including unauthorized written Contract Amendments shall be void and without effect, and the Contractor shall not be entitled to any claim under this Contract based on those changes.

5.0 Applicable Law 5.1 This Contract shall be governed and interpreted by the laws of the State of Arizona.

5.2 The materials and services supplied under this Contract shall comply with all applicable Federal, state and local laws, and the Contractor shall maintain all applicable license and permit requirements.

5.3 Nothing in this Contract shall be construed as a waiver of an Indian tribe's sovereign immunity; nothing shall be construed as an Indian tribe's consent to be sued or as consent by an Indian tribe to the jurisdiction of any State Court.

5.4 The Contractor shall comply with the requirements related to reporting to a peace officer or child protective services incidents of crimes against children as specified in A.R.S. §13-3620 as may be amended.

5.5 The Contractor shall comply with P.L. 101-121, Section 319 (31 U.S.C. section 1352) as may be amended and 29 C.F.R. Part 93 as may be amended which prohibit the use of federal funds for lobbying and which state, in part: Except with the express authorization of Congress, the Contractor, its employees or agents, shall not utilize any federal funds under the terms of this Contract to solicit or influence, or to attempt to solicit or influence, directly or indirectly, any member of Congress regarding pending or prospective legislation. Indian tribes, tribal organizations and any other Indian organizations are exempt from these lobbying restrictions with respect to expenditures that are specifically permitted by other federal law.

5.6 The Contractor shall comply with all applicable state and federal statutes and regulations. This shall include

A.R.S. § 23-722.01 as may be amended relating to new hire reporting, A.R.S. § 23-722.02 as may be amended relating to wage assignment orders to provide child support, and A.R.S. § 25-535 as may be amended relating to administrative or court-ordered health insurance coverage for children.

5.7 The Arizona law applies to this Contract including, where applicable, the Uniform Commercial Code as adopted by the State of Arizona and the Arizona Procurement Code, Arizona Revised Statutes (A.R.S.) Title 41, Chapter 23, and its implementing rules, Arizona Administrative Code (A.A.C.) Title 2, Chapter 7.

5.8 Each provision of law and any terms required by law to be in this Contract are a part of this Contract as if fully stated in it.

6.0 Arbitration 6.1 The parties to this Contract agree to resolve all disputes arising out of or relating to this Contract through arbitration, after exhausting applicable administrative review, to the extent required by A.R.S. § 12-1518, except as may be required by other applicable statutes (Title 41).

7.0 Assignment and Delegation 7.1 The Contractor shall not assign any right nor delegate any duty under this Contract without the prior written approval of the Executive Director. WACOG-AAA shall not unreasonably withhold approval.

8.0 Audit 8.1 In accordance with A.R.S. § 35-214, the Contractor shall retain and shall contractually require

each subcontractor to retain all data, books and other records (“records”) relating to this Contract for a period of five years after completion of the Contract. All records shall be subject to inspection and audit by WACOG-AAA and the State at reasonable times. Upon request, the

Contractor shall produce the original of any or all such records.

8.2 In compliance with the Federal Single Audit Act (31 U.S.C. Sections 7501-7507 as may be amended), Contractors, as described in the Office of Management and Budget (OMB) Circular A-133, expending Federal funds from all sources totaling $500,000 or more, shall have a yearly audit conducted in accordance with the audit and reporting standards as prescribed in OMB Circular A-133 (A-133) as may be amended. As outlined in A-133 the audit Reporting Package shall include:

8.2.1 Financial statements and a Schedule of Expenditures of Federal Awards (SEFA)

8.2.2 Summary schedule of prior audit findings

8.2.3 Auditor’s Reports (detailed in the A-133)

8.2.4 Corrective Action Plan.

8.3 WACOG-AAA contract numbers and award amounts shall be included on the SEFA. A copy of the Single Audit Reporting Package and Management Letter, if issued, shall be submitted to the WACOG-AAA within thirty (30) days after completion of the audit or nine (9) months after the audited period and to the WACOG-AAA person designated to receive notices as specified in the section 7.0 General Reporting Requirements in the Scope of Work.

8.4 All Contractors are subject to the programmatic and fiscal monitoring requirements of each WACOG-AAA program to ensure accountability of the delivery of all goods and services, as required under the Federal Single Audit Act. A minimum fiscal requirement for all Contractors designated as vendors is an annual financial audit which includes WACOG-AAA contract numbers and award amounts. The Audit Report, Management Letter, if issued, and Auditor's Opinion shall be submitted within thirty (30) days after completion of the audit to WACOG’s person designated to receive notices as specified in the Reports Section in the Scope of Work.

8.5 As prescribed in OMB Circular A-133, for-profit subrecipients are subject to compliance requirements established by WACOG-AAA. Methods to ensure compliance for Federal awards made to for-profit subrecipients may include pre-award audits, Department monitoring during the Contract, and post-award audits.

8.6 Audits of non-profit corporations receiving Federal or State monies required pursuant to Federal or State law shall be conducted as provided in 31 U.S.C. Section 7501 et seq. and A.R.S. Section 35-181.03 as may be amended and any other applicable statutes, rules, regulations and standards.

9.0 Availability of Funds 9.1 WACOG-AAA may reduce payments or terminate this Contract without further recourse,

obligation or penalty in the event that insufficient funds are appropriated or allocated. The Human Services and Aging Director of WACOG shall have the sole and unfettered discretion in determining the availability of funds. WACOG-AAA and the Contractor may mutually agree to reduce reimbursement to the Contractor when the payment type is Fixed Price with Price Adjustment by executing a contract amendment.

9.2 Availability of Funds for the Current State Fiscal Year 9.2.1 Should the State Legislature enter back into session and reduce the appropriations or for any

reason and these goods or services are not funded, WACOG-AAA may take any of the following actions without further recourse obligation or penalty:

9.2.2 Reduce payments or units authorized;

9.2.3 Accept a decrease in price offered by the Contractor;

9.2.4 Cancel the Contract; or

9.2.5 Cancel the Contract and re-solicit the requirements.

9.3 Availability of Funds for the Next State Fiscal Year 9.3.1 Funds may not presently be available for performance under this Contract beyond the current

state fiscal year. No legal liability on the part of WACOG-AAA for any payment may arise under this Contract beyond the current state fiscal year until funds are made available for performance of this Contract.

10.0 Background Checks for Employment through the Central Registry If providing direct services to children or vulnerable adults, the following shall apply:

10.1 The provisions of A.R.S. § 8-804 (as may be amended) are hereby incorporated in its entirety as provisions of this Contract.

10.2 The Department will conduct Central Registry Background Checks and will use the information contained in the Central Registry as a factor to determine qualifications for positions that provide direct service to children or vulnerable adults for:

1. Any person who applies for a Contract with this WACOG and that person’s employees;2. All employees of a Contractor;3. A subcontractor of a Contractor and the subcontractor’s employees; and4. Prospective employees of the Contractor or subcontractor at the request of the prospective

employer.

10.3 Volunteers who provide direct services to children or vulnerable adults shall have a Central Registry Background Check which is to be used as a factor to determine qualifications for volunteer positions.

10.4 1. A person who is disqualified because of a Central Registry Background Check may apply to the Board of Fingerprinting for a Central Registry exception pursuant to A.R.S. § 41-619.57. A person who is granted a Central Registry exception pursuant to A.R.S. § 41-619.57 is not entitled to a Contract, employment, licensure, certification or other benefit because the person has been granted a Central Registry exception.

2. Before being employed or volunteering in a position that provides direct services to children or vulnerable adults, persons shall certify on forms that are provided by the Department whether an allegation of abuse or neglect was made against them and was substantiated. The completed forms are to be maintained as confidential.

10.5 A person awaiting receipt of the Central Registry Background Check may provide direct services to WACOG clients after completion and submittal of the Direct Service Position certification form if the certification states:

1. The person is not currently the subject of an investigation of child abuse or neglect in Arizona or another state or jurisdiction; and

2. The person has not been the subject of an investigation of child abuse or neglect in Arizona, or another state or jurisdiction, which resulted in a substantiated finding. The Certification for Direct Service Position is located at: https://www.azdes.gov/InternetFiles/InternetProgrammaticForms/doc/ACY-1287AFORFF.doc.

10.6 If the Central Registry Background Check specifies any disqualifying act and the person does not have a Central Registry exception, the person shall be prohibited from providing direct services to WACOG clients.

10.7 The Contractor shall maintain the Central Registry Background Check results and any related forms or documents in a confidential file for five (5) years after termination of the Contract. The Request for Search of Central Registry for Background Check form is located at: https://www.azdes.gov/opac.

11.0 Cancellation for Conflict of Interest 11.1 Pursuant to A.R.S. § 38-511, WACOG may cancel this Contract within three (3) years after

Contract execution without penalty or further obligation if any person significantly involved in initiating, negotiating, securing, drafting or creating the Contract on behalf of WACOG is or becomes at any time while the Contract or an extension of the Contract is in effect an employee of or a consultant to any other party to this Contract with respect to the subject matter of the Contract. The cancellation shall be effective when the Contractor receives written notice of the cancellation unless the notice specifies a later time. If the Contractor is a political subdivision of the State, it may also cancel this Contract as provided in A.R.S.§ 38-511.

12.0 Certification of Cost or Pricing Data 12.1 The Contractor certifies that, to the best of the Contractor’s knowledge and belief, any cost or

pricing data submitted is accurate, complete and current as of the date submitted or other mutually agreed upon date. Furthermore, the price to WACOG shall be adjusted to exclude any significant amounts by which WACOG finds the price was increased because the Contractor-furnished cost or pricing data was inaccurate, incomplete or not current as of the date of submittal. Such adjustment by WACOG may include overhead, profit or fees.

13.0 Certification Regarding Lobbying 13.1 The Contractor agrees by submittal of the Certification Regarding Lobbying form,

compliance with 49 CFR part 20. (Attachment)

14.0 Code of Conduct

14.1 The Contractor shall avoid any action that might create or result in the appearance of:

14.1.1 Inappropriate use or divulging of information gathered or discovered pursuant to the performance of its duties under the Contract;

14.1.2 Acting on behalf of WACOG without appropriate authorization;

14.1.3 Provided favorable or unfavorable treatment to anyone;

14.1.4 Made a decision on behalf of WACOC that exceeded its authority, could result in partiality, or have a political consequence for WACOG;

14.1.5 Misrepresent or otherwise impeded the efficiency, authority, actions, policies, or adversely affect the confidence of the public or integrity of WACOG; or

14.2.6 Loss of impartiality when advising WACOG.

15.0 Competitive Bidding 15.1 The Contractor is authorized to purchase the supplies and equipment itemized in the Contract for

utilization in the delivery of contract services. Contractor shall procure all such supplies and equipment at the lowest practicable cost and shall purchase all non-expendable items having a useful life of more than one year and an acquisition cost of $1,000 or more, through generally accepted and reasonable competitive bidding processes. Any procurement in violation of this provision shall be considered a financial audit exception.

16.0 Confidentiality 16.1 The Contractor shall observe and abide by all applicable State and federal statutes, rules and

regulations regarding the use or disclosure of information including, but not limited to, information concerning applicants for and recipients of contract services. To the extent permitted by law, the Contractor shall release information to WACOG, the Department and to the Attorney General's Office as required by the terms of this Contract, by law or upon their request.

16.2 The Contractor shall comply with the requirements of Arizona Address Confidentiality Program, A.R.S. §41- 161 et. seq. WACOG will advise the Contractor as to applicable policies and procedures WACOG has adopted for such compliance.

17.0 Cooperation 17.1 WACOG may undertake or award other Contracts for additional work related to the work

performed by the Contractor, and the Contractor shall fully cooperate with such other Contractors, WACOG employees and State employees, and carefully fit its own work to such other Contractors' work. The Contractor shall not commit or permit any act which will interfere with the performance of work by any other Contractor, WACOG employees or by State employees. The Contractor shall cooperate as WACOG deems necessary, with the transfer of work, services, case records and files performed or prepared by the Contractor to other Contractor(s).

18.0 Coop eratio n w ith WACOG’s Inv est ig ation 18.1 All Contractors, providers, vendors and volunteers are to cooperate fully and truthfully with any

WACOG and ADES investigation, including but not limited to an Investigation by Division or Internal Affairs. Failure to adhere to this policy may result in WACOG taking whatever actions it deems appropriate, from removal of the subject and or witness from working with WACOG clients up to terminating the Contract with WACOG.

19.0 Data Sharing Agreement

19.1 When determined by WACOG that sharing of confidential data will occur with the Contractor, the Contractor shall complete the WACOG/ADES Data Sharing Request Agreement and submit the completed Agreement to the WACOG/ADES Program Designated Staff prior to any work commencing or data shared. A separate Data Sharing Request Agreement shall be required between the Contractor and each WACOG/ADES Program sharing confidential data.

20.0 Equipment 20.1 If the Contractor is authorized to purchase Equipment, it shall be itemized in the Contract for

utilization in the delivery of contract services. If Equipment is purchased as authorized by this Contract, the Contractor shall maintain complete and up-to-date inventory records for all Equipment purchased hereunder. Equipment specifically designated within this Contract, to be purchased in whole or part with WACOG funds, shall be reported in accordance with WACOG inventory policies and procedures. The Contractor shall report Equipment purchased with contract funds to WACOG within thirty (30) days of purchase, perform an annual inventory of all equipment purchased with WACOG funds and submit the Equipment inventory form to the WACOG person designated to receive notices.

20.2 WACOG shall retain an equitable interest equal to the purchase price paid, or a fair estimate or appraisal of current market value, whichever is greater, in all Equipment purchased under this Contract. WACOG and the Department shall be included as a co-insured on any insurance policy which covers Equipment purchased under this Contract.

20.3 The Contractor shall not dispose of any Equipment purchased under this Contract without the prior written consent of WACOG during and after the contract term. Such consent, if given, may include direction as to the means of disposition and the utilization of proceeds, including any necessary adjustments to the Contract.

20.4 Upon termination of this Contract, any Equipment purchased under this Contract shall be disposed of as directed by WACOG and, if sold, WACOG shall be compensated in the amount of its equitable interest.

20.5 Under a fixed price Contract, Sections 20.1 through 20.4 do not apply unless specifically required by federal or state law.

21.0 Evaluation 21.1 WACOG may evaluate, and the Contractor shall cooperate in the evaluation of, contract

services. Evaluation may assess the quality and impact of contract services, either in isolation or in comparison with other similar services, and assess the Contractor's progress and/or success in achieving the goals, objectives and deliverables set forth in this Contract.

21.2 As requested by WACOG, the Contractor shall participate in third party evaluations relative to Contract impact in support of WACOG goals.

22.0 E-Verify Requirements 22.1 In accordance with ARS §41-4401 as may be amended, Contractor warrants compliance with

all Federal immigration laws and regulations relating to employees and warrants its compliance with Section A.R.S.§ 23-214, Subsection A as may be amended. (That subsection reads: “After December 31, 2007, every employer, after hiring an employee, shall verify the employment eligibility of the employee through the E- Verify program.”)

22.2 A breach of a warrant regarding compliance with immigration laws and regulations shall be deemed a material breach of the Contract and the Contractor may be subject to penalties up to and including termination of the Contract.

22.3 Failure to comply with a WACOG/State audit process to randomly verify the employment records of Contractors and subcontractors shall be deemed a material breach of the Contract and the Contractor may be subject to penalties up to and including termination of the Contract.

22.4 WACOG retains the legal right to inspect the papers of any employee who works on the Contract to ensure that the Contractor or subcontractor is complying with the warranty under paragraph 22.2.

23.0 Fair Hearings and Service Recipients' Grievances 23.1 The Contractor shall advise all applicants for and recipients of contract services of their right,

at any time and for any reason, to present to the Contractor and to WACOG any grievances arising from the delivery of contract services, including, but not limited to, ineligibility determination, reduction of services, suspension or termination of services, or quality of services. WACOG may assert its jurisdiction to hear the grievance or refer the matter to the appropriate authority.

23.2 The Contractor, whenever authorized by law, shall maintain a formal system acceptable to and approved by WACOG for reviewing and adjudicating grievances by service recipients or subcontractors arising from this Contract.

24.0 Federal Immigration and Nationality Act 24.1 The Contractor warrants compliance with the Federal Immigration and Nationality Act (FINA)

and all other Federal immigration laws and regulations related to the immigration status of its employees. The Contractor shall flow down this requirement to all subcontractors utilized during the term of the Contract. W A C O G a n d t he State shall retain the right to perform random audits of Contractor and subcontractor records or to inspect papers of any employee thereof to ensure compliance. The Contractor shall obtain statements from its subcontractors certifying compliance and shall furnish the statements to WACOG and the ADES upon request. These warranties shall remain in effect through the term of the Contract. The Contractor and its subcontractors shall also maintain Employment Eligibility Verification forms (I-9) as required by the U.S. Department of Labor’s Immigration and Control Act, for all employees performing work under the Contract. I-9 forms are available for download at USCIS.GOV.

24.2 WACOG may request verification of compliance for any Contractor or subcontractor performing work under the Contract. Should it be determined that the Contractor or any subcontractors be found noncompliant, WACOG may pursue all remedies allowed by law, including, but not limited to suspension of work, termination of the Contract for default and suspension and/or debarment of the Contractor.

25.0 Fees and Program Income 25.1 Unless specifically authorized in the Contract, the Contractor shall impose no fees or charges of

any kind upon recipients for contract services.

26.0 Fingerprinting

26.1 Contractor shall comply with, and shall ensure that all of Contractor’s employees, independent contractors, subcontractors, volunteers and other agents comply with, all applicable (current and future) legal requirements relating to fingerprinting, fingerprint clearance cards, certifications regarding pending or past criminal matters, and criminal records checks that relate to contract performance.

26.2 Applicable legal requirements relating to fingerprinting, certification, and criminal background checks may include, but are not limited, to the following: A.R.S. §§ 36-594.01, 36-3008, 41-1964, and 46-141. All applicable legal requirements relating to fingerprinting, fingerprint clearance cards, certifications regarding pending or past criminal matters, and criminal records checks are hereby incorporated in their entirety as provisions of this Contract. The Contractor is responsible for knowing which legal requirements relating to fingerprinting, fingerprint clearance cards, certifications regarding pending or past criminal matters, and criminal records checks relate to contract performance.

26.3 To the extent A.R.S. § 46-141 is applicable to contract performance or the services provided under this Contract, the following provisions apply:

26.3.1 Personnel who are employed by the Contractor, whether paid or not, and who are required or allowed to provide services directly to juveniles or vulnerable adults shall have a valid fingerprint clearance card or shall apply for a fingerprint clearance card within seven working days of employment.

26.3.2 Except as provided in A.R.S. § 46-141, this Contract may be cancelled or terminated immediately if a person employed by the Contractor and who has contact with juveniles certifies pursuant to the provisions of A.R.S. § 46-141 (as may be amended) that the person is awaiting trial or has been convicted of any of the offenses listed therein in this State, or of acts committed in another state that would be offenses in this State, or if the person does not possess or is denied issuance of a valid fingerprint clearance card.

26.4 Federally recognized Indian tribes will submit and WACOG shall accept certifications that state that no personnel who are employed or who will be employed during the contract term have been convicted of, have admitted committing or are awaiting trial on any offense as described inA.R.S. § 36-594.01 (as may be amended).

27.0 Force Majeure 27.1 Except for payment of sums due, neither party shall be liable to the other nor deemed in default

under this Contract if and to the extent that such party’s performance of this Contract is prevented by reason of force majeure. The term “force majeure” means an occurrence that is beyond the control of the party affected and occurs without its fault or negligence. Without limiting the foregoing, force majeure includes acts of God; acts of the public enemy; war; riots; strikes; mobilization; labor disputes; civil disorders; fire; flood; lockouts; injunctions-intervention-acts; or failures or refusals to act by government authority; and other similar occurrences beyond the control of the party declaring force majeure which such party is unable to prevent by exercising reasonable diligence.

27.2 Force Majeure shall not include the following occurrences:

27.2.1 Late delivery of equipment or materials caused by congestion at a manufacturer’s plant or elsewhere, or an oversold condition of the market;

27.2.2 Late performance by a subcontractor unless the delay arises out of a force majeure occurrence in accordance with this force majeure term and condition; or

27.2.3 Inability of either the Contractor or any subcontractor to acquire or maintain any required insurance, bonds, licenses or permits.

27.3 If either party is delayed at any time in the progress of the work by force majeure, the delayed party shall notify the other party in writing of such delay, as soon as is practicable and no later than the following working day, of the commencement thereof and shall specify the

causes of such delay in such notice. Such notice shall be delivered or mailed certified-return receipt and shall make a specific reference to this article, thereby invoking its provisions. The delayed party shall cause such delay to cease as soon aspracticable and shall notify the other party in writing when it has done so. The time of completion shall be extended by contract Amendment for a period of time equal to the time that results or effects of such delay prevent the delayed party from performing in accordance with this Contract.

27.4 Any delay or failure in performance by either party hereto shall not constitute default hereunder or give rise to any claim for damages or loss of anticipated profits if, and to the extent that such delay or failure is caused by force majeure.

28.0 Inclusive Contractor 28.1 Contractor is encouraged to make every effort to utilize subcontractors that are small, women-

owned and/or minority owned business enterprises. This could include subcontractors for a percentage of the administrative or direct service being proposed. Contractor who is committing a portion of its work to such subcontractors shall do so by identifying the type of service and work to be performed by providing detail concerning the Contractor’s utilization of small, women-owned and/or minority business enterprises. Emphasis should be placed on specific areas that are subcontracted and percentage of contract utilization and how this effort will be administered and managed, including reporting requirements.

29.0 Indemnification 29.1 Indemnification for Contractor:

29.1.1 Contractor/Vendor Indemnification (Not Public Agency) The parties to this Contract agree that WACOG, the State of Arizona, its departments, agencies, boards and commissions shall be indemnified and held harmless by the Contractor for the vicarious liability of the State as a result of entering into this Contract. However, the parties further agree that the WACOG, State of Arizona, its departments, agencies, boards and commissions shall be responsible for its own negligence. Each party to this Contract is responsible for its own negligence.

29.1.2 Public Agency Language Only Each Party (as "Indemnitor") agrees to indemnify, defend, and hold harmless the other party (as "Indemnitee") from and against any and all claims, losses, liability, costs, or expenses (including reasonable attorney's fees) (hereinafter collectively referred to as “Claims”) arising out of bodily injury of any person (including death) or property damage, but only to the extent that such Claims which result in vicarious/derivative liability to the Indemnitee are caused by the act, omission, negligence, misconduct, or other fault of the Indemnitor, its officers, officials, agents, employees, or volunteers.

29.1.3 Indemnification - Patent and Copyright The Contractor shall indemnify and hold harmless WACOG and the State against any liability, including costs and expenses, for infringement of any patent, trademark or copyright arising out of contract performance or use by WACOG and the State of materials furnished or work performed under this Contract. W A C O G shall reasonably notify the Contractor of any claim for which it may be liable under this paragraph. If the Contractor is insured pursuant to A.R.S. § 41-621 and § 35-154, this section shall not apply.

29.2 Indemnification Clause: 29.2.1 The parties to this Contract agree that WACOG, the State of Arizona and the Department of

Economic Security shall be indemnified and held harmless by Contractor for the vicarious liability of WACOG and the State as a result of entering into this Contract. However, the parties further agree that WACOG, the State of Arizona and the Department of Economic Security shall be responsible for their own negligence. Each party to this Contract is responsible for its own negligence.

This indemnity shall not apply if the Contractor or sub-contractor(s) is/are an agency, board, commission or university of the State of Arizona.

29.3 Indemnification for Subcontractor:

29.3.1 In addition, the Contractor shall cause its Contractor(s) and subcontractors, if any, to indemnify,

defend, save and hold harmless WACOG and the State of Arizona, any jurisdiction or agency issuing any permits for any work arising out of this Agreement, and their respective directors, officers, officials, agents, and employees (hereinafter referred to as “Indemnitee”) from and against any and all claims, actions, liabilities, damages, losses, or expenses (including court costs, attorneys’ fees, and costs of claim processing, investigation and litigation) (hereinafter referred to as “Claims”) for bodily injury or personal injury (including death), or loss or damage to tangible or intangible property caused, or alleged to be caused, in whole or in part, by the negligent or willful acts or omissions of the Contractor or any of the directors, officers, agents, or employees or subcontractors of such Contractor. This indemnity includes any claim or amount arising out of or recovered under the Workers’ Compensation Law or arising out of the failure of such Contractor to conform to any federal, state or local law, statute, ordinance, rule, regulation or court decree. It is the specific intention of the parties that the Indemnitee shall, in all instances, except for Claims arising solely from the negligent or willful acts or omissions of the Indemnitee, be indemnified by such Contractor from and against any and all claims. It is agreed that such Contractor will be responsible for primary loss investigation, defense and judgment costs where this indemnification is applicable.

30.0 Insurance Requirements 30.1 Contractor and subcontractors shall procure and maintain until all of their obligations have been

discharged, including any warranty periods under this Contract, are satisfied, insurance against claims for injury to persons or damage to property which may arise from or in connection with the performance of the work hereunder by the Contractor, his agents, representatives, employees or subcontractors.

30.2 The insurance requirements herein are minimum requirements for this Contract and in no way limit the indemnity covenants contained in this Contract. W A C O G a n d t he State of Arizona in no way warrants that the minimum limits contained herein are sufficient to protect the Contractor from liabilities that might arise out of the performance of the work under this Contract by the Contractor, its agents, representatives, employees or subcontractors, and Contractor is free to purchase additional insurance.

A. Minimum Scope And Limits Of Insurance: Contractor shall provide coverage with limits of liability not less than those stated below.1. Commercial General Liability – Occurrence FormPolicy shall include bodily injury, property damage, personal injury and broad form contractual liability.

General Aggregate $2,000,000 Products – Completed Operations Aggregate $1,000,000 Personal and Advertising Injury $1,000,000 Blanket Contractual Liability – Written and Oral $1,000,000 Fire Legal Liability $ 50,000 Each Occurrence $1,000,000

a. The policy shall be endorsed to include coverage for sexual abuse and molestation.

b. The policy shall be endorsed to include the following additional insured language: “WACOG, The State of Arizona and the Department of Economic Security shall be named as additional insureds with respect to liability arising out of the activities performed by or on behalf of the Contractor".

c. Policy shall contain a waiver of subrogation against WACOG and the State of Arizona, its departments, agencies, boards, commissions, universities and its officers, officials, agents, and employees for losses arising from work performed by or on behalf of the Contractor.

This requirement may be satisfied with a policy combining General and Professional Liability, provided that the General Liability section of the policy is written on an occurrence basis, and includes coverage for contractual liability.

2. Business Automobile LiabilityBodily Injury and Property Damage for any owned, hired, and/or non-owned

vehicles used in the performance of this Contract.Combined Single Limit (CSL) $1,000,000

a. The policy shall be endorsed to include the following additional insured language: “WACOG, the State of Arizona and the Arizona Department of Economic Security shall be named as additional insureds with respect to liability arising out of the activities performed by or on behalf of the Contractor, involving automobiles owned, leased, hired or borrowed by the Contractor".

b. Policy shall contain a waiver of subrogation against WACOG, the State of Arizona, its departments, agencies, boards, commissions, universities and its officers, officials, agents, and employees for losses arising from work performed by or on behalf of the Contractor.

This paragraph, Business Automobile Liability, shall not be applicable in the event Contractor (or its Subcontractors) does not utilize a vehicle in any manner in the performance of this Contract or if the utilization is used only for commuting purposes. In the event Contractor (or its Subcontractors) subsequently utilizes the vehicle in the performance of the Contract or utilizes it for other than commuting purposes, this paragraph, Business Automobile Liability, shall be fully applicable, effective the date the utilization is changed.

3. Worker's Compensation and Employers' Liability Workers' Compensation Employers' Liability

Each Accident

Statutory

$ 500,000 Disease – Each Employee $ 500,000 Disease – Policy Limit $1,000,000

a. Policy shall contain a waiver of subrogation against WACOG, the State of Arizona, its departments, agencies, boards, commissions, universities and its officers, officials, agents, and employees for losses arising from work performed by or on behalf of the Contractor.

b. This requirement shall not apply to: Separately, EACH Contractor or subcontractor exempt under A.R.S. 23-901, AND when such Contractor or subcontractor executes the appropriate waiver (Sole Proprietor/Independent Contractor) form.

4. Professional Liability (Errors and Omissions Liability)Each Claim $1,000,000Annual Aggregate $2,000,000

a. In the event that the professional liability insurance required by this Contract is written on a claims-made basis, Contractor warrants that any retroactive date under the policy shall precede the effective date of this Contract; and that either continuous coverage will be maintained or an extended discovery period will be exercised for a period of two (2) years beginning at the time work under this Contract is completed.

b. The policy shall cover professional misconduct or lack of ordinary skill for those positions defined in the Scope of Work of this Contract.

5. Fidelity Bond or Crime InsuranceBond or Policy Limit $ 100,000

a. The bond or policy shall be issued with minimum limits of $100,000.

b. The bond or policy shall include coverage for all directors, officers, agents and employees of the Contractor.

c. The bond or policy shall include coverage for third party fidelity.

d. The bond or policy shall include coverage for theft and mysterious disappearance.

e. The bond or policy shall contain no requirement for arrest and conviction.

f. The bond or policy shall cover loss outside the premises of the Named Insured

B. Additional Insurance Requirements: The policies shall include, or be endorsed to include, the following provisions: WACOG, The State of Arizona and the Arizona Department of Economic Security, wherever additional insured status is required such additional insured shall be covered to the full limits of liability purchased by the Contractor, even if those limits of liability are in excess of those required by this Contract.1. The Contractor's insurance coverage shall be primary insurance with respect to all

other available sources.2. Coverage provided by the Contractor shall not be limited to the liability assumed

under the indemnification provisions of this Contract.

C. Notice Of Cancellation: Each insurance policy required by the insurance provisions of this Contract shall provide the required coverage and shall not be suspended, voided, canceled, or reduced in coverage or in limits except after thirty (30) days prior written notice has been given to W A C O G , the State of Arizona. Such notice shall be sent directly to WACOG-AAA, Gina Whittington, 1235 Redondo, Yuma, AZ 85365 and the Arizona Department of Economic Security, Office of Procurement, 1789 W. Jefferson St. Site Code 805Z, Phoenix, AZ 85007 unless the Scope of Work Reporting Requirements specifies otherwise and shall be sent by certified mail, return receipt requested.

D. Acceptability Of Insurers: Insurance is to be placed with duly licensed or approved non-admitted insurers in the state of Arizona with an “A.M. Best” rating of not less than A-VII. W A C O G a n d t h e State of Arizona in no way warrants that the above-required minimum insurer rating is sufficient to protect the Contractor from potential insurer insolvency.

If the Contractor utilizes the Social Service Contractors Indemnity Pool (SSCIP) or other approved insurance pool for insurance coverage, SSCIP or the other approved insurance pool is exempt from the A.M. Best’s rating requirements listed in this Contract. If the Contractor or subcontractor chooses to use SSCIP, AMRRP, or another approved insurance pool as its insurance provider, the Contract/subcontract would be considered as meeting the insurance requirements relating to theA.M. Best rating requirements.

Contractors or subcontractors submitting Certificates of Insurance identifying SSCIP, AMRRP, or another approved insurance pool will be considered as meeting the insurance requirements including those related to sexual abuse and molestation.

E. Verification Of Coverage: Contractor shall furnish WACOG and the State of Arizona with certificates of insurance (ACORD form or equivalent approved by the State of Arizona) as required by this Contract. The certificates for each insurance policy are to be signed by a person authorized by that insurer to bind coverage on its behalf.

All certificates and endorsements are to be received and approved by WACOG and the State of Arizona before work commences. Each insurance policy required by this Contract must be in effect at or prior to commencement of work under this Contract and remain in effect for the duration of the project.

Failure to maintain the insurance policies as required by this Contract, or to provide evidence of

renewal, is a material breach of contract.

All certificates required by this Contract shall be sent directly to WACOG-AAA, Gina Whittington, 1235 Redondo, Yuma, AZ 85365 and Arizona Department of Economic Security, Office of Procurement, 1789 W. Jefferson St. Site Code 805Z, Phoenix, AZ 85007 unless the Scope of Work Reporting Requirements specifies otherwise. W A C O G a n d The State of Arizona reserves the right to require complete, certified copies of all insurance policies required by this Contract at any time. DO NOT SEND CERTIFICATES OF INSURANCE TO THE STATE OF ARIZONA'S RISK MANAGEMENT SECTION.

F. Subcontractors: Contractors’ certificate(s) shall include all subcontractors as insureds under its policies or Contractor shall furnish to the WACOG and State of Arizona separate certificates and endorsements for each subcontractor. All coverages for subcontractors shall be subject to the minimum requirements identified above.

G. Approval: Any modification or variation from the insurance requirements in this Contract shall be made by the contracting agency. Such action will not require a formal contract amendment, but may be made by administrative action.

H. Exceptions: In the event the Contractor or sub-contractor(s) is/are a public entity, then the Insurance Requirements shall not apply. Such public entity shall provide a Certificate of Self- Insurance.

In the event that Contractor determines that it may not be able to comply fully with the insurance requirements set forth above in Section 30.0 of these Terms and Conditions, the Contractor may request that the insurance requirements be modified pursuant to paragraph 30.2(G), provided that such request be delivered in writing to WACOG and ADES at least ten days prior to the solicitation due date or, if not a solicitation, prior to contract execution. Contractor shall include with such request Contractor’s justification for the modification with supporting documentation.

Modifications that are approved will be done so on a case-by-case basis and shall not affect the insurance requirements of other Contractors for whom modifications have not been approved. If a Contractor’s request has not been approved or a Contractor fails to deliver its request prior to the applicable deadline, then the Contractor shall be required to comply fully with the insurance requirements set forth in paragraph 30.0 above.

31.0 IT 508 Compliance 31.1 Unless specifically authorized in the Agreement, any electronic or information technology offered

to WACOG and the State of Arizona under this agreement shall comply with A.R.S. § 41-3531 and § 3532 as may be amended, and Section 508 of the Rehabilitation Act of 1973, which requires that employees and members of the public shall have access to and use of information technology that is comparable to the access and use by employees and members of the public who are not individuals with disabilities.

32.0 Levels of Service 32.1 If the Contractor determines service recipient eligibility, the Contractor shall maintain and

regulate services set forth in this contract to ensure continuity and availability of services to eligible persons during the term of this Contract and during any transition to a subsequent Contractor.

32.2 WACOG makes no guarantee to purchase specific quantities of goods or services, or to refer eligible persons as may be identified or specified herein. Further, it is understood and agreed that this Contract is for the sole convenience of WACOG and that WACOG reserves the right to obtain like goods or services from other sources when such need is determined necessary by WACOG.

32.3 Any administration within WACOG may obtain services under this Contract.

32.4 Contract services may be moved or expanded to other site locations within the geographic area awarded only by a written contract amendment.

32.5 WACOG makes no guarantee to purchase all of the service units authorized or to provide

any number of referrals. If quantities of units are specified, they are estimates only and WACOG may decrease and/or increase them by providing written notice to the Contractor.

32.6 When the method of compensation for the service is Fixed Price with Price Adjustment, the Contract may be amended, by mutual agreement, to purchase additional services by increasing the contract service budget and/or budget summary.

33.0 Monitoring33.1 WACOG may monitor the Contractor and/or subcontractor and they shall cooperate in

the monitoring of services delivered, facilities and records maintained and fiscal practices.

34.0 Non-Discrimination34.1 The Contractor shall comply with State Executive Order No. 2009-09 and all other applicable

Federal and State laws, rules and regulations, including the Americans with Disabilities Act.

34.2 Unless exempt under Federal law the Contractor shall comply with Title VII of the Civil Rights Act of 1964 as amended. Contractor shall comply with the Age Discrimination in Employment Act. The Contractor shall comply with the Rehabilitation Act of 1973, as amended, which prohibits discrimination in the employment or advancement in employment of qualified persons because of physical or mental handicap. The Contractor shall comply with the requirements of the Fair Labor Standards Act of 1938, as amended.

34.3 If Contractor is an Indian Tribal Government, Contractor shall comply with the Indian Civil Rights Act of 1968. It shall be permissible for an Indian Tribal Contractor to engage in Indian preference in hiring.

34.4 The Contractor shall comply with Title VI of the Civil Rights Act of 1964, which prohibits the denial of benefits of or participation in contract services on the basis of race, color, or national origin. The Contractor shall comply with the requirements of Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination on the basis of handicap, in delivering contract services; and with Title II of the Americans with Disabilities Act, and the Arizona Disability Act, which prohibit discrimination on the basis of physical or mental disabilities in the provision of contract programs, services and activities

34.5 The following shall be included in all publications, forms, flyers, etc. that are distributed to recipients of contract services:“Under Titles VI and VII of the Civil Rights Act of 1964 (Title VI and VII) and the Americans with Disabilities Act of 1990 (ADA) Section 504 of the Rehabilitation Act of 1973 and the Age Discrimination Act of 1975, insert Contractor name here) prohibits discrimination in admissions, programs, services, activities or employment based on race, color, religion, sex, national origin, age, and disability. The (insert Contractor name here) must make a reasonable accommodation to allow a person with a disability to take part in a program, service, or activity. Auxiliary aids and services are available upon request to individuals with disabilities. For example, this means that if necessary, the (insert Contractor name here) must provide sign language interpreters for people who are deaf, a wheelchair accessible location, or enlarged print materials. It also means that the (insert Contractor name here) will take any other reasonable action that allows you to take part in and understand a program or activity, including making reasonable changes to an activity. If you believe that you will not be able to understand or take part in a program or activity because of your disability, please let us know of your disability needs in advance if at all possible. To request this document in alternative format or for further information about this policy please contact Gina Whittington, Human Services and Aging Director.

35.0 No Parole Evidence 35.1 Contract is intended by the parties as a final and complete expression of their agreement. No

course of prior dealings between the parties and no usage of the trade shall supplement or explain any terms used in this document and no other understanding either oral or in writing shall be binding.

36.0 No Waiver

36.1 Either party’s failure to insist on strict performance of any term or condition of the Contract shall not be deemed a waiver of that term or condition even if the party accepting or acquiescing in the nonconforming performance knows of the nature of the performance and fails to object to it.

37.0 Notices 37.1 All notices to the Contractor regarding this Contract shall be sent to the address indicated in

Attachment 9.37.2 All notices to the WACOG regarding this Contract shall be sent to the address indicated in

section 4.0 Notices in the Scope of Work.37.3 All notices shall reference the Contract number.37.4 The Contractor shall give written notice to WACOG of changes to the following, and a

written amendment to the Contract shall not be necessary:1. Change of telephone number;2. Changes in the name and/or address of the person to whom notices are to be sent;3. Changes in contract-related personnel positions of the Contractor which do not affect

staffing ratios, staff qualifications or specific individuals required under this Contract.37.5 In a fixed price with price adjustment contract, a written amendment shall not be necessary to

shift costs among budget categories. The Contractor shall give written notice to WACOG that includes justification for the change and may receive written approval by WACOG. Any such increase must be offset by an equal value decrease in any budget category or categories.

38.0 Offshore Performance Of Work Prohibited 38.1 Due to security and identity protection concerns, direct services under this Contract shall be

performed within the borders of the United States. Any services that are described in the specifications or scope of work that directly serve WACOG or its clients and may involve access to secure or sensitive data or personal client data or development or modification of software for WACOG shall be performed within the borders of the United States. Unless specifically stated otherwise in the specifications, this definition does not apply to indirect or 'overhead' services, redundant back-up services or services that are incidental to the performance of the Contract. This provision applies to work performed by subcontractors at all tiers

39.0 Order of Precedence 39.1 In the event of a conflict in the provisions of the Contract, as accepted by WACOG and as

they may be amended, the following shall prevail in the order set forth below:1. Terms and Conditions;2. Scope of Work;3. Attachments;4. Exhibits; and5. Documents referenced or included in the Request for Application/Proposal.

40.0 Ownership of Intellectual Property 40.1 Any and all intellectual property, including but not limited to copyright, invention, trademark,

tradename, service mark, and/or trade secrets created or conceived pursuant to or as a result of this Contract and any related subcontract (“Intellectual Property”), shall be work made for hire and WACOG shall be considered the creator of such Intellectual Property. WACOG shall own the entire right, title and interest to the Intellectual Property throughout the world. Contractor shall notify WACOG, within thirty (30) days, of the creation of any Intellectual Property by it or its subcontractor(s). Contractor, on behalf of itself and any subcontractor(s), agrees to execute any and all document(s) necessary to assure ownership of the Intellectual Property vests in WACOG and shall take no affirmative actions that might have the effect of vesting all or part of the Intellectual Property in any entity other than WACOG. The Intellectual Property shall not be disclosed by Contractor or its subcontractor(s) to any entity not WACOG without the express written authorization of the WACOG requesting the issuance of this Contract.

40.2 Intellectual Property developed by the Contractor that is already in the public domain is exempt from this requirement.

41.0 Pandemic Contractual Performance 41.1 WACOG shall require a written plan that illustrates how the Contractor shall perform up to

contractual standards in the event of a pandemic. WACOG may require a copy of the plan at any time prior or post award of a Contract. At a minimum, the pandemic performance plan shall include:1. Key succession and performance planning if there is a sudden significant decrease in

Contractor’s workforce.2. Alternative methods to ensure there are services or products in the supply chain.3. An up to date list of company contacts and organizational chart.

41.2 In the event of a pandemic, as declared by the Governor of Arizona, U.S. Government or the World Health Organization, which makes performance of any term under this Contract impossible or impracticable, the State shall have the following rights:1. After the official declaration of a pandemic, WACOG may temporally void the Contract(s)

in whole or specific sections if the Contractor cannot perform to the standards agreed upon in the initial terms.

2. WACOG shall not incur any liability if a pandemic is declared and emergency procurements are authorized by the Human Services and Aging Director per A.R.S. § 41-2537 as may be amended of the Arizona Procurement Code.

3. Once the pandemic is officially declared over and/or the Contractor can demonstrate the ability to perform, WACOG, at its sole discretion may reinstate the temporarily voided Contract(s).

42.0 Payments42.1 Reimbursement to the Contractor shall be in accordance with actual allowable costs incurred

consistent with each service budget and/or budget summary not to exceed the service reimbursement ceiling. The Contractor shall furnish WACOG with an accounting of actual costs incurred consistent with the categories set forth in the service budget(s). Budget categories, to include cost items in a category, may be deleted, added, or modified by a contract amendment as specified in section 37.0 Notices of these Terms and Conditions. Any change to the service reimbursement ceiling shall be reflected in a contract amendment.

42.2 The Contractor shall report to WACOG in the manner prescribed in section 8.0 Reporting Requirements in the Scope of Work. Upon receipt of applicable, accurate and complete reports, WACOG will authorize payment or reimbursement in accordance with the type of payment indicated by this Contract.

42.3 If the Contractor is in any manner in default in the performance of any obligation under this Contract, or if audit exceptions are identified, WACOG may, at its option and in addition to other available remedies, either offset the amount of payment or withhold payment up to the amount in dispute or default.

42.4 Under no circumstances shall WACOG make payment to the Contractor that exceeds the units authorized or contract/service reimbursement ceilings indicated in the Service Budget(s), as may be amended.

42.5 Under no circumstances shall WACOG make payment to the Contractor for services performed after the term of the Contract without timely extension or renewal of the Contract.

42.6 The Contractor may offer a price reduction adjustment at any time during the term of the Contract. Any price reduction shall be executed by a contract amendment.

42.7 Payments shall comply with the requirements of A.R.S. Titles 35 and 41, Net 30 days. Upon receipt and acceptance of goods or services, the Contractor shall submit a complete and accurate invoice for payment from the State within thirty (30) days.

42.8 The Contractor shall be responsible for paying all applicable taxes.

42.9 The State of Arizona is subject to all applicable state and local transaction privilege taxes. Transaction privilege taxes apply to the sale and are the responsibility of the seller to remit. Failure to collect such taxes from the buyer does not relieve the seller from its obligation to remit taxes.

42.10 Contractor and all subcontractors shall pay all Federal, state and local taxes applicable to its operation and any persons employed by the Contractor. Contractor shall, and require all subcontractors to hold WACOG harmless from any responsibility for taxes, damages and interest, if applicable, contributions required under Federal, and/or state and local laws and regulations and any other costs including transaction privilege taxes, unemployment compensation insurance, Social Security and Worker’s Compensation.

42.11 In order to receive payment, the Contractor shall have a current I.R.S. W9 Form on file with WACOG, unless not required by law.

43.0 Payment Recoupment 43.1 The Contractor shall reimburse WACOG upon demand or WACOG may deduct from future

payments the following:

43.1.1 Any amounts received by the Contractor from WACOG for contract services which have been inaccurately reported or are found to be unsubstantiated;

43.1.2 Any amounts paid by the Contractor to a subcontractor not authorized in writing by WACOG;

43.1.3 Any amount or benefit paid directly or indirectly to an individual or organization not in accordance with the “Substantial Interest Disclosure” section of these Terms and Conditions;

43.1.4 Any amounts paid by WACOG for services which duplicate services covered or reimbursed by other specific grants, Contracts, or payments;

43.1.5 Any amounts expended for items or purposes determined unallowable by WACOG when this Contract provides for the reimbursement of costs, see the “Unallowable Costs” section of this Contract;

43.1.6 Any amounts paid by WACOG for which the Contractor’s books, records, and other documents are not sufficient to clearly substantiate that those amounts were used by the Contractor to perform contract services;

43.1.7 Any amounts received by the Contractor from WACOG which are identified as a financial audit exception;

43.1.8 Any amounts paid or reimbursed in excess of the Contract or service reimbursement ceiling

43.1.9 Any amounts paid to the Contractor which are subsequently determined to be defective pursuant to the “Certification of Cost or Pricing Data” section of these Terms and Conditions.

43.1.10 Any payments made for services rendered after the Contract termination date.

44.0 Personnel 44.1 The Contractor's personnel shall satisfy all qualifications, carry out all duties, and work the

hours as set forth in this Contract.

45.0 Predecessor and Successor Contracts 45.1 The execution or termination of this Contract shall not be considered a waiver by WACOG of

any rights it may have for damages suffered through a breach of this or a prior Contract with the Contractor.

46.0 Professional Standards 46.1 The Contractor shall deliver contract services in a humane and respectful manner and in

accordance with any and all applicable professional accreditation standards. Levels of staff qualifications, professionalism, and numbers of staff and individuals identified by name must be

maintained as presented in the Contract.

47.0 Reserve

48.0 Records48.1 Under A.R.S. § 35-214 and § 35-215 as may be amended, the Contractor shall retain and shall

contractually require each subcontractor to retain all data and other “records” relating to the acquisition and performance of the Contract for a period of five years after the completion of the Contract. All records shall be subject to inspection and audit by WACOG and the State at reasonable times. Upon request, the Contractor shall produce a legible copy of any or all such records.

48.2 Contract service records will be maintained in accordance with this Contract. Records shall, as applicable, meet the following standards:

48.2.1 Adequately identify the service provided and each service recipient's application for contract and subcontract activities;

48.2.2 Include personnel records which contain applications for employment, job titles and descriptions, hire and termination dates, a copy of the fingerprint clearance card, wage rates, and effective dates of personnel actions affecting any of these items;

48.2.3 Include time and attendance records for individual employees to support all salaries and wages paid;

48.2.4 Include records of the source of all receipts and the deposit of all funds received by the Contractor;

48.2.5 Include original copies of invoices, statements, sales tickets, billings for services, deposit slips, etc., and a cash disbursement journal and cancelled checks to reflect all disbursements applicable to the Contract;

48.2.6 Include a complete general ledger with accounts for the collection of all costs and/or fees applicable to the Contract; and,

48.2.7 Include copies of lease/rental agreements, mortgages and/or any other agreements that in any way may affect contract expenditures.

48.3 Any such records not maintained shall mandate an audit exception in the amount of the inadequately documented expenditures.

48.4 Contractor shall preserve and make available all records for a period of five (5) years from the date of final payment under this Contract except as may be provided in section 50.0 of these Terms and Conditions or if subject to Health Insurance Portability & Accountability Act which is six (6) years from the date of final payment:

48.4.1 If this Contract is completely or partially terminated, the records relating to the work terminated shall be preserved and made available for a period of five years from the date of any such termination.

48.4.2 Records which related to disputes, litigation or the settlement of claims arising out of the performance of this Contract, or costs and expenses of this Contract to which exception has been taken by WACOG or the state, shall be retained by the Contractor until such disputes, litigations, claims or exceptions have been disposed of.

49.0 Relationship of Parties 49.1 The Contractor under this Contract is an independent Contractor. Neither party to this

Contract shall be deemed to be the employee or agent of the other party to the Contract.

49.2 In the event that the Contractor or its personnel is sued or prosecuted for conduct arising from this Contract, the Contractor or their personnel will not be represented by WACOG.

49.3 Taxes or Social Security payments will not be withheld from a WACOG payment issued hereunder and the Contractor shall make arrangements to directly pay such expenses, if any.

50.0 Reporting Requirements

50.1 See section 8.0 Reporting Requirements in the Scope of Work.

50.2 Contractor shall submit programmatic and financial reports to WACOG no later than the 12th day following the end of each month or the end of each other applicable reporting period during the term of the Contract, unless otherwise provided in this Contract. Contractor shall submit final program and fiscal reports no later than the 30th day following termination of the Contract. The final fiscal report for the contract term shall include all adjustments to prior financial reports submitted for the contract term. Failure to submit the final program and fiscal report within the above time period may result, at the option of WACOG, in forfeiture of final payment.

50.3 All reports shall reference the contract number and be submitted to the person designated by WACOG.

51.0 Responsibility for Payments Indemnification 51.1 The Contractor shall be responsible for issuing payment for services performed by the

Contractor’s employees, subcontractors, suppliers, or any other third party incurred in the furtherance of the performance or the arising out of the Contract and will indemnify and save WACOG harmless for all claims whatsoever out of the lawful demands of such parties. The Contractor shall, at WACOG’s request, furnish satisfactory evidence that all obligations of the nature hereinabove designated have been paid, discharged or waived.

52.0 Right of Offset 52.1 WACOG shall be entitled to offset against any sums due the Contractor, any expenses or costs

incurred by WACOG, or damages assessed by WACOG concerning the Contractor’s non-conforming performance or failure to perform the Contract, including expenses, costs and damages.

53.0 Severability53.1 The provisions of this Contract are severable. Any term or condition deemed illegal or invalid

shall not affect any other term or condition of the Contract.

54.0 State's Contractual Remedies 54.1 Right to Assurance . If WACOG in good faith has reason to believe that the Contractor does not

intend to, or is unable to perform or continue performing under this Contract, the Human Services and Aging Director may demand in writing that the Contractor give a written assurance of intent to perform. Failure by the Contractor to provide written assurance within the number of Days specified in the demand may, at the State’s option, be the basis for terminating the Contract under the Terms and Conditions or other rights and remedies available by law or provided by the Contract.

54.2 Stop Work Order. WACOG may, at any time, by written order to the Contractor, require the Contractor to stop all or any part, of the work called for by this Contract for period(s) of days indicated by WACOG after the order is delivered to the Contractor. The order shall be specifically identified as a stop work order issued under this clause. Upon receipt of the order, the Contractor shall immediately comply with its terms and take all reasonable steps to minimize the incurrence of costs allocable to the work covered by the order during the period of work stoppage.

54.2.1 If a stop work order issued under this clause is canceled or the period of the order or any extension expires, the Contractor shall resume work. The Human Services and Aging Director shall make an equitable adjustment in the delivery schedule or contract price, or both, and the Contract shall be amended in writing accordingly.

54.3 Non-exclusive Remedies . The rights and the remedies of WACOG under this Contract are not exclusive.

54.4 Nonconforming Tender . Materials or services supplied under this Contract shall fully comply with the Contract. The delivery of materials or services or a portion of the materials or services that do not fully comply constitutes a breach of contract. On delivery of nonconforming materials or services, WACOG may terminate the Contract for default under applicable termination clauses in the Contract, exercise any of its rights and remedies under the Uniform Commercial Code, or pursue any other right or remedy available to it.

55.0 Subcontracts 55.1 The Contractor shall not enter into any Subcontract under this Contract for the performance of

this Contract without the advance written approval of WACOG. The Contractor shall clearly list any proposed subcontractors and the subcontractor’s proposed responsibilities. The Subcontract shall incorporate by reference the terms and conditions of this Contract.

55.2 Prior to adding a subcontractor to the Contract, the Contractor shall submit a formal, written request to the Human Services and Aging Director. The request shall:

55.2.1 Be on the Contractors company letterhead;

55.2.2 Be signed by an authorized representative of the Contractor; and

55.2.3 Contain the following information:1. The subcontractor’s name, address, phone number, e-mail and primary point of contact;2. The certifications required of the subcontractor (if any);3. The subcontractor’s small business status (if applicable);4. The type of goods and/or services to be provided by the subcontractor;5. The amount of time or effort (as a percent of total contract performance) that the

subcontractor will perform in relation to total performance of the contract’s requirements; and

6. A description of the quality assurance measures that the Contractor shall use to monitor the subcontractor’s performance.

55.2.4 WACOG reserves the right to request additional information deemed necessary about any proposed subcontractor.

55.3 The Contractor shall provide copies of each contract with a subcontractor relating to the provision of contract services to WACOG upon five (5) calendar days of the request.

56.0 Substantial Interest Disclosure 56.1 Contractor shall not make any payments, either directly or indirectly, to any person,

partnership, corporation, trust, or any other organization which has a substantial interest in Contractor's organization or with which Contractor (or one of its directors, officers, owners, trust certificate holders or a relative thereof) has a substantial interest, unless Contractor has made a full written disclosure of the proposed payments, including amounts, to WACOG.

56.2 Leases or rental agreements or purchase of real property which would be covered by Section 55.1 shall be in writing and accompanied by an independent commercial appraisal of fair market rental, lease, or purchase value, as appropriate.

56.3 For the purpose of this Section, "relative" shall have the same meaning as in A.R.S. §38-502 as may be amended.

57.0 Supporting Documents and Information 57.1 In addition to any documents, reports or information required by any other section of this

Contract, Contractor shall furnish WACOG with any further documents and information deemed necessary by WACOG. Upon receipt of a request for information from WACOG, the Contractor shall provide complete and accurate information no later than fifteen (15) days after the receipt

of the request.

58.0 Suspension or Debarment 58.1 The Contractor shall submit the Certification Regarding Debarment, Suspension and Voluntary

Exclusion Lower Tier Covered Transactions form, Attachment E.

59.0 Technical Assistance 59.1 WACOG will provide technical assistance to the Contractor in the administration of contract

services, or relating to the terms and conditions, policies and procedures governing this Contract. Notwithstanding the foregoing, the Contractor shall not be relieved of full responsibility and accountability for the provision of contract services in accordance with the terms and conditions set forth herein.

60.1 Termination 60.2 This agreement may be terminated by mutual agreement of the parties at any time during the

term of this agreement.

60.3 Cancellation for Conflict of Interest . Pursuant to A.R.S. § 38-511 as may be amended, WACOG may cancel this Contract within one (1) year after contract execution without penalty or further obligation if any person significantly involved in initiating, negotiating, securing, drafting or creating the Contract on behalf of the State is or becomes at any time while the Contract or an extension of the Contract is in effect an employee of or a consultant to any other party to this Contract with respect to the subject matter of the Contract. The cancellation shall be effective when the Contractor receives written notice of the cancellation unless the notice specifies a later time. If the Contractor is a political subdivision of the State, it may also cancel this Contract as provided in A.R.S. § 38-511 as may be amended.

60.4 Gratuities . WACOG may, by written notice, terminate this Contract, in whole or in part, if WACOG determines that employment or a Gratuity was offered or made by the Contractor or a representative of the Contractor to any officer or employee of WACOG for the purpose of influencing the outcome of the procurement or securing the Contract, an amendment to the Contract, or favorable treatment concerning the Contract, including the making of any determination or decision about contract performance. WACOG, in addition to any other rights or remedies, shall be entitled to recover exemplary damages in the amount of three times the value of the Gratuity offered by the Contractor.

60.5 Suspension or Debarment . WACOG may, by written notice to the Contractor, immediately terminate this Contract if WACOG determines that the Contractor has been debarred, suspended or otherwise lawfully prohibited from participating in any public procurement activity, including but not limited to, being disapproved as a subcontractor of any public procurement unit or other governmental body. Submittal of an offer or execution of a contract shall attest that the Contractor is not currently suspended or debarred. If the Contractor becomes suspended or debarred, the Contractor shall immediately notify WACOG.

60.6 Termination for Convenience . WACOG reserves the right to terminate the Contract, in whole or in part at any time, when in the best interests of WACOG without penalty or recourse. Upon receipt of the written notice, the Contractor shall stop all work, as directed in the notice, notify all subcontractors of the effective date of the termination and minimize all further costs to WACOG. In the event of termination under this paragraph, all documents, data and reports prepared by the Contractor under the Contract shall become the property of and be delivered to WACOG upon demand. The Contractor shall be entitled to receive just and equitable compensation for work in progress, work completed and materials accepted before the effective date of the termination. The cost principles and procedures provided in A.A.C. R2-7-701 shall apply.

60.7 Termination for Default .60.7.1 In addition to the rights reserved in the Contract, WACOG may terminate the Contract in

whole or in part due to the failure of the Contractor to comply with any term or condition of the Contract, to acquire and maintain all required insurance policies, bonds, licenses and permits, or to make satisfactory progress in performing the Contract. The Human Services and Aging Director shall provide written notice of the termination and the reasons for it to the

Contractor.

60.7.2 Upon termination under this paragraph, all goods, materials, documents, data and reports prepared by the Contractor under the Contract shall become the property of and be delivered to WACOG on demand.

60.7.3 WACOG may, upon termination of this Contract, procure, on terms and in the manner that it deems appropriate, materials or services to replace those under this Contract. The Contractor shall be liable to WACOG for any excess costs incurred by WACOG in procuring materials or services in substitution for those due from the Contractor.

60.7.4 WACOG may immediately terminate this Contract if WACOG determines that the health or welfare or safety of service recipients is endangered.

60.8 Continuation of Performance Through Termination . The Contractor shall continue to perform, in accordance with the requirements of the Contract, up to the date of termination, as directed in the termination notice.

60.9 Termination for Any Reason . In the event the Contract is terminated, with or without cause, or expires, the Contractor, whenever determined appropriate by WACOG, shall assist WACOG in the transition of services or eligible persons to other Contractors. Such assistance and coordination shall include, but not be limited to, the forwarding of program and other records as may be necessary to assure the smoothest possible transition and continuity of services. The cost of reproducing and forwarding such records and other materials shall be borne by the Contractor. The Contractor must make provisions for continuing all management/administrative services until the transition of services or eligible persons is complete and all other requirements of this Contract are satisfied.

60.10 In the event of termination or suspension of the Contract by WACOG, such termination or suspension shall not affect the obligation of the Contractor to indemnify WACOG for any claim by any other party against WACOG arising from the Contractor's performance of this Contract and for which the Contractor would otherwise be liable under this Contract. To the extent such indemnification is excluded by A.R.S. §41-621 et seq.as may be amended or an obligation is unauthorized under A.R.S. §35-154 as may be amended, the provisions of this paragraph shall not apply.

60.11 In the event of early termination for any reason, any funds advanced to the Contractor shall be returned to WACOG within ten (10) days after the date of termination or upon receipt of notice of termination of the Contract, whichever is earlier.

61.0 Third-Party Antitrust Violations 61.1 The Contractor assigns to WACOG any claim for overcharges resulting from antitrust violations to

the extent that those violations concern materials or services supplied by third parties to the Contractor, toward fulfillment of this Contract.

62.0. Transfer of Knowledge 62.1 The Contractor shall, whenever feasible, share strategies and techniques with WACOG staff to

transfer the skills and knowledge acquired in the delivery of the contracted service.

63.0 Transition of Activities 63.1 In the event that a Contract is awarded to a new Contractor for services similar to those being

performed by Contractor under this Contract, there shall be a transition of services period. During this period, the Contractor under this Contract shall work closely with the new Contractor’s personnel and/or WACOG staff to ensure a smooth and complete transfer of duties and responsibilities. WACOG’s authorized representative will coordinate all transition activities. A transition plan will be developed in conjunction with the existing Contractor to assist the new Contractor and/or WACOG staff to implement the transfer of duties. WACOG reserves the right to determine which projects/service delivery nearing completion will remain with the current Contractor of record.

64.0 Unallowable Costs 64.1 The cost principles set forth in the Code of Federal Regulations, 48 CFR, Chapter 1, Subchapter

e, Part 31, (October 1, 1991), including later amendments and editions, on file with the Arizona Secretary of State and incorporated by this reference, shall be used to determine the allow ability of incurred costs for the purpose of reimbursing costs under contract provisions that provide for the reimbursement of costs. Those costs which are specifically defined as unallowable therein will not be submitted for reimbursement by the Contractor and may not be reimbursed with WACOG funds.

64.2 In addition, the Contractor shall comply with the following publications (including subsequent revisions), as applicable:

64.2.1 OMB Circular A-87 for State, local and Indian Tribal Governments.

64.2.2 OMB Circular A-122 for private non-profit organizations other than institutions of higher education, hospitals or others specified in A-122.

64.2.3 OMB Circular A-21 for educational institutions.

64.2.4 OMB Circular A-133 for audits of institutions of higher education and other non-profit institutions.

65.0 Visitation, Inspection and Copying 65.1 Contractor's and/or subcontractor's facilities, services and individuals served, books and records

pertaining to the Contract shall be available for visitation, inspection and copying by WACOG and any other appropriate agent of the State or Federal Government. At the discretion of WACOG, visitation, inspection and copying may be at any time during regular business hours, announced or unannounced. If WACOG deems it to be an emergency situation, it may at any time visit and inspect the Contractor's or subcontractor's facilities, services and individuals served, as well as inspect and copy their contract- related books and records.

65.2 Facilities Inspection and Materials Testing: The Contractor agrees to permit access to its facilities, subcontractor facilities and the Contractor’s processes or services, at reasonable times for inspection of the facilities or materials covered under this Contract. WACOG shall also have the right to test, at its own cost, the materials to be supplied under this Contract. Neither inspection of the Contractor’s facilities nor materials testing shall constitute final acceptance of the materials or services. If WACOG determines non- compliance of the materials, the Contractor shall be responsible for the payment of all costs incurred by WACOG for testing and inspection.

66.0 Warranties66.1 The Contractor warrants that all services provided under this Contract shall conform to the requirements stated herein and any amendments hereto. WACOG’s acceptance of services provided by the Contractor shall not relieve the Contractor from its obligations under this warranty. In addition to its other remedies, the Human Services and Aging Director may, at the Contractor’s expense, require prompt correction of any services failing to meet the Contractor’s warranty herein. Services corrected by the Contractor shall be subject to all of the provisions of this Contract in the manner and to the same extent as the services originally furnished.

66.2 Liens: The Contractor warrants that the materials supplied under this Contract are free of liens and shall remain free of liens.

66.3 Quality: Unless otherwise modified elsewhere in these terms and conditions, the Contractor warrants that, for one year after acceptance by WACOG of the materials, they shall be:1. Of a quality to pass without objection in the trade under the Contract description;2. Fit for the intended purposes for which the materials are used;3. Within the variations permitted by the Contract and are of even kind, quantity, and quality

within each unit and among all units;4. Adequately contained, packaged and marked as the Contract may require; and5. Conform to the written promises or affirmations of fact made by the Contractor.

66.4 Fitness: The Contractor warrants that any material supplied to WACOG shall fully conform to all requirements of the Contract and all representations of the Contractor, and shall be fit for all purposes and uses required by the Contract.

66.5 Inspection/Testing: The warranties set forth in subparagraphs 66.2 through 66.4 of this paragraph are not affected by inspection or testing of or payment for the materials by WACOG.

66.6 Compliance With Applicable Laws: The materials and services supplied under this Contract shall comply with all applicable Federal, state and local laws, and the Contractor shall maintain all applicable license and permit requirements.

66.7 Survival of Rights and Obligations after Contract Expiration or Termination: 66.7.1 Contractor's Representations and Warranties: All representations and warranties made by the

Contractor under this Contract shall survive the expiration or termination hereof. In addition, the parties hereto acknowledge that pursuant to A.R.S. § 12-510, except as provided in A.R.S. § 12-529, WACOG is not subject to or barred by any limitations of actions prescribed in A.R.S., Title 12, Chapter 5.

66.7.2 Purchase Orders : The Contractor shall, in accordance with all terms and conditions of the Contract, fully perform and shall be obligated to comply with all purchase orders received by the Contractor prior to the expiration or termination hereof, unless otherwise directed in writing by the Human Services and Aging Director, including, without limitation, all purchase orders received prior to but not fully performed and satisfied at the expiration or termination of this Contract.

66.8 Risk of Loss: The Contractor shall bear all loss of conforming material covered under this Contract until received by authorized personnel at the location designated in the purchase order or Contract. Mere receipt does not constitute final acceptance. The risk of loss for nonconforming materials shall remain with the Contractor regardless of receipt.

67.0 Limited English Proficiency 67.1 The Contractor shall ensure that all services provided are culturally relevant and linguistically appropriate to the population to be served following the ADES Policy, Limited English Proficiency, DES 1-01-34(Exhibit 1).

68.0 Contract Documents 68.1 The following constitute an integral part of the Contract:68.1.1 Terms and Conditions68.1.2 Scope of Work68.1.3 Attachments68.1.4 Exhibits

Attachment E

Certification Regarding:Debarment, Suspension, Ineligibility and Voluntary Exclusion

Lower Tier Covered Transactions

This certification is required by the regulations implementing Executive Order 12549-Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participant's responsibilities. The regulations were published as Part VII of the May 26, 1988 Federal Register (pages 19160-19211). (BEFORE COMPLETING CERTIFICATION, READ ATIACHED INSTRUCTIONS WHICH ARE AN INTEGRAL PART OF THE CERTIFICATION)

(1) The prospective recipient of federal assistance funds certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by a federal department or agency.

(2) Where the prospective recipient of federal assistance Funds is unable to certify any of the

statements in this certification, such prospective participant shall attach an explanation to this proposal.

Name of Agency/Organization

Name and Title of Authorized Representative

Signature Date

INSTRUCTIONS FOR CERTIFICATION 1. By signing and submitting this proposal, the prospective primary participant is providing the

certification set out below.

2. The inability of a person to provide the certification required below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency’s determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such person from participation in this transaction.

3. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If is is later determined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default.

4. The prospective primary participant shall provide immediate written notice to the department or agency to which this proposal is submitted if at any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

5. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of the rules implementing Executive Order12549. You may contact the department or agency to which this proposal is submitted for assistance in obtaining a copy of those regulations.

6. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction.

7. The prospective primary participant further agrees by submitting this proposal that it will include the clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered transactions,” provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.

8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the ineligibility of its principals. Each participant may, but is not required to, check the No procurement List.

9. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is

suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default.

http://www.sba.gov/sites/default/files/osg_applicationforms_sba1623.pdf

FEDERAL COST PRINCIPLES

For each kind of organization, there is a set of Federal Principles for Determining Allowable Costs. The following chart lists kind of organizations and the applicable cost principles:

FOR THE COST OFA:

USE THE PRINCIPLESIN:

State, local or Indian tribal Government

OMB Circular A-87

Private non-profit organization other than an (1) institution of

higher education, (2) hospital, (3) organization made in OMB

Circular A-122 as not subject to that circular

OMB Circular A-122

Educational institutions OMB Circular A-21

For profit institutions other than a hospital and an organization

named in OMB Circular A-122 as not subject to that Circular.

48 CFR Part 31. Contract Cost Principles and Procedures or,

uniform costs accounting standards that comply with cost

principles acceptable to the Federal agency

Exhibit 1

ARIZONA DEPARTMENT OFECONOMIC SECURITY

DES 1-01-34Limited English Proficiency (LEP)

I. POLICY STATEMENT

The policy of the Department of Economic Security (the Department) is to provide quali1y and timely language assistance services to customers with-Limited English Proficiency (LEP) to ensure meaningful access to programs, services, and activities. Each affected work unit of the Department shall:

• Develop and adhere to specific written procedures;

• Perform a needs and capacity assessment;

• Arrange for oral language assistance, as appropriate;

• Determine which of the Department documents meet the definition of a vital document;

• Translate vital documents into languages other than English;

• Provide notification to customers of the availability of language assistance services;

·• Evaluate current Department Web sites for LEP compliance;

• Develop and implement standards to ensure LEP compliance on all future Web pages;

• Train all staff who are likely to have contact with Department customers and the management staff who support them;

• Develop and incorporate an accessible issue resolution process; and

• Monitor customer access to language assistance.

IL AUTHORITY

This LEP policy, in its entirely, applies to all Department entities and contractors who provide direct Department services to Department customers. The Department and all work units who provide services, information, or assistance to Department customers shall be responsible for development of procedures to ensure compliance with the Department LEP policy. Areas 1hat do not provide services, information, or assistance to Department customers are not responsible for developing procedures but, at a minimumshall designate an LEP contact to ensure compliance.

The DES Director' s Office of Equal Opportunity (DOEO) and the DES Policy and Planning Administration's (PPA) Policy Unit are responsible for review and approval of work unit LEP procedures. This review will be limited to ensuring the work unit LEP procedure is consistent and in compliance with the Department LEP policy.

POLICY NUMBER

DES l-01-34Page I

CHAPTER

01 Department of Economic Securi1yARTICLE

01 DirectorSUBJECT

34 Limited English Proficiency (LEP)EFFECTIVE DATE

August 8, 2014I REVISION

2

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Ill. PROCEDURES

This policy is supported by a departmental procedure which identifies how action related to this policy will be conducted, including responsibilities, time frames, and required actions. To view this procedure, access the link below.

DES 1 -0 1 -34-01 Limited English Proficiency Procedures

In addition, specific Division procedures can be found at this intranet Web page: http:/fmtranetazdes.gov/main_aspx?menu=84&id=l455 8.

IV. AUTHORITY

Title VI of the Civil Rights Act of1964, 42 U.S.C. 2000d et seq.Arizona Constitution, Article 28

Section 601 of Title VI of the Civil Rights Act of1964, 42 U.S.C. Section 2000d et seq. states, "No person in the United States shall on the ground of race, color or national origin, be excluded from participation in, be denied the benefits of; or be subjected to discrimination under any program or activity receiving Federal financial assistance."

Regulations implementing Title VI provide in part at 45 C.F.R Section 80.3 (b):

(1) "A recipient [the Department is a 'recipient' under this Jaw] under any program to which this part applies [generally any program that receives federal funds] may not, directly or through contractual or other arrangements, on ground of race, or color, or national origin:

(i) Deny an individual any service, financial aid, or other benefit provided under the program;

(ii) Provide any service, financial aid, or other benefit to an individual which is different, or isprovided in a different manner, from that provided to others in the program;

(2) A recipient, in determining the types of services, financial aid, or other benefits, or facilities which will be provided under any such program or the class of individuals to whom, or the situations in which such services, financial aid or other benefits, or facilities will be provided ... may not directly, or through Contractual or other arrangements, utilize criteria or methods of administrations which have the effect of subjecting individuals to discrimination, because of their race, color or 7111tional origin, or have the effect of defeating or substantially impairing accomplishments of the objectivesof the program with respect to individuals of a particular race, color, or national origin."(emphasisadded)

V. DEFINITIONS

Customer: Any applicant, claimant, or recipient of Department services, including LEP customers.

Executive L eader. The Director, Deputy Director, Assistant Director, or their designee, with au1hority over a programmatic or administrative work unit

Inte r pret Providing a verbal translation between two or more persons in a language other than English. This may be done by on-site trained Department staff; contractors, or through commercially available resources, including but not limited to telephonic interpretation services.

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Language Used S ignificantly: A language, other than English, that is used by five percent or 1,000 persons (whichever is smaller) who are eligible for a Department service or are likely to be directly affected by a Department program or activity ina specific geographic area.

Limited English Proficiency {LEP\ C ontact The person within a work unit who is responsible for ensuring their program or administrative work unit is LEP compliant.

Limited English Proficient (LEP\ C ustomer: Any prospective, potential, or actual recipient of benefits or services from the Department who cannot speak, read, write, or understand the English language at a level that permits effective interaction with the Department. This includes LEP parents or guardians of minor children who are customers or LEP customers.

"Non-Vital D ocuments: Documents that are not critical to access Department benefits and services.

Translate: Providing a written document in a language other than English.

Vital Document A document that conveys information that affects the ability of the customer to make decisions about his or her participation in the program. The decision of whether a document is vital may depend upon the importance of the program information, encounter, or service involved, and the consequence to the LEP person if the information is not provided accurately or in a timely manner.

Work U nit: A program or administrative area within the Department. Work unit includes all Department work units as well as its contractors that provide direct service to Department customers.

VI. STANDARDS

. ·- "A.. Overview

Title VI of the Civil Rights Act of 1964, as amended, requires that agencies take reasonable steps to ensure meaningful access to their programs and activities for persons with limited English proficiency. For the purposes of this Policy, individuals with LEP are defined as individuals whodo not speak English as their primary language and who have a limited ability to read, write, speak,or understand English.

The Departments LEP policy ensures that 1he Department and all Department services, regardless of funding source, comply with the requirements of Title VI of 1he Civil Rights Act of 1964 by setting out standards for its work units to follow. Title VI of the Civil Rights Act of 1964 prohibits discrimination based on race, color, or national origin by any entity receiving federal. financial assistance. The Department prohibits administrative methods or procedures that have the effect of subjecting individuals to discrimination or defeating the objectives of these regulations.

In order to avoid discrimination on the grounds of national origin, all programs or activities administered by the Department shall rake adequate steps to ensure that their procedures do not deny, or have the effect of denying, individuals with LEP equal access to benefits and services for which such persons qualify. This Policy defines Departmental responsibilities to ensure that-individuals with LEP can communicate effectively.

I

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B. General Statementi

All Department staff shall provide services to Department customers in a manner that ensures thecustomer has meaningful access to their programs and activities for all persons, including those persons who have limited English proficiency.

C. Compliance and Enforcement

It is the responsibility of each Executive Leader overseeing a Department work unit, program, or administrative area to ensure that activities within the Executive Leader's work unit are conducted consistent with both the Department LEP policy and the specific work unit LEP procedures.

D. Work Unit Procedures

Each work unit identified as warranting language assistance services shall develop specific written procedures related to language assistance services applicable to its program activities. These procedures must be consistent with the standards listed in1heDepartment LEP policy. Written procedures shall address 1hefollowing areas:

'

1. Provision of language services generally; I2. Identification and assessment of language needs; i

3. Oral language assistance services;

4. -·· · Written translations;

5. Oral and written notification of the availability of language services;

6. Issue resolution rights;

7. Staff training on language service provision; and

8. Monitoring access to language assistance.

E. Needs And Capacity Assessment

The Department shall employ a four-step process to determine the need and capacity for LEP services. Specifically, each work unit shall determine and indicate in writing if it has direct contact with Department customers. If a work unit determines that it does, then:

1. Each work unit shall identify the steps in their service delivery process and identify the anticipated number of customer interactions that occur at each of these steps. These steps could include points of contact with Department staff where customers get information or staff take an action that affects a customer's ability to meaningfully participate in a Department program or activity. These points of contact include Department offices, telephone numbers regularly used by the public, outreach activities, informational and operational Web sites, and written notices. These contacts may be face-to-face, telephonic, written, or electronic.

I

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2. The Department shall identify the languages used by the populations it serves. Both the Department and each work unit shall use this information to determine the incidences in which the Department and work unit expect to interact with customers in various languages other than English. The Department shall use the most recent census data to determine overall language trends in Arizona Other demographic data sources include information from other state agencies, commercial marketing data, school systems, community organizations, national ethnic organizations, the Internet, and internally gathered Department data. These trends will be used to determine the LEP population's alternative language needs. The Department will update this information with the issuance of new census data.

3. Each work unit shall annually assess the language assistance needs of its LEP customers and the capacity of its programs to meet these needs. Work unit procedures shall include the methods used to conduct this assessment, including areas where it intends to use departmentally produced data, and the frequency with which it will complete theassessment ; .

4. Each work unit shall implement a process for gathering and recording LEP customer language preferences:

a. The work unit procedures shall include sufficient detail to identify how the work unit gathers language preference information, where it stores the information, and how it will make the information readily available for future contact with LEP customers and for statistics-gathering purposes.

b. Each work unit procedure shall include the use of an LEP language binder containing language preference materials in each local office. These LEP language binders are designed to provide an opportunity for LEP persons to self-declare their language preference during local office contacts. The Department shall prominently display the LE!' language binders in all its offices in which customer interaction is anticipated. These binders are developed, transmitted, and maintained as a departmental function.

F. Oral Language .Assistance

I. Each componen4 program, or administrative work unit of the Department shall arrange for oral language assistance to LEP customers in face- to-face and telephone contact: Work unit procedures shall identify the processes for providing oral language assistance and the method for obtaining these services. The oral language assistance portion of the work unit procedures for identifying individuals with LEP shall be consistent with those outlined in this policy. LEP services shall be provided free of charge upon the request of the customer. Work units may identify approaches specific to their work unit, but allprocedures shall include the minimum Department standard of ensuring that the provision of bilingual/interpretive services is prompt and without undue delays. Necessary time frames may vary based upon the nature and importance of the service. For example, time framesfor emergency services may be different from those time frames for non-emergency services. In most circumstances, this requires language services to be available within reasonable time frames during all operating hours by:

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a. Establishing interpreter service contracts. The Department maintains contracts with multiple vendors to provide verbal interpretation. The Office of Procurement shall provide direction to all work units on how to access and use contracts for interpreter services. Work units shall, in their procedures, identify how they shall request and coordinate these services. In addition, services through commercially available telephonic interpretation services shall be available when needed.

b. Implementing a means to compensate bilingual staff. Subject to the availability of funds, the Department shall have a bilingual stipend program in place that compensates bilingual staff who meet req1rired standards for performing verbal interpretation services. Work unit procedures shall identify the offices in which a need for bilingual staff has been established and which languages are needed.

c. Orally translating vital documents into languages other than English for LEP customers.

2. Location and Accessibility of LEP Services: Work units shall ensure that their procedures include provisions that respond to the language needs of the populations in each area in which the work unit provides services. Each work unit shall determine the most efficient and effective means to meet these needs. Accommodations such as translations of commonly requested documents, bilingual staff, and telephone interpreter services should be made available at locations that are readily accessible to the public, such as information desks, security checkpoints, and public information telephone lines.

3. Use of Bilingual Staff: The Department will make reasonable efforts to recruit and have bilingual. staff employed in programs and activities where the number or percentage of LEP customers or potential LEP customers is statistically significant, or where the frequency of contact with such persons makes the employment of bilingual staff a more cost effective, efficient, and effective mode for communication:

a. Each work unit shall make a decision to employ bilingual staff after a needs assessment, with due consideration given to the budgetary, personnel, and other constraints of the work unit ·

b. Bilingual staff or contractors must be assessed for bilingual proficiency. Work units should ensure that individuals providing interpretative services possess a level of fluency and comprehension appropriate to the specific nature, type, and purpose of information at issue.

4. Unacceptable Practices: Work units should only use family members or friends to interpret for LEP customers if the LEP customer insists on using the friend or family member after Department-provided language services have been offered. Minor children should never be used to interpret, except in emergencies. If additional services are required, any information obtained utilizing a minor child as the interpreter shall be verified through an approved interpreter after the emergency situation has closed.

G. Translation of Written Materials

1. Each work unit shall identify its vital documents. Vital documents include, but are not limited to, the following for any service, benefit, program, or administrative work unit provided by or contracted with the Department: "

= :

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a. Applications;

b. Recertification or renewal applications;

c. Documents that require a response;Ij •

d Letters or other written documents that contain information regarding participation !- in a program;

e. Notices of eligibility criteria, authorization or denial, applicant or participant rights, benefit or service changes, hearings, and actions affecting parental custody or child support;

f. Consent and complaint forms;

g. Appeal rights and grievance procedures;

h. Written tests that do not assess English language competency but test competency for a particular license, job, or skill for which knowing English is not required

i. Notices advising LEP persons of free language assistance; and

j. Any other document that the work unit deems vital due to the importance of the program, information, encounter, or service involved and the consequence to the LBP person if the information in question is not provided accurately or in a timely manner.

2. Each work unit shall-translate its vital documents according to the requirements outlined in the DES Translation Requirements document. Documents identified as vital shall be translated into languages used significantly by its LEP customers. The Department maintains two approved processes for having written material, including required posters and signs, translated to languages other than English:

a. The Department Office of Graphics and Design; or

b. A state-approved translation contract.

Using one of these two processes ensures the quality of the translation activity. Department documents for official public use may not be translated using any other method Work unit procedures shall identify which method for translation will be used within the work unit.The work unit procedure shall also include a listing of the documents that meet the definition of a vital document.

3. Each work unit shall respond to written communications from LEP customers in a manner that Is consistent with this policy. Work unit procedures shall address a process to ensure that LEP customer case records are noted as LEP when work unit staff receiveinformation from a customer in a language oilier than English. Work unit staff shall interact with the individual in a manner consistent with the Department LEP policy unless the customer indicates otherwise.

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4. Each work wilt should be sensitive to the literacy levels of the LEP public. There are. situations in which the use of translated written material may not meet the needs of some Department LEP customers. Some languages are historically unwritten or some LEP customers may be illiterate in their native language. Work unit procedures must ensure that staff use the most effective means to communicate with LEP individuals. This may include either verbal or written communication.

H. Institutional Considerations for Translation

I. Each work unit shall ensure that the public is aware of available interpretation and translation assistance. Each work unit shall include on all documents that are not translated into a language other than English a statement in each significantly used language indicating that all persons have the right to free language assistance and how the assistance can be obtained. This notification shall be included on all documents that are routinelydisseminated to the public including electronic text. This language shall be placed near the front of the document in a format that brings attention to it.

2. Each work unit shall ensure that ifs electronic sources for providing vital information are LEP compliant. The Department and each work unit shall ensure that its Web sites and other electronic sources fur vital information or documents provide this information in significantly used languages other than English. Web sites shall prominently display access to non-English versions of this information on any page that may be used as the initial point of contact for LEP individuals. Web sites shall also identify methods to access language assistance free of charge.

3. The Department shall produce and each work unit shall readily make available to ifsCustomers, an LEP Rights pamphlet in English and all other significantly usedlanguages. The pamphlet shall explain that LEP services are available :from the Department free of charge and shall explain procedures :fur accessing these services.

4. Each work unit may trans/ate non-vital documents into languages other than English,except to the extent prohibited by the Arizona Constitution, Article 28,English as theOfficial Language.

L Training

Training shall include a consistent message explaining why it is important for the Department to ensure that LEP customers are served in a manner consistent with this policy. Persons with specific knowledge of Title VI of the Civil Rights Act and the requirements contained therein shall develop this training. Training shall include, but not be limited to:

I. General training. For all staff on the importance of providing services for individuals with LEP.

2. Work unit-specific training. To ensure that work unit staff that deal with or are likely to have contact with Department customers are trained on the LEP policies and procedures. This includes, but is not limited to, specific training for staff who have LEP customer contact to work effectively with in-person and telephone interpreters.

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3. Technical assistance training. For LEP contact staff.

4. Management level training. For supervisors and administrative staff assisting staff with direct customer contact.

J. Providing Notice to LEP Customers of the Availability of Language Assistance Services and Outreach

Work writ procedures shall identify how to inform LBP customers of the availability of free language assistance services. The work unit shall make the notification at the first point of contact. Notification includes signs in intake areas or other customer entry points, outreach documents such as brochures or booklets, LEP posters and pamphlets, and telephone menus in significantly used languages:

l. The work unit shall provide the notification of free language assistance in the language of the LEP customer. LEP persons should also be advised that they may use an interpreter of their own choosing at their own expense.

2. Consistent with its commitment to partnership and outreach, the Department engages in comprehensive outreach to ensure awareness by LEP persons of its programs and activities. Outreach includes the use of ethnic media such as radio, television, newspapers, magazines, Web sites, faith-based organizations, and community-based organizations at local levels that provide social services, healthcare, and classes. Work unit procedures shall acknowledge its commitment to support the Department's outreach efforts in relation to the programs it administers and the services it provides.

3. Work unit procedures shall include provisions to ensure that Web pages accessible to members of the general public include information on the availability of language assistance.

4. The Department shall maintain copies of written documents such as flyers or pamphlets intended to be used to notify the public of language assistance. Pamphlets shall be maintained in locations in which direct service to Department customers is provided and shall be readily available to customers without the need of Department staff intervention.

K. Monitor Access to Language Assistance

J. Each work unit shall Institute procedures to monitor the accessibility and quality of language assistance activities for LEP cust1JI110s. Work unit procedures shall include specific time frames and methods to reassess language assistance activities to ensure that the services provided by the work unit address the actual needs of the LEP customers based on actual experiences of the work unit Work unit procedures shall ensure that such monitoring is completed no Jess than every 12 months. Work unit procedures should include a process for obtaining community and customer feedback in 1his activity through surveys, questionnaires, or other means. Data collection and record keeping are key to an effective monitoring and compliance system. In order to determine the validity of any language assistance. complaints, it may be necessary to analyze and review data that reflect how the work unit provides services to LEP customers. Date collection also allows the work unit to obtain an overview of how their services are provided. The work unit procedure shall include data collection and record keeping requirements to ensure that these assessments are fact-based and reflect actual current activity. The work unit shall assess the effectiveness of its LEP policies based on:

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a Current LEP populations in service areas or population or specific populations encountered;

b. Frequency of encounters with LEP customers;

c. Nature and importance of activities to LEP customers;

d. Availability of resources, including technological advances, additional resources, and the costs imposed;

e. Whether existing assistance is meeting the needs of the LEP customers;

f. Whether staff know and understand the LEP procedures; and

g. Whether identified sources for assistance are still available and viable.

2. Each work unit shall develop and maintain. A data collection system that ensures the availability of data that includes the race and ethnicity of, customers served in its programs the frequency of contact, and the primary language of those persons..Work unit procedures shall require the collection of data on which the work unit has based language needs assessment; the number of LEP customers, by language group, whoreceived language services; names and classifications of staff receiving training and dates of training. Work unit procedures shall include activities that are designed to ensure that the work unit:

a Has up-to-date information on language needs in the communities it serves;

b. Has an adequate number of oral translators to ensure timely compliance with LEP needs;

c. Translates vital written documents into the languages needed by the communities being served;

d. Has adequate supplies of translated materials;

e. Trains those staff required to be trained in LEP activities; and

f. Keeps notification material up-to-date.

Work unit procedures shall also reflect those activities that it must perform in order to comply with overall Department monitoring practices.

L Provision of Technical Assistance

Each work unit shall identify an LEP contact for work unit staff. Work unit procedures shall include a process to ensure that LEP-related questions that arise are addressed in a timely and efficient manner. The LEP contact shall be available to coordinate efforts towards compliance with the Department's LEP policy and the work unit's LEP procedures. Work unit procedures shall, at a minimum, include a process fur direct service staff to elevate LEP questions to their LEP contact.The work unit procedure shall also include time frames for the LEP contact to respond or to elevate the question to the DOEO. The DOEO shall provide technical assistance to the LEP contact or solicit additional assistance from the Director's Office or the Office of the Attorney General.

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M. Issue Resolution

1. Work unit level process: Work units shall create a procedure outlining an LEP issue- resolution process 1hat shall be used to resolve a concern or dispute arising from any action or inaction taken by Department staff in administering programs or providing services. The work unit process shall be 1he Level resolution process.

a. Level I: The Level procedure shall require that Department customers are advised in writing of the appropriate procedure to raise an LEP-related concern. This notification also advises 1he customer of their right to file a complaint at any point in time with the federal agency responsible for 1heprogram for which they are applying.

b. Work units shall ensure 1hat any forms needed to request review of LEP-related decisions are available at any location in which work unit customers may receive services.

c. The work unit shall conduct the Level I procedure in a language that is understandable by the person raising the concern. The work unit shall make appropriate use of interpreter services, contracted provider services, or other resources needed to facilitate the dispute resolution process.

d. The Level process shall include the following:

The manager in charge at the site where an LEP-related concern is filed or his or her designee will review the complaint with the assistance of the work unit LEPcontact Staff shall reduce om] complaints to writing and shall place them in the appropriate case record. At any point in the process, the manager is empowered to resolve 1he complaint using methods and practices outlined in the Department LEP policy and the work unit LEP procedures. It is the intention of the Department and the work unit that most LEP issues will be resolved at this level The Level l resolution process shall be completed no later than three days following the day of receipt of the complaint unless the LEP customer requests a delay in the process. The manager shall ensure that all reasonable measures are pursued to immediately verbally notify the LEP customer of the outcome of the issue resolution. The Department shall provide a written confirmation of the decision within five business days.

2. Department Level Process: The Department process is initiated whenever a LEP customer expresses in writing to the Department that the work unit attempt to resolve the issue at the Level I process has not met their need. This LEP issue escalation process ensures the rights of LEP customers to have concerns resolved in their preferred language. Inherent in this process is the availability of the DOEO to assist either the Department or the LEP customer in resolving a concern. This process conforms to other issue resolution/grievance processes in regard to required time frames, based upon the program(s) from which the LEP customer is seeking service.

a. Level II: If no resolution can be reached at Level I the notification to the LEP customer shall include the right to pursue the grievance, the time frames, and the process to request verbally or in writing an Executive Leader review and decision. The Executive Leader may request assistance from the DOEO with the cooperation of the work unit LEP contact. Level II action shall occur within five working days of receipt of the request for review of the Level l decision from the LEP customer.

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The Executive Leader shall ensure that the LEP customer receives written notice of the outcome of the Level II review and advises the LEP customer of the method and time frame to obtain a Level III review.

b. Level III: In the rare instances where no resolution can be accomplished at the Level II review, the LEP customer may request a final decision from DOEO. If the LEP customer is not satisfied with the DOEO-proposed resolution, the DOEO will again inform the LEP customer of their rights to file with the appropriate federal agency. This process will be completed within five working days of receipt of the request for review of the Level II decision from the LEP customer.

N. Reporting

Work units shall submit no less than annually a report to the DOEO detailing the information required io n Section VI.K. of this policy. Work units shall utilize the departmental monitoring survey instrument, which identifies all mandatory points of review for each work unit. The DOEO shall report the results to the Director and the Department's Policy and Planning Administration (PPA).