Organization
MICHIGAN OFFICE OF SERVICES TO THE AGING
Area Agency on Aging Assessment Guide
General Information
PERIOD COVERED
October 1, 2007 through September 30, 2008Fiscal Year 2008
Name of Area Agency on Aging
Address
City / State
MI / Zip
Telephone
Name of Person Completing Assessment
Title / Date of Assessment
Signature
Area Agency Director’s Name
Area Agency Director’s Signature / Date
Return two copies of completed form by July 18, 2008 to:
Michigan Office of Services to the Aging
Attention Holliace Spencer, Director
Community Services Division
P.O. Box 30676
Lansing, MI 48909-8176
TABLE OF CONTENTS
Page
CERIFICATION OF COMPLIANCE WITH SECTIONS A., B., C., D., AND E. … 1
SECTION A. ORGANIZATION………………………………………………………. 1
I. Area Agency Structure 2
II. Area Agency Contract Management Procedures and Policies 2
III. Area Agency Staffing 3
IV. Area Agency Policy Board 4
V. Area Agency Advisory Council 6
SECTION B. FUNCTION……………………………………………………………… 8
I. Area Agency on Aging Mission 8
II. Area Plan Administration 10
III. Request for Proposal Process 12
IV. Contracting for Service Provision 14
V. Assessment of Subcontractors 16
VI. Advocacy Activities 17
VII. Civil Rights Compliance 18
VIII. Community Focal Point 19
SECTION C. COMPLIANCE 20
SECTION D. SERVICE MONITORING……………………………………………… 21
I. Identification of Services Directly Provided by the
Area Agency under the Approved Plan 21
II. General Requirements 21
III General Requirements for Access Service Programs 23
IV. Specified Requirements for Services Provided Directly………. 24
V. Efforts to Identify or Develop Service Providers……………….. 25
SECTION E. FINANCIAL ASSESSMENT QUESTIONNAIRE……………………. 26
SECTION F. CAREGIVER SUPPORT SERVICES………………………………… 31
I. Support Services for Kinship Caregivers……………………….. 31
II. Availability of NFCSP Categories of Services………………….. 32
III. NFCSP Services Matrix…………………………………………… 33
SECTION G. CURRENT STATUS OF FY 2008 AIP ………………………………. 34
I. Program Development Objectives………………………………. 34
II. Projected Under Expenditures…………………………………… 35
Organization
MICHIGAN OFFICE OF SERVICES TO THE AGING
Area Agency on Aging Assessment Guide
Certification of Compliance
PERIOD COVERED
October 1, 2007 through September 30, 2008Fiscal Year 2008
Beginning with FY 2008, the Office of Services to the Aging is implementing a procedure for conducting a verified compliance assessment during only one of the three fiscal years comprising the multi-year area plan cycle. For the other two fiscal years, the area agency will be required to self-certify compliance with statewide operating standards and the federal requirements addressed within the Area Agency on Aging Assessment Guide.
A verified compliance assessment was conducted for each area agency during FY 2007. For FY 2008 and FY 2009, area agencies will be required to self-certify. The area agency is also required to complete Section F. Caregiver Support Services and Section G. Current Status of AIP for each fiscal year.
By signing below, you are certifying the area agency is operating in compliance with the Operating Standards for Area Agencies on Aging, and federal requirements, as addressed by Sections A., B., C., D., and E. of this assessment guide for FY 2008. If you identify any items of non-compliance, check yes below and specify the items of concern.
Items of Non-Compliance Identified? Yes_____ No_____
If Yes, list items:
[Note: OSA may conduct a comprehensive compliance assessment if circumstances warrant.]
Area Agency Name
Area Agency Director’s Name
Area Agency Director’s Signature / Date
SECTION A. ORGANIZATION
Note: The assessor(s) may skip questions in this section addressing components of AAA structure that have not changed in the past 12 months. In such instances, the assessor(s) must place NC (for no change) on the yes response line.I. AREA AGENCY STRUCTURE
A. Were the agency’s Articles of Incorporation revised during the subject fiscal year? If yes, explain circumstances: / YES / NO
B. If the area agency is a multi-purpose agency, were there any changes to the structure or authority of the single organizational aging unit during the subject fiscal year? If yes, explain circumstances? / YES / NO
C. Did the area agency address data security and continuity of operations during the subject fiscal year? / YES / NO
1. Was confidentiality of passwords and user names maintained by AAA staff? / YES / NO
2. Was access to sensitive client and/or personnel information controlled? / YES / NO
3. Was access to equipment used to transmit sensitive information controlled? / YES / NO
4. Does the AAA have procedures for handling, maintaining, and disposal of both hard copy and digital files containing sensitive information? / YES / NO
5. Did AAA staff receive training on procedures pertaining to sensitive information? / YES / NO
6. Describe the area agency’s contingency plans for maintaining continuity of operations (data systems, agency records, communications, etc.) in emergency situations, such as prolonged loss of electrical power:
II. AREA AGENCY CONTRACT MANAGEMENT PROCEDURES AND POLICIES
A. Does the area agency have written procedures for the following grant management functions: (Assessor’s are to verify the noted items? Additional requirements may be addressed in other sections of this assessment guide):
1. Conduct of public hearings for area plan development and/or amendment. / YES / NO / Date of Last Revision
2. Requesting proposals for purposes of making grant awards. / YES / NO / Date of Last Revision
3. For appeals by applicants denied funding and/or by subcontractors. / YES / NO / Date of Last Revision
4. Contracting with service provider organizations. / YES / NO / Date of Last Revision
5. Fiscal administration. / YES / NO / Date of Last Revision
6. Assessment of subcontractors. / YES / NO / Date of Last Revision
7. For taking corrective action with subcontractors including probation/suspension/termination. / YES / NO / Date of Last Revision
8. For providing technical assistance to service providers and other organizations. / YES / NO / Date of Last Revision
9. For waiving policy requirements not related to law or regulation. / YES / NO / Date of Last Revision
B. Does the area agency maintain contract management polices and procedures in a comprehensive manual? / YES / NO / Date of Last Revision
Describe method(s) by which written policies and procedures are made available to contract agencies:
C. Have all written contract management policies and revisions been adopted by action of the Area agency Policy Board? (Review meeting minutes as necessary.) / YES / NO
D. Were any contract management policies or revisions adopted within the subject fiscal year? If yes, describe or list: / YES / NO
E. Did the area agency provide local units of government an opportunity for review and comment on all contract management policies and revisions, proposed within the subject fiscal year, at least fourteen days prior to adoption? (Fully explain a ‘no’ answer). / YES / NO
F. Is there evidence that the area agency has not followed its contract management policies and procedures? (Fully explain a Yes answer) / YES / NO
III. AREA AGENCY STAFFING
A. Has the Policy Board adopted written personnel policies and procedures which include, at a minimum:
1. Requirements for written annual performance evaluations of all staff. / YES / NO
2. Grievance procedure, as applicable. / YES / NO
3. A section outlining unacceptable political activities. / YES / NO
4. A drug free work place policy. / YES / NO
5. A workplace harassment policy. / YES / NO
6. A meal reimbursement schedule not to exceed standardized state allowances as established by the Department of Management and Budget, Vehicle and Travel Services, and published by the Civil Service Commission. / YES / NO
7. Completion of a formal conflict of interest disclosure statement annually. (Not required for MOACSEP participants) / YES / NO
8. A written code of ethics consistent with the Older Michiganians Act. / YES / NO
9. General conditions of employment. / YES / NO
B. Does the area agency operate under principles of affirmative action and is non-discriminatory in employment practices? / YES / NO
C. Does the area agency give preference in hiring to persons aged 60 or older? If no, explain: / YES / NO
D. Does the area agency employ a full-time director whose performance was evaluated by the Policy Board, or its designee, against written criteria during the subject fiscal year? / YES / NO
E. Does the area agency employ sufficient qualified staff to carry out its responsibilities? If no, identify the area(s) of performance for which a lack of critical skills exists: / YES / NO
F. Does the area agency assure the availability of a registered dietitian, as an employee, contractor, or as a volunteer, to support the nutrition programs operating within the PSA? Name: / YES / NO
G. Has the area agency conducted a criminal background review through the Michigan State Police for all paid and volunteer staff persons? / YES / NO
IV. AREA AGENCY POLICY BOARD
A. Has the Policy Board adopted written bylaws which include the following (inspect current bylaws)?
1. A statement of role and function. / YES / NO
2. Procedures for selection of members and filling vacancies. / YES / NO
3. Election of officers. / YES / NO
4. Terms of membership and office. / YES / NO
5. Frequency of meetings. / YES / NO
6. Voting procedures. / YES / NO
7. Quorum requirements. / YES / NO
8. A mechanism for establishing committees. / YES / NO
9. Number of members. / YES / NO
10. Provision for amendments. Describe any amendments made to the by-laws during the subject fiscal year: / YES / NO
B. Is there evidence that the Policy Board has not operated according to its bylaws during the subject fiscal year? If yes, explain. / YES / NO
C. Did the Policy Board operate in compliance with provisions of the Open Meetings Act (P.A. 267 of 1976) during the subject fiscal year? / YES / NO
1. Were all meetings of the Area Agency Policy Board, Advisory Council and all committees been open to the public during the subject fiscal year? If no, explain. / YES / NO
2. Were all decisions of the Area Agency Policy Board and Advisory Council made at open meetings? If no, explain. / YES / NO
3. Has the area agency established written rules to govern how persons shall be permitted to address the Board and Council during their respective meetings? / YES / NO
4. Do public notices of Board and Advisory Council meetings contain the name, telephone number, and address of the area agency? / YES / NO
5. Were public notices posted at the area agency office for all Board, Council and committee meetings held during the subject fiscal year? / YES / NO
6. Was a public notice of the dates, times and place of regular meetings for the current year posted within 10 days of the first meeting of the year? / YES / NO
7. (a) Were there any changes in the regular meeting schedule during the subject fiscal year?
(b) If yes, was public notice posted within three days of the meeting at which the change was made? / YES
YES / NO
NO
8 Was public notice for any rescheduled meetings posted at least 18 hours before the meeting? / YES / NO
9. Did a two-thirds roll call vote of Board members precede a call for any closed session of a public meeting held by the area agency during the subject fiscal year? / YES / NO
10. Were proposed minutes of each public meeting held by the area agency available for public inspection within eight business days after the meeting? / YES / NO
11. Were approved minutes available for public inspection within five days of the meeting at which they were approved? / YES / NO
12. Do the minutes of public meetings, held by the area agency, show the following information about the meeting:
(a) the date / YES / NO
(b) time / YES / NO
(c) place / YES / NO
(d) members present / YES / NO
(e) members absent / YES / NO
(f) any decisions made / YES / NO
(g) the purpose for closed sessions / YES / NO
(h) all roll call votes taken / YES / NO
D. Did the Policy Board met at least six times in the subject fiscal year? / YES / NO
E. Did the Policy Board oversee administration of the area plan as evidenced by having conducted at least two reviews of progress in implementing the approved AIP (including management, program development and service objectives) during the subject fiscal year? / YES / NO
F. Does the Policy Board determine the allocation of state and federal funds within the PSA? / YES / NO
G. Has the Policy Board entered into contracts and/or awarded grants to implement all services identified in the current AIP, unless granted a waiver for the direct provision of service? / YES / NO
H. Has the Policy Board (or a standing committee reporting to the board) reviewed the findings of all OSA assessments of area agency performance, area agency assessments of subcontractor performance, and audits of the area agency that occurred during the subject fiscal year? Did the policy board chairperson receive copies of all correspondence between the auditor and area agency related to the audit, and attend the exit interview? / YES / NO
I. Has the Policy Board approved all responses to OSA and ensured that all required corrective actions were taken within the subject fiscal year? / YES / NO
J. Has the Policy Board adopted a written code of ethics that covers both board members and area agency staff, consistent with the Older Michiganians Act? / YES / NO
K. Has each Policy Board member completed a formal conflict of interest disclosure statement within the subject fiscal year? / YES / NO
L. Is there evidence that the Policy Board has not operated according to the code of ethics during the subject fiscal year? / YES / NO
M. Did the Policy Board assure that all state and federal funds received from OSA were expended in accordance with federal and state laws and regulations and CSA/OSA rules, policies, procedures and standards? / YES / NO
N. Has the Policy Board reviewed the fiscal status of the area agency at each regular meeting and projec-tions of year-end balances at least three times, during the subject fiscal year, for the following categories:
1. Administration / YES / NO
2. Services / YES / NO
3. Program Development / YES / NO
4. Interest and Program Income / YES / NO
O. Did the Policy Board taken a position on any issues affecting older persons during the subject fiscal year? If yes, list: / YES / NO
P. Did the area agency maintain an errors and omissions insurance policy that covered the actions of the Policy Board, pertaining to area agency operations, during the entire subject fiscal year? / YES / NO
V. AREA AGENCY ADVISORY COUNCIL
A. Does the Advisory Council have bylaws which include the following:1. A statement of role and function. / YES / NO
2. Number of members. / YES / NO
3. Procedure for selection of members and filling vacancies. / YES / NO
4. Terms of membership. / YES / NO
5. Frequency of meetings / YES / NO
B. Were any amendments to the Advisory Council bylaws approved by the Policy Board during the subject fiscal year?
Date of last revision: / YES / NO
C. Is there evidence that the Advisory Council did not operate according to its bylaws during the subject fiscal year? If yes, explain. / YES / NO
D. Did the Advisory Council meet at least six times during the subject fiscal year? / YES / NO
E. Does the Advisory Council operate in compliance with the provisions of the Open Meetings Act (P.A. 267 of 1976?) (Review components of Item C under Policy Board). / YES / NO
F. Does the current Advisory Council membership consist of:
1. At least 50% of older persons. / YES / NO
2. Representatives of older persons. / YES / NO
3. Representatives of health care organizations. / YES / NO
4. Providers of Veterans health care, if appropriate. / YES / NO
5. Representatives of nutrition providers. / YES / NO
6. Representatives of social service providers. / YES / NO
7. Persons with leadership experience in private and voluntary sectors. / YES / NO
8. Local elected officials. / YES / NO
9. General public. / YES / NO
10. Persons in great social and economic need. / YES / NO
11. Minority persons. / YES / NO
G. Is the membership of the Advisory Council generally reflective of the counties or local units of government and distribution of population within the PSA? / YES / NO
H. Is there evidence that the Advisory Council advised the Policy Board on the needs of older persons within the PSA during the subject fiscal year? / YES / NO
I. Did the Advisory Council operate under a policy board approved Code of Ethics consistent with the Older Michiganians Act? / YES / NO
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