Prior to 5/20/87, see Commission on the Aging[20]
Delay: Effective date
(June 24, 1987) of Chapters 1 to 18 delayed 70 days pursuant to Iowa Code
section 17A.4(5) by the
Administrative Rules Review Committee at their June 9, 1987, meeting.
CHAPTER 1
INTRODUCTION, ABBREVIATIONS AND DEFINITIONS
1.1(231) Authority and purpose
1.2(231) Other regulations and order of precedence
CHAPTER 2
DEPARTMENT OF ELDER AFFAIRS
2.3(231) Department established
2.5(231) Organizational units of the department
2.8(231) Affirmative action plans
2.9(231) Department complaint and appeal procedures
CHAPTER 3
COMMISSION OF ELDER AFFAIRS
3.2(231) Purpose of the commission
3.3(21,231) Organization of the commission and proceedings
3.4(231) Commission duties and authority
CHAPTER 4
DEPARTMENT PLANNING
RESPONSIBILITIES
4.5(231) Types of entities that qualify as an AAA
4.8(231) Applicant qualification and preference
4.9(231) Procedure for designation of an AAA
4.10(231) Withdrawal of AAA designation
4.11(231) Procedures for withdrawal of AAA designation
4.12(231) Department action subsequent to withdrawal
4.13(231) Technical assistance
CHAPTER 5
DEPARTMENT FISCAL POLICY
5.2(231) Grants to area agencies on aging
5.4(231) Expenditures in rural areas
5.6(231) State appropriations and case management allotments
5.7(231) Program allotment calculations
5.10(231) Allowable use of federal and state funds for multiyear area plan administration
5.12(231) Restriction on delegation of authority to other agencies
5.14(231) State reviews and audits
5.15(231) Acquisition of goods and services
5.16(231) Restrictions for multipurpose agencies designated as AAA
5.17(231) Records—contract administration
5.18(231) Recapture of funds for facilities
CHAPTER 6
AREA AGENCY ON AGING PLANNING AND ADMINISTRATION
6.3(231) Area agency administration
6.4(231) Confidentiality and disclosure of AAA information
6.5(231) AAA contact information
6.7(231) AAA board of directors
6.10(231) AAA procedures manual
6.11(231) Contracts and subgrants
6.14(231) Priority service expenditures
6.15(231) Waivers of priority service expenditures
6.16(231) Requirements for service providers
6.17(231) Entrepreneurial activities of AAA
CHAPTER 7
AREA AGENCY ON AGING
SERVICE DELIVERY
7.3(231) Outreach for greatest need
7.5(231) Funding for services and program facilities
7.6(231) Compliance with health, safety and construction requirements
7.7(231) Term of use of an acquired or constructed facility
7.9(231) Information and assistance services
7.10(231) Legal assistance requirements
7.11(231) Disease prevention and health promotion under Title III–D of the Act
7.14(231) Nutrition performance standards
7.18(231) Special dietary needs
7.19(231) Congregate nutrition services
7.20(231) Eligibility for meals at congregate nutrition sites
7.21(231) Home–delivered meals
7.23(231) Requirements for opening or closing congregate nutrition sites
7.25(231) Family caregiver program under Title III–E of the Act
CHAPTER 8
LONG–TERM CARE RESIDENT’S
ADVOCATE/OMBUDSMAN
8.3(231) Long–term care resident’s advocate/ombudsman duties
8.5(231) Authority and responsibilities of the department
8.6(231) Volunteer long–term care ombudsman program
CHAPTER 9
RESIDENT ADVOCATE COMMITTEES
9.2(231) Resident advocate committees established
9.3(231) Application for committee membership
9.4(231) Appointment to resident advocate committees
9.5(231) Objection to and termination of appointments to resident advocate committees
9.6(231) Request for reconsideration of appointment or termination of appointment
9.7(231) Resident advocate committee structure and procedures
9.8(231) Duties of the committee
9.9(231) Committee access and assistance
9.11(231) Committee response to complaints and grievances
9.12(231) Complaints referred from the department of inspections and appeals
9.13(231) Accountability measures
9.14(231) Reporting statistics
CHAPTER 10
SENIOR INTERNSHIP PROGRAM (SIP)
10.3(231) Eligibility for service
10.5(231) Program requirements
10.7(231) Monitoring and record keeping
CHAPTER 11
WAIVERS OR VARIANCES FROM
ADMINISTRATIVE RULES
11.1(17A,231,ExecOrd11) Definitions
11.2(17A,231,ExecOrd11) Scope of chapter
11.3(17A,231,ExecOrd11) Applicability of chapter
11.4(17A,231,ExecOrd11) Criteria for waiver or variance
11.5(17A,231,ExecOrd11) Filing of petition
11.6(17A,231,ExecOrd11) Content of petition
11.7(17A,231,ExecOrd11) Additional information
11.8(17A,231,ExecOrd11) Notice
11.9(17A,231,ExecOrd11) Hearing procedures
11.10(17A,231,ExecOrd11) Ruling
Public availability
Summary reports
11.13(17A,231,ExecOrd11) Cancellation of a waiver
11.14(17A,231,ExecOrd11) Violations
11.15(17A,231,ExecOrd11) Defense
11.16(17A,231,ExecOrd11) Judicial review
11.17(17A,231,ExecOrd11) Severability
12.3(231) Elder abuse, neglect, or exploitation prevention and public awareness
12.4(231,235B) Dependent adult abuse mandatory reporter training
CHAPTER 13
RULES AND PRACTICES IN
CONTESTED CASES
13.1(17A) Scope and applicability
13.4(17A) Requests for contested case proceeding
13.7(17A) Waiver of procedures
13.8(17A) Telephone proceedings
13.10(17A) Consolidation—severance
13.12(17A) Service and filing of pleadings and other papers
13.16(17A) Prehearing conference
13.23(17A) Ex parte communication
13.25(17A) Interlocutory appeals
13.28(17A) Applications for rehearing
13.29(17A) Stays of department actions
13.30(17A) No factual dispute contested cases
13.31(17A) Emergency adjudicative proceedings
13.32(17A) Informal settlement
CHAPTER 15
ELDER ABUSE INITIATIVE,
EMERGENCY SHELTER AND
SUPPORT SERVICES PROJECTS
15.7(231) Reporting and monitoring
CHAPTER 16
SENIOR LIVING COORDINATING UNIT
16.2(231,249H) Organization of the unit and proceedings
16.3(231,249H) Chairperson
and vice–
chairperson duties
CHAPTER 17
PETITION FOR RULE MAKING
(Uniform Rules)
17.1(17A) Petition for rule making
18.1(17A) Petition for declaratory order
18.6(17A) Service and filing of petitions and other papers
18.9(17A) Refusal to issue order
18.10(17A) Contents of declaratory order—effective date
18.12(17A) Effect of a declaratory order
CHAPTER 19
PUBLIC RECORDS AND FAIR
INFORMATION PRACTICES
(Uniform Rules)
19.3(17A,22) Requests for access to records
19.9(17A,22) Disclosures without consent of the subject
19.11(17A,22) Consensual disclosure of confidential records
19.12(17A,22) Release to subject
19.13(17A,22) Availability of records
19.14(17A,22) Personally identifiable information
19.15(17A,22) Other groups of records
19.16(17A,22) Data processing systems
CHAPTER 21
CASE MANAGEMENT PROGRAM FOR FRAIL ELDERS
21.4(231) Program administration
21.5(231) Eligibility for CMPFE services
21.6(231) Admission into the case management program
21.7(231) Discharge from CMPFE
21.8(231) Organizational requirements
21.9(231) Personnel qualifications
21.11(231) Assessment of consumer needs
21.12(231) Service plan development
21.16(231) Contracting for case management services
CHAPTER 24
ADULT DAY SERVICES PROGRAMS
24.2(231D) Program certification
24.3(231D) Certification of a nonaccredited program
24.4(231D) Nonaccredited program application content
24.5(231D) Initial certification process for nonaccredited program
24.6(231D) Recertification of nonaccredited program
24.7(231D) Recertification process for nonaccredited program
24.8(231D) Notification of recertification
24.9(231D) Certification and recertification process for an accredited program
24.10(231D) Accredited program certification or recertification application content
24.11(231D) Initial certification process for accredited program
24.12(231D) Recertification for accredited program
24.13(231D) Duration of certification for all programs
24.14(231D) Recognized accrediting entity
24.15(231D) Requirements for accredited adult day services programs
24.16(231D) Maintenance of program accreditation
24.17(231D) Transfer of certification
24.18(231D) Structural and life safety reviews for a new program
24.19(231D) Structural and life safety reviews for existing programs
24.21(231D) Emergency response policies and procedures review
24.22(231D) Program alteration
24.23(231D) Cessation of program operation
24.24(231D) Contractual agreement
24.25(231D) Admission to and transfer from a program
24.26(231D) Waiver of admission and retention criteria
24.27(231D) Criteria for granting admission and retention waivers
24.28(231D) Participant documents
24.32(231D) Nursing assistant work credit
24.35(231D) Dementia–specific education for personnel
24.36(231D) Another business or activity in an adult day services program
24.37(231D) Managed risk statement
24.38(231D) Life safety—emergency policies and procedures and structural safety requirements
24.41(231D) Structural requirements
24.42(231D) Interpretive guidelines
CHAPTER 25
ASSISTED LIVING PROGRAMS
25.2(231C) Program certification
25.3(231C) Certification of a nonaccredited program
25.4(231C) Nonaccredited program application content
25.5(231C) Initial certification process for a nonaccredited program
25.6(231C) Recertification of a nonaccredited program
25.7(231C) Recertification process for a nonaccredited program
25.8(231C) Notification of recertification for a nonaccredited program
25.9(231C) Certification and recertification process for an accredited program
25.10(231C) Accredited program certification or recertification application content
25.11(231C) Initial certification process for an accredited program
25.12(231C) Recertification process for an accredited program
25.13(231C) Duration of certification for all programs
25.14(231C) Recognized accrediting entity
25.15(231C) Requirements for an accredited program
25.16(231C) Maintenance of program accreditation
25.17(231C) Transfer of certification
25.18(231C) Structural and life safety reviews for a new program
25.20(231C) Emergency response policies and procedures review
25.21(231C) Cessation of program operation
25.22(231C) Occupancy agreement
25.23(231C) Occupancy in and transfer from a program
25.24(231C) Waiver of occupancy and retention criteria
25.25(231C) Criteria for granting occupancy and retention waivers
25.26(231C) Involuntary transfer
25.31(231C) Nursing assistant work credit
25.34(231C) Dementia–specific education for program personnel
25.35(231C) Another business or activity in an assisted living program
25.36(231C) Managed risk statement
25.37(231C) Life safety—emergency policies and procedures and structural safety requirements
25.40(231C) Structural requirements
25.41(231C) Dwelling units in dementia–specific programs
25.42(231C) Landlord and tenant Act
25.43(231C) Interpretive guidelines
26.1(17A,231B,231C,231D) Monitoring
26.2(17A,231B,231C,231D) Complaint procedure
26.3(17A,231B,231C,231D) Enforcement action
26.4(17A,231B,231C,231D) Notice—
hearings
26.6(17A,231B,231C,231D) Judicial review
Public disclosure of findings
26.8(17A,231C,231D) Discrimination or retaliation
26.9(17A,231C,231D) Emergency removal of adult day services participants or assisted living tenants
26.10(231C,231D) Notification of casualties
CHAPTER 27
FEES FOR ADULT DAY SERVICES AND ASSISTED LIVING PROGRAMS
27.1(231D) Adult day services program fees
27.2(231C) Assisted living program fees
CHAPTER 28
IOWA SENIOR LIVING PROGRAM—HOME– AND COMMUNITY–BASED SERVICES FOR SENIORS
28.4(231,249H) Disbursement of funds
28.5(231,249H) Eligible use of funds
28.6(231,249H) Client participation
28.7(231,249H) Reallotment of unobligated funds
28.8(231,249H) Prohibited use of senior living trust fund moneys
28.9(231,249H) Disbursement of SLTF funds to AAA subcontractors
28.10(231,249H) Reporting requirements
29.2(231B) Application content
29.3(231B) Initial certification process
29.4(231B) Renewal of certification
29.5(231B) Denial, suspension, or revocation of certification
29.6(231B) Notice, hearing, appeal and judicial review
29.7(231B) Tenant admission requirements
29.8(231B) Service plan required
29.10(231B) Occupancy agreement
29.11(231B) Waiver of the level of care requirements
29.12(231B) Resident advocate committees
29.13(231B) Requirements for and qualifications of staff
29.15(231B) EGH facility standards
29.17(231B) Classes of information
29.18(231B) Landlord and tenant Act
chapter 1
INTRODUCTION, abbreviations and definitions
[Prior to 5/20/87, see Aging, Commission on the[20] Ch 1]
321—1.1(231) Authority and purpose. The rules of the Iowa department of elder affairs are based on the authority of Iowa Code chapters 231, 231B, 231C, 231D, 235B and 249H. These rules prescribe requirements:
1. That agencies shall meet to receive grants under the Older Americans Act and other funds administered through the Iowa department of elder affairs;
2. For certification and operation of elder group homes, assisted living programs, and adult day services;
3. For planning, administration and service delivery for the department as well as the area agencies on aging;
4. Of the department’s fiscal policy;
5. To request waivers or variances from administrative rules;
6. For monitoring, complaint investigation and penalties for programs under the department’s jurisdiction; and
7. For operation, administration and planning of the long–term care resident’s advocate/ombudsman office and other entities under the department’s purview which assist in ensuring quality care and protection of Iowa’s elders.
321—1.2(231) Other regulations and order of precedence. These agency rules are based on the following federal and state regulations that are listed in the order of precedence which shall prevail in the event of conflicting or inconsistent requirements:
1. Older Americans Act of 1965.
2. Code of Federal Regulations, 5 CFR 900, Subpart F, August 14, 1979; 7 CFR 250, January 9, 1985; 28 CFR 89, March 2, 1976; 45 CFR Parts: 74, June 7, 1981; 80, December 4, 1964; 81, November 7, 1971; 84, May 4, 1977; 90, June 12, 1979; and 1321, April 1, 1985.
3. Federal Administration on Aging policy issuances and administration on aging program instructions.
4. Iowa Code chapter 231 and other Iowa Code chapters as given in 321 IAC 1.1(231) and other chapters as determined by the Iowa legislature.
5. Administrative rules published in the Iowa Administrative Code, promulgated under agency number 321.
6. Iowa aging program instructions issued by the department and signed by the director or the director’s designee.
321—1.3(231) Applicability. The rules set forth in the chapters under the jurisdiction of the department of elder affairs apply to all grants awarded to any recipient through the department and to any entities regulated by the department. Compliance with these rules shall be mandatory, unless a waiver is granted in accordance with the procedure in 321 IAC 11.
321—1.4(231) Abbreviations. Abbreviations used in rules under agency number 321 are as given below unless defined and used differently in various chapters under the department’s jurisdiction:
“AAA” means Area Agency on Aging, singular or plural dependent on context.
“AOA” means the Administration on Aging, the federal agency established to administer the provisions of the Act.
“CFR” means the Code of Federal Regulations.
“CMPFE” means the case management program for the frail elderly as provided in Iowa Code section 231.23A.
“DEA” means the department of elder affairs established in Iowa Code chapter 231.
“DIA” means the department of inspections and appeals established in Iowa Code chapter 10A.
“IADL” means instrumental activities of daily living.
“IAPI” means the Iowa aging program instruction, the documents issued by the department under a system of numbering and reference regarding operating and reporting methods for AAA.
“NAPIS” means the National Aging Program Information System, the data collection and assimilating process used for preparation of the annual uniform state performance report under the OAA.
“OAA” means the Older Americans Act.
“RDA/AI” means recommended daily allowances/adequate intakes for purposes of nutrition standards.
“SLCU” means the senior living coordinating unit as established in Iowa Code section 231.58.
321—1.5(231) Definitions. Words and phrases used in rules under agency number 321 are defined as below unless defined and used differently in the various chapters under the department’s jurisdiction. The appearance of an acronym after a defined term indicates that the definition was taken from that source.
“Accessible” means without physical, cultural, financial, or psychological barriers to service.
“Act” or “federal Act” or “OAA” means the Older Americans Act, 42 U.S.C. § 3001 et seq.
“Administration on Aging” or “AOA” means the federal agency established to administer the provisions of the Act.
“Administrative action” means an action or decision made by an owner, employee, or agent of a long–term care facility, or by a governmental agency, which affects the service provided to residents of long–term care facilities.
“Aggrieved party” means an individual or organization that alleges that the individual’s or organization’s rights have been denied by action of the department, AAA or AAA subcontractor.
“Area agency on aging,” “area agency” or “AAA” means the grantee agency(ies) designated by the commission in a planning and service area to develop and administer the multiyear area plan for a comprehensive and coordinated system of services for elders and to carry out the duties specified in Iowa Code chapter 231 and rules promulgated by the department of elder affairs. These terms may be interpreted as either singular or plural form as determined by context.
“Area plan” or “multiyear area plan” means a document, developed in accordance with the uniform area plan format and IAPI issued by the department, that is submitted to the department every four years, with annual updates, by an AAA in order to receive subgrants from the department’s grants.
“Cognitive disorder” means a disorder characterized by cognitive dysfunction presumed to be the result of illness that does not meet criteria for dementia, delirium, or amnestic disorder.
“Commission” means the commission of elder affairs.
“Complaint” means a report of an alleged violation of requirements of federal and state laws, rules or regulations, or a report of practices and procedures related to admission or to an individual’s entitlement to care and services under federal and state laws and regulations.
“Comprehensive and coordinated system” means a system for providing all necessary supportive services, including nutrition services, in a manner designed to:
1. Facilitate accessibility to and utilization of all supportive and nutrition services provided within the geographic area served by the system by any public or private agency or organization.
2. Develop and make the most efficient use of supportive services and nutrition services to meet the needs of elders with a minimum of duplication.
3. Use available resources efficiently and with a minimum of duplication; and
4. Encourage and assist public and private entities that have unrealized potential for meeting the service needs of older individuals to assist the elders on a voluntary basis.
“Continuum of care” means a full range of economic, physical, psychological, social and support programs and services necessary to maintain or restore elders to their optimal environment.
“Contract” means an agreement between two or more persons which creates an obligation to do or not to do a permissible or an impermissible action. Its essentials are competent parties, subject matter, legal consideration, mutuality of agreement and mutuality of obligation.
“Dementia” means an illness characterized by multiple cognitive deficits which represent a decline from previous levels of functioning and include memory impairment and one or more of the following cognitive disturbances: aphasia, apraxia, agnosia, and disturbance in executive functioning.
“Dementia–specific” means a program certified under the law and regulations governing the particular program which either serves five or more persons with dementia between Stages 4 and 7 on the Global Deterioration Scale or holds itself out as providing specialized care for persons with a cognitive disorder or dementia, such as Alzheimer’s disease, in a dedicated setting.
“Department of elder affairs” or “department” means the sole state agency responsible for administration of the Older Americans Act and Iowa Code chapters 231, 231B, 231C, and 231D and other applicable laws or rules.
“Dietitian” or “licensed dietitian” means a person who maintains a license granted by the Iowa board of dietetic examiners.
“Director” means the director of the Iowa department of elder affairs.
“Disability” (OAA) means (except when such term is used in the phrase “severe disability,” “developmental disabilities,” “physical and mental disability,” “physical and mental disabilities,” or “physical disabilities”) a disability attributable to mental or physical impairment, or a combination of mental or physical impairments, that results in substantial functional limitations in one or more of the following areas of major life activity: (1) self–care, (2) receptive and expressive language, (3) learning,(4) mobility, (5) self–direction, (6) capacity for independent living, (7) economic self–sufficiency,(8) cognitive functioning, and (9) emotional adjustment.
“Elder” means a person aged 60 or older.
“Elder abuse” (OAA) means abuse, neglect, or exploitation of an older individual (elder) including the willful:
1. Infliction of injury, unreasonable confinement, intimidation, or cruel punishment with resulting physical harm, pain, or mental anguish; or
2. Deprivation by a person, including a caregiver, of goods or services that are necessary to avoid physical harm, mental anguish, or mental illness.
“Eligible individual” means any person who meets the federal definition of this term for the program being utilized.
“Exploitation” (OAA or 235B; dependent on the rule content, the source of the appropriate definition will be referenced in the individual chapter) means:
1. (OAA) The illegal or improper act or process of an individual, including a caregiver, using the resources of an older individual for monetary or personal benefit, profit, or gain; or
2. “Exploitation” as defined in Iowa Code chapter 235B.
“Fiscal year” or “FY” means the state fiscal year, July 1 through June 30, numbered according to the year in which the fiscal year ends.
“Focal point’’ means a facility established to encourage the maximum collocation and coordination of services for older individuals.
“Frail” (AOA Title III–D) means having a physical or mental disability, including Alzheimer’s disease or a related disorder with neurological or organic brain dysfunction, that restricts the ability of an individual to perform normal daily tasks or that threatens the capacity of an individual to live independently.
“Grantee” means the legal entity to which a grant is awarded and which is accountable to the department for the use of the funds provided. The grantee is the entire legal entity even if only a particular component of the entity is designated in the award document. The term “grantee” does not include any secondary recipients such as subgrantees or subcontractors that may receive funds from a grantee pursuant to a grant.
“Greatest economic need” means the need resulting from an annual income level at or below the official poverty guideline as defined in IAPI issued by the department.
“Greatest social need” means the need caused by noneconomic factors, which include physical and mental disabilities, language barriers, and cultural, geographic or social isolation including isolation caused by racial or ethnic status, that restrict an individual’s ability to perform normal daily tasks or that threaten the elder’s capacity to live independently.
“Grievance” means a report of an administrative action alleged to affect tenants or participants in an adverse manner.
“In–home services” means:
1. Services of homemakers and home health aides;
2. Visiting and telephone reassurance;
3. Chore maintenance;
4. In–home respite care for families, and adult day care as a respite service for families;
5. Minor modification of homes that is necessary to facilitate the ability of older individuals to remain at home and that is not available under another program (other than another program carried out under the Act);
6. Personal care services; and
7. Other in–home services as defined by the DEA in the state plan submitted in accordance with Section 307 of the Act and by the AAA in the area plan submitted in accordance with Section 306 of the Act.
“Instrumental activities of daily living” or “IADL” means those activities that reflect the elder’s ability to perform household and other tasks necessary to meet the elder’s needs within the community, which may include but are not limited to shopping, housekeeping, chores, and traveling within the community.
“Iowa Aging Program Instruction” or “IAPI” means a document issued by the department under a system of numbering and reference regarding operating and reporting methods for AAA or instructions which change frequently.
“Legal assistance” means provision of legal advice, counseling and representation by an attorney or other person acting under the supervision of an attorney.
“Legal representative” means a person appointed by the court to act on behalf of a participant or tenant, or a person acting pursuant to a power of attorney.
“Long–term care facility” means a long–term care unit of a hospital, a licensed hospice program, a foster group home, a group living arrangement, or a facility licensed under Iowa Code section 135C.1 whether the facility is public or private.
“Long–term care resident’s advocate program” or “LTCRAP” means the statewide long–term care ombudsman program operated by the department of elder affairs pursuant to the federal Act and Iowa Code chapter 231.
“National Aging Program Information System” or “NAPIS” means the reporting system in which the Older Americans Act requires participation by providers receiving funding from the provisions of the Act.
“Neglect” (OAA) means the failure:
1. To provide for oneself the goods or services that are necessary to avoid physical harm, mental anguish, or mental illness; or
2. Of a caregiver to provide the goods or services that are necessary to avoid physical harm, mental anguish, or mental illness.
“Nurse–delegated assistance” means those delegated tasks or activities for which a professional nurse has assumed responsibility for assessing, planning, implementing, or evaluating, and for which the nurse remains legally accountable.
“Older Americans Act” or “OAA” means the same as “Act” defined herein.
“Person” means the same as that defined in Iowa Code section 4.1(20).
“Planning and service area” or “PSA” means a geographic area of the state that is designated by the commission for purposes of planning, development, delivery and overall administration of services under a multiyear area plan. “PSA” may be interpreted as either singular or plural dependent on context.
“Provider” means any person, company, firm, association or other legal entity that provides services as delineated in any chapter under agency number 321.
“Public or private nonprofit service provider” means any government agency or private organization certified to be nonprofit by the U.S. Internal Revenue Service or an agency which was established pursuant to Iowa Code chapter 28E or chapter 504A and is composed solely of public agencies or governmental units as defined in those chapters.
“Resident” means any person residing in a long–term care facility and shall also include individuals seeking admission to a long–term care facility.
“Routine” means regular, customary or not occasional or intermittent.
“Rural” or “rural area” means any area that is not defined as urban. Urban areas comprise:
1. Urbanized areas (a central place and its adjacent densely settled territories with a combined minimum population of 50,000); and
2. An incorporated place or a census–designated place with 20,000 or more inhabitants.
“Senior living coordinating unit” or “SLCU” means the senior living coordinating unit established in Iowa Code section 231.58.
“Therapeutic diet” means meals served that are soft, low–fat, low–sodium or controlled calorie.
“Title III” means Title III of the federal Act for state and community programs on aging.
1. “Title III–B” means requirements and funding for supportive services.
2. “Title III–C” means requirements and funding for nutrition services.
3. “Title III–C(1)” means requirements and funding for congregate nutrition services.
4. “Title III–C(2)” means requirements and funding for home–delivered nutrition services.
5. “Title III–D” means requirements and funding for disease prevention and health promotion.
6. “Title III–E” means requirements and funding for the National Family Caregiver Support program.
“Title V” means Title V of the federal Act for the Senior Community Service Employment Program for Older Americans.
“Title VII” means Title VII of the federal Act for allotments for vulnerable elder rights protection activities.
These rules are intended to implement Iowa Code chapters 231, 231B, 231C, 231D, 235B and 249H.
[Filed 5/20/82, Notice 3/17/82—published 6/9/82, effective 7/14/82]
[Filed 7/10/86, Notice 5/7/86—published 7/30/86, effective 9/3/86]
[Filed 5/1/87, Notice 2/25/87—published 5/20/87, effective 6/24/87]*
[Filed emergency
8/20/87—published 9/9/87, effective 9/2/87]
[Filed 4/26/90, Notice 2/21/90—published 5/16/90, effective 6/20/90]
[Filed 2/1/91, Notice 11/28/90—published 2/20/91, effective 3/27/91]à
[Filed 12/6/91, Notice 6/12/91—published 12/25/91, effective 1/29/92]
[Filed 4/3/92, Notice 2/5/92—published 4/29/92, effective 6/3/92]
[Filed 6/26/92, Notice 4/1/92—published 7/22/92, effective 8/26/92]
[Filed 11/5/93, Notice 9/15/93—published 11/24/93, effective 12/29/93]
[Filed 11/3/95, Notice 8/16/95—published 11/22/95, effective 12/27/95]
[Filed emergency 10/15/97 after Notice 9/10/97—published 11/5/97, effective 11/5/97]
[Filed emergency 2/15/02 after Notice 1/9/02—published 3/6/02, effective 2/15/02]
[Filed 2/15/02, Notice 1/9/02—published 3/6/02, effective 4/10/02]
[Filed 3/26/04, Notice 2/4/04—published 4/14/04, effective 5/19/04]
[Filed 2/21/06, Notice
11/23/05—published 3/15/06, effective 5/1/06]
chapter 2
DEPARTMENT OF ELDER AFFAIRS
321—2.1(231) Mission statement. The mission of the department of elder affairs is to provide advocacy, information, educational and prevention services to elders so they may find Iowa a healthy, safe, productive and enjoyable place to live and work.
321—2.2(231) Definitions. Words and phrases as used in this chapter are as defined in 321 IAC 1 unless the context indicates otherwise.
321—2.3(231) Department established.
2.3(1) Authority. The Iowa department of elder affairs is established by Iowa Code chapter 231 and is the sole state agency responsible for administration of the federal Act.
2.3(2) Contact information. General correspondence, inquiries, requests for information or assistance, complaints, or petitions may be sent to or obtained from the following sources:
a. By mail addressed to: Director, Iowa Department of Elder Affairs, Jessie Parker Building, 510 East 12th Street, Suite 2, Des Moines, Iowa 50319;
b. By telephone at (515)725–3333; or
c. From the Web site at http://www.ia.state.us/elderaffairs.
2.3(3) Business hours. Business hours for the department are 8 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays established by the state executive council.
321—2.4(231) Director. The director’s duties and responsibilities are established in Iowa Code chapter 231.
321—2.5(231) Organizational units of the department. The department’s activities are performed by employees within the office of the director, two divisions and the office of elder rights. Grants will be managed by the appropriate division, office of the director or office of elder rights, dependent upon the source and intended use of funds.
2.5(1) The office of the director is comprised of the director, administrative support, public information officer, division administrators and legislative liaison. This office is responsible for the overall planning, policy, management and operations of the department.
2.5(2) The administrative division is responsible for the following:
a. Coordinating, reviewing and processing the multiyear area plans from the area agencies on aging;
b. Developing and processing the State Plan Funding Application to the federal government;
c. Monitoring, assessing, evaluating and auditing the 13 area agencies on aging for general area plan performance;
d. Maintaining accountability for all state, federal and local funds for which the department is responsible;
e. Managing a variety of department administrative responsibilities (including but not limited to budget preparation, personnel activities, ordering supplies and purchasing equipment);
f. Developing and maintaining computerized information systems which compile and analyze data to assess the quality and priorities of the department’s programs; and
g. Processing information for presentation in reports, pamphlets, brochures, videotapes and the news media.
2.5(3) The elder programs and advocacy division is responsible for the following:
a. Developing program initiatives related to the department’s mission;
b. Reviewing and commenting upon laws, regulations, and rules that impact programs and services for elders;
c. Program development related to:
(1) The continua of long–term care options;
(2) Case management program for the frail elderly;
(3) Nutrition and health promotion;
(4) Information and assistance;
(5) Adult day and respite services;
(6) Housing, including elder group homes and assisted living;
(7) Access to public benefits;
(8) Mature worker programs, including pension counseling; and
(9) Caregiver programs;
d. Providing customer services related to elders’ rights issues;
e. Monitoring and assessing services related to elder programs and advocacy issues;
f. Outreach to elders in greatest need (minority, rural, low–income and persons with disabilities);
g. Coordination and advocacy efforts which involve partnerships with a variety of public and private agencies; and
h. Providing educational opportunities such as conferences, workshops and other means of informing elders and their caregivers.
2.5(4) Office of elder rights. The office of elder rights includes:
a. The office of the long–term care ombudsman which is responsible for all applicable duties contained within the federal Act and the duties as outlined in 321 IAC 8;
b. Legal assistance development related to the department’s mission and duties as outlined in 321 IAC 7;
c. Elder abuse policy development, prevention, education and intervention and duties as outlined in 321 IAC 15; and
d. Providing customer services related to elders’ rights issues.
2.6(1) Procedure for employment with the state of Iowa is given in 11 IAC 54, Recruitment, Application and Examination. Applicants for employment who are not chosen for a position shall be notified in writing.
2.6(2) The department may, as provided in 11 IAC 51.4(8A), obtain specialized services of individuals or organizations on a contract basis.
2.6(3) Standards of conduct. Each employee of the department is personally responsible for maintaining a high standard of conduct, consistent with 11 IAC 66, Conduct of Classified Employees, and with standards issued by the director.
321—2.7(231) Discrimination. The department shall comply with 11 IAC 68, Equal Employment Opportunity and Affirmative Action, and associated provisions of federal and state law in all personnel actions. Any person who believes that the person has been discriminated against shall follow the appropriate procedures given in:
1. 11 IAC 61, Grievances and Appeals;
2. Any applicable collective bargaining agreement;
3. 11 IAC 68, Equal Employment Opportunity and Affirmative Action;
4. Any applicable provisions of federal statute, Iowa law or rule.
321—2.8(231) Affirmative action plans. The director shall comply with 11 IAC 68 and with the requirements of Section 900.607 of Title 5 of the Code of Federal Regulations (1981).
321—2.9(231) Department complaint and appeal procedures.
2.9(1) Aggrieved party identified. An aggrieved party is any agency, organization, or individual that alleges that the party’s rights have been denied or that services provided were not in compliance with regulations or were substandard because of an action of the department, the commission of elder affairs, an AAA or an AAA subcontractor.
2.9(2) Complaints or appeals to the department from the AAA level.
a. Except in cases where an AAA is acting in its capacity as a Medicaid provider, complaints at the AAA level by any aggrieved party shall be heard first by the AAA using the AAA’s procedures.
b. Local complaint procedures of an AAA or an AAA subcontractor shall be exhausted before the department of elder affairs is contacted.
2.9(3) Requests for an informal review or a contested case hearing.
a. Informal review. An aggrieved party or a party appealing an AAA–level decision has 30 calendar days from receipt of written notice of action from the AAA or the department to request an informal review by the department or a contested case hearing.
(1) Any person who desires to pursue an informal settlement of any complaint may request a meeting with appropriate department staff. The request shall be in writing and shall be delivered to the Director, Department of Elder Affairs, Jessie M. Parker Building, 510 East 12th Street, Suite 2, Des Moines, Iowa 50319.
(2) The request must contain the subject matter(s) of the complaint and an explanation of all steps taken to resolve the matter prior to requesting an informal review.
(3) Upon receipt of the request for informal review, all formal contested case proceedings, if begun, are stayed.
(4) The department may, as a result of the informal review, negotiate a settlement of the complaint or, if appropriate, may send the matter back to the AAA for reconsideration.
(5) Parties desiring informal settlement shall set forth in writing the various points of a proposed settlement, which may include a stipulated statement of facts.
(6) When signed by the parties to a controversy, a proposed settlement shall represent final disposition of the matter in place of contested case proceedings, which shall be terminated.
(7) If the parties are unable to reach agreement during the informal review, the matter may, if requested, be handled by the department as a request for a contested case proceeding under Iowa Code chapter 17A and 321 IAC 13.
(8) A proposed settlement which is not accepted or signed by the parties shall not be admitted as evidence in the record of a contested case proceeding.
b. Contested case proceeding.
(1) Within 15 calendar days of receipt of a request for a contested case hearing, the department shall initiate a contested case proceeding under 321 IAC 13.
(2) If the controversy is a matter that is subject to a contested case proceeding under Iowa Code chapter 17A, parties may request a contested case proceeding at the conclusion of an unresolved informal review pursuant to 321 IAC 13.
2.9(4) Appeal by applicants denied designation as a planning and service area. Any applicant for designation as a planning and service area whose application is denied and who has been provided a hearing by the department of elder affairs and has received a written appeal decision by the commission may appeal the denial to the assistant secretary of the Administration on Aging in writing within 30 calendar days of receipt of the commission’s decision.
2.9(5) Judicial review. A party that seeks judicial review shall first exhaust all administrative remedies as follows:
a. A party shall appeal the decision of the administrative law judge as provided in subrule 2.9(4) and receive a decision from the commission as provided in subrule 2.9(4).
b. Petition for judicial review of the commission’s decision shall be filed within 30 calendar days after the decision is issued.
321—2.10(231) Severability. Should any rule, subrule, paragraph, phrase, sentence or clause of this chapter be declared invalid or unconstitutional for any reason, the remainder of this chapter shall not be affected thereby.
These rules are intended to implement Iowa Code chapter 231.
[Filed 5/1/87, Notice 2/25/87—published 5/20/87, effective 6/24/87]*
[Filed emergency 8/20/87—published 9/9/87, effective 9/2/87]
[Filed 4/29/88, Notice 3/23/88—published 5/18/88, effective 6/22/88]
[Filed 2/1/91, Notice 11/28/90—published 2/20/91, effective 3/27/91]
[Filed 5/28/97, Notice 4/23/97—published 6/18/97, effective 7/23/97]
[Filed 2/21/06, Notice 11/23/05—published 3/15/06, effective 5/1/06]
[Filed 12/28/07, Notice
9/12/07—published 1/30/08, effective 3/5/08]
chapter 3
COMMISSION of elder affairs
[Prior to 5/20/87, see Aging, Commission on the[20] Ch 2]
“Commission” means the commission of elder affairs.
“Federal Act” means the Older Americans Act of 1965, 42 U.S.C. 3001 et seq., as amended.
321—3.2(231) Purpose of the commission. The purpose of the commission is to develop policy for the department of elder affairs for administration of the federal Act.
321—3.3(21,231) Organization of the commission and proceedings.
3.3(1) The commission shall hold at least four meetings annually and by the call of the chairperson.
3.3(2) The commission shall consist of 11 members. Voting members are the 7 members appointed by the governor in accordance with Iowa Code section 231.11. Nonvoting members are the 4 members appointed by the general assembly in accordance with Iowa Code section 231.11.
3.3(3) Four voting members of the commission constitute a quorum.
3.3(4) The meeting agenda shall be given at least ten calendar days before the commission meeting.
3.3(5) The commission shall be governed in accordance with Iowa Code chapter 21, and the commission’s proceedings shall be conducted in accordance with Robert’s Rules of Order, Revised.
3.3(6) The chairperson may call an emergency meeting with less than ten days’ notice in accordance with Iowa Code section 21.4.
3.3(7) All meetings shall be open to the public unless an open meeting is properly closed pursuant to Iowa Code section 21.5.
3.3(8) Dates and locations of commission meetings may be obtained from the department’s Web site at www.state.ia.us/elderaffairs or directly from the department by calling (515)242–3333.
321—3.4(231) Commission duties and authority. In addition to carrying out the duties outlined in Iowa Code Supplement section 231.14, the commission shall:
1. Serve in a judicial capacity relative to procedures developed by the department;
2. Review annually and approve an affirmative action plan for the department; and
3. Require area agencies on aging to follow procedures established by the department to implement commission policy.
These rules are intended to implement Iowa Code chapters 21 and 231.
[Filed 5/20/82, Notice 3/17/82—published 6/9/82, effective 7/14/82]
[Filed 10/19/84, Notice 8/15/84—published 11/7/84, effective 12/12/84]*
[Filed emergency 1/11/85—published 1/30/85, effective 1/11/85]
[Filed 5/1/87, Notice 2/25/87—published 5/20/87, effective 6/24/87]**
[Filed emergency 8/20/87—published 9/9/87, effective 9/2/87]
[Filed 2/1/91, Notice 11/28/90—published 2/20/91, effective 3/27/91]
[Filed 11/3/95, Notice 8/16/95—published 11/22/95, effective 12/27/95]
[Filed 3/26/04, Notice
2/4/04—published 4/14/04, effective 5/19/04]
chapter 4
DEPARTMENT PLANNING RESPONSIBILITIES
[Prior to 5/20/87, see Aging, Commission on the[20] Chs 3 to 5]
321—4.1(231) Definitions. Words and phrases as used in this chapter are as defined in 321 IAC 1 unless the context indicates otherwise. The following definition also applies to this chapter:
“Unit of general purpose local government” means a political subdivision of the state whose authority is general and not limited to only one function or combination of related functions.
321—4.2(231) State plan on aging.
4.2(1) Authority. The Iowa department of elder affairs is designated as the sole state unit on aging in Iowa for the development and implementation of a state plan on aging under Section 305 (42 U.S.C. 3025) of the Act.
4.2(2) Duration and format. The department shall develop a four–year state plan in compliance with the OAA and Iowa Code chapter 231, in order to receive grants under the Act. The state plan shall be developed in accordance with the format, content, time limits, transmittal forms, and procedures specified by the federal AOA. The state plan on aging shall also be in compliance with requirements for state plans under the Act, Section 307 and associated instructions, guidance or direction from the federal AOA.
4.2(3) Process.
a. The department shall hold at least one public hearing on the state plan.
b. The commission shall consider and approve the state plan or state plan amendment prior to submittal to the governor for approval and signature.
c. Each state plan or state plan amendment shall be signed by the governor and submitted to AOA to be considered for approval at least 45 calendar days before the effective date of the plan or the plan amendment.
321—4.3(231) Designation of PSA. Unless changed for reasons given in this chapter, the PSA boundaries shall remain the same as those existing on July 1, 1985.
4.3(1) Criteria. The PSA boundaries shall remain the same as those which existed on July 1, 1985, unless altered for cause under the provisions of this chapter. The commission may alter existing PSA boundaries only after giving consideration to and meeting all requirements under Section 305 (42 U.S.C. 3025) of the Act.
4.3(2) PSA boundary alteration procedure. Prior to submission of the multiyear state plan on aging, the commission shall notify the AOA of the intent to either maintain or alter existing PSA boundaries. If the intent is to alter PSA boundaries, the department shall utilize the following process:
a. Notice. The department shall advertise the intent to alter existing boundaries and the availability of applications to serve as a PSA in the affected area by sending notice to all AAA, units of local government, and known groups of elders in the affected PSA.
b. Publication. The department shall also publish a notice in at least one newspaper of statewide circulation and the official newspapers as designated for each county served by the affected PSA.
c. Time frame. The notice shall be published a minimum of 50 days in advance of the deadline for submitting applications.
d. Deadline. The notice shall state the precise deadline for requesting application packets as well as for submittal of completed applications.
4.3(3) Application requests. Interested applicants shall send a letter of intent to apply and a request for an application packet to the Department of Elder Affairs, Jessie Parker Building, 510 East 12th Street, Suite 2, Des Moines, Iowa 50319. The letter and request must be received by the department prior to the deadline for requests as established in the notice provided pursuant to paragraph 4.3(2)“d.”
4.3(4) Application content. The application shall contain information that indicates the applicant’s ability to:
a. Meet the criteria established in the Act;
b. Conform to state law and rules promulgated by agencies having jurisdiction in the affected PSA.
4.3(5) Public hearing.
a. Within 60 days after notification of AOA as required in this rule, the department shall hold a minimum of one public hearing which shall be chaired by the director or the director’s designee for the purpose of receiving presentations by the applicants and comments from the public.
b. The department shall designate a date, time and place for the hearing and shall publish notice at least two weeks in advance. If possible, the ICN network will be used to minimize travel for those wishing to participate, except applicants. Applicant presentations are to be given at the designated public hearing site in Des Moines.
c. The department may receive oral and written comments from interested persons prior to the hearing. These comments shall have the same weight and effect as those received at the hearing.
d. Presentations and comments at the hearing shall be time–limited and shall be prearranged with the department.
4.3(6) Department review of applications and comments.
a. The department shall review all applications and comments to determine the applicant most qualified to fulfill the PSA obligations for the affected area.
b. A synopsis of application and comment information shall be prepared for the commission. If requested, the commission may fully review all applications and comments.
c. Within 90 days after the public hearing, the department shall issue a proposed decision. The proposed decision shall be based on analysis of application content, public comments and criteria contained in Section 305 (42 U.S.C. 3025) of the Act.
4.3(7) Commission action. The commission shall act on the boundary alteration proposal or designation of a PSA at its next meeting after receipt of the department’s proposed decision. As a part of the commission’s action, the commission shall include an effective date which shall be at least 365 days after the final decision.
4.3(8) Appeal.
a. Any applicant for designation as an AAA whose application is denied may appeal the decision pursuant to 321 IAC 13.
b. At the conclusion of the appeal under 321 IAC 13, if the AAA wishes to continue the appeal process, the final decision may be appealed in writing to the assistant secretary of the AOA within 30 calendar days of receipt of the decision.
321—4.4(231) Designation of AAA. Unless changed for reasons given in this chapter, the AAA designations shall remain the same as those existing on July 1, 1985.
4.4(1) If, for any reason, there is need to change the AAA designation, the commission shall follow the procedures given in this chapter to designate an entity to be the AAA to serve each PSA as defined in this chapter.
4.4(2) The commission shall alter existing AAA designations only for the following reasons:
a. Withdrawal by the department of an existing AAA designation as outlined in this chapter;
b. Voluntary withdrawal by the existing AAA of its designation; or
c. A change in the designation of the PSA served by the AAA.
321—4.5(231) Types of entities that qualify as an AAA.
4.5(1) Qualifications. In order to qualify for designation as an AAA, an entity must have the authority and capacity to perform the functions of an AAA and handle the responsibilities outlined in 321 IAC 5, 6 and 7.
4.5(2) Right of first refusal. When the commission designates a new AAA, the commission shall give the right of first refusal to a unit of general purpose local government provided:
a. The unit can meet the requirements of this rule;
b. The unit’s boundaries and the boundaries of the PSA are reasonably contiguous.
4.5(3) First refusal process. Should a unit of general purpose local government choose to exercise the right of first refusal, it shall make application for designation as an AAA as provided in this chapter.
4.5(4) Order of preference. When a unit of general purpose local government does not exercise the right of first refusal by making application, applicant preference categories shall be in the following order:
1. An established office on aging which is defined as a legally incorporated entity with employed staff whose single purpose is to administer programs for elders.
2. An agency whose single purpose is to administer programs for elders.
3. A multipurpose agency as defined in 321 IAC 4.6(231).
4. Any public or nonprofit private agency in a PSA which can engage in the planning and provision of a broad range of supportive or nutrition services within the PSA, except any regional or local agency of the state.
321—4.6(231) Multipurpose entity. An AAA may be a multipurpose entity with the authority and capacity to administer human services in the PSA.
4.6(1) A multipurpose entity shall delegate all its authority and responsibility under the Act to a single organizational unit within the entity unless it applies for and receives a waiver of this requirement from the department under the authority and applicable procedurees of 321 IAC 11 as a part of the application approval process.
4.6(2) A multipurpose entity previously designated as an AAA shall submit its waiver request as a part of its multiyear area plan.
4.6(3) When a multipurpose entity is designated as the AAA for a designated PSA, the governing body of that multipurpose entity shall be responsible to the department for the administration and operation of the aging programs under the multiyear area plan.
321—4.7(231) Request for waiver.
4.7(1) A request seeking waiver of the requirement to delegate all authority and responsibilities under the Act to a single organizational unit shall be submitted pursuant to the requirements of 321 IAC 11.6(17A,231,ExecOrd11) and shall:
a. Describe methods for carrying out the AAA’s functions and responsibilities under the Act; and
b. Designate a component unit of the AAA to:
(1) Plan and develop policies and programs for elders in the multiyear area plan;
(2) Administer the area plan; and
(3) Provide a visible focal point for advocacy and coordination for the PSA.
4.7(2) The commission may approve a request for waiver if it is determined that the AAA can effectively carry out its functions and responsibilities under the Act without being a single organizational unit.
321—4.8(231) Applicant qualification and preference. The method for determining qualified applicants for AAA designation and for giving preference if there is more than one qualified applicant in any of the eligible applicant categories shall be in accordance with this chapter.
321—4.9(231) Procedure for designation of an AAA.
4.9(1) Notice. The department shall advertise the need for applications from qualified entities by sending notice to all units of local government, known groups of elders, and potential service providers in the affected PSA. In addition, the department shall publish a notice in the official newspapers as designated for each county served by the AAA a minimum of 45 days in advance of the deadline for submitting applications. The notice shall state the precise deadline for requesting application packets as well as for submittal of completed applications.
4.9(2) Requests. Interested applicants shall send a letter of intent to apply and a request for an application packet to the Department of Elder Affairs, Jessie Parker Building, 510 East 12th Street,Suite 2, Des Moines, Iowa 50319. This material must be received by the department prior to the deadline for requests as established in the notice provided pursuant to 4.9(1).
4.9(3) Application content. The application shall contain, at a minimum, the following information for the entity:
a. Indications of organizational stability;
b. Administrative ability and staffing proposals;
c. Organizational structure;
d. Services offered;
e. Fiscal history and management capabilities;
f. Proposed methods for development of an advisory council whose members are representative of the PSA and the population served;
g. Ability to meet the requirements of this chapter and others governing administration, operation and reporting requirements for AAA;
4.9(4) Public hearing.
a. The department shall hold a minimum of one public hearing which shall be chaired by the director or the director’s designee for the purpose of providing presentations by applicants and receiving comments from the public.
b. The department shall designate a date, time and place for the hearing and publish notice at least two weeks in advance. If possible, the ICN network will be used to minimize travel for those wishing to participate.
c. The department may receive oral and written comments from interested persons prior to the hearing. These comments shall have the same weight and effect as those received at the hearing.
d. Presentations and comments at the hearing shall be time–limited and shall be prearranged with the department.
4.9(5) Department review of applications and comments. Subsequent to the public hearing, the applications shall be sorted according to types of agencies and in the order of preference categories as given in 4.9(7). The department shall review all applications and comments based on the criteria established by this chapter to determine the applicants qualified for an on–site assessment. A synopsis of this information shall be prepared for the commission.
4.9(6) On–site assessment. The purpose of the assessment is to verify information provided in the application.
a. The department shall make arrangements for the assessment with the qualified applicant(s).
b. A written tool shall be used to conduct the assessment.
c. The department shall present to the commission a written report of the assessment and a written recommendation regarding the designation of an AAA.
d. The basis for the recommendation shall be the application review, the public comments, and the on–site assessment.
4.9(7) Preference process. Preference categories may be found in subrule 4.5(4).
a. The department shall determine whether any applicants in the first preference category are qualified.
b. If there is more than one qualified applicant in this category, the more qualified applicant will be determined by review, comparison and analysis of how well each applicant meets the criteria set forth in this chapter.
c. When the more qualified applicant has been determined, the designation may be offered to that applicant.
d. If for any reason that applicant is unable to accept the designation, the department may offer the designation to the second more qualified applicant in the first category, or the more qualified applicant in the second preference category shall be determined. A review, comparison and analysis shall be made between the applicant selected in the second preference category and the second–place applicant under the first category.
e. The designation may be offered to the more qualified of the two applicants. If for any reason that applicant is unable to accept the designation, the same process shall continue through the preference categories as given in this rule.
4.9(8) Commission action. When designating an AAA, the commission shall consider the following:
a. The synopsis of the application review as performed by the department;
b. The findings of the on–site assessment; and
c. Recommendations of the department.
4.9(9) The commission shall act on the designation of an AAA at its next meeting after receiving the department’s recommendation.
321—4.10(231) Withdrawal of AAA designation. When an AAA cannot, or will not, fulfill its responsibilities as given in 321 IAC 5, the commission may withdraw the designation for reasons including but not limited to:
1. Substantial violation of grant terms and conditions or requirements and standards set forth in state law or rules promulgated by the department or other agencies having jurisdiction;
2. Inadequate performance of the responsibilities outlined in 321 IAC 5, 6, or 7 and any other chapters governing administration, operation and reporting for AAA;
3. The AAA’s multiyear area plan is not approved by the commission;
4. Actual performance varies drastically from planned performance;
5. Financial instability;
6. Deficiency in implementation of programs;
7. Contractual or direct services to the elderly commenced more than two months after the approved project period;
8. Reporting of fiscal or performance data does not comply with written procedures issued by the department; or
9. The AAA has been unable or has refused to take timely remedial action to correct cited deficiencies within the given time frame established for correction.
321—4.11(231) Procedures for withdrawal of AAA designation.
4.11(1) When there is reason to withdraw AAA designation as outlined in this chapter, the department shall:
a. Notify the AAA in writing of the deficiency or deficiencies that form the reason for the withdrawal;
b. Provide technical assistance to determine the staffing, management, fiscal or other problems causing the reason for withdrawal;
c. Assist in developing a written action plan for correcting the reason within a given time frame;
d. Monitor the progress toward correcting the deficiency;
e. Report to the AAA in writing the findings of the monitoring; and
f. Determine appropriate commission action based on the progress as determined in monitoring progress reports, which may include:
(1) Placing the AAA in probationary status;
(2) Retrieval or withholding of funds;
(3) Suspension or withdrawal of AAA designation.
4.11(2) The department shall give written notice to the AAA of the right to appeal the designation withdrawal pursuant to 321 IAC 13.
321—4.12(231) Department action subsequent to withdrawal.
4.12(1) Notification and plan. When AAA designation has been withdrawn, the department shall:
a. Notify the AOA in writing of the designation withdrawal.
b. Implement a plan for continuity of services in the affected PSA.
c. Designate a new AAA in the PSA in accordance with this chapter.
4.12(2) Continuity of services. To ensure continuity of services in the affected PSA, the department may:
a. Perform the responsibilities of the AAA;
b. Assign the responsibilities of the AAA to another agency in the PSA; or
c. Submit a written request to the AOA for an extension of the current AAA designation for up to 180 days. The request must document the need for an extension to provide continuity of services in the affected PSA.
321—4.13(231) Technical assistance. The department may provide assistance as follows:
1. To an AAA that is unable to meet target dates, that has requested training, or in order to determine remedial action for performance deficiencies.
2. To any organization, agency, association or individual representing or serving the needs of elders.
321—4.14(231) Severability. Should any rule, subrule, paragraph, phrase, sentence or clause of this chapter be declared invalid or unconstitutional for any reason, the remainder of this chapter shall not be affected thereby.
These rules are intended to implement Iowa Code chapter 231.
[Filed 5/20/82, Notice 3/17/82—published 6/9/82, effective 7/14/82]
[Filed 12/17/82, Notice 10/13/82—published 1/5/83, effective 2/9/83]
[Filed 5/1/87, Notice 2/25/87—published 5/20/87, effective 6/24/87]*
[Filed 2/1/91, Notice 11/28/90—published 2/20/91, effective 3/27/91]
[Filed 3/7/96, Notice 1/31/96—published 3/27/96, effective 5/1/96]
[Filed 2/21/06, Notice 11/23/05—published 3/15/06, effective 5/1/06]
[Filed 6/12/08, Notice
3/26/08—published 7/2/08, effective 8/6/08]
chapter 5
DEPARTMENT FISCAL POLICY
[Prior to 5/20/87, see Aging, Commission on the [20], rule 4.9 and Ch 9]
321—5.1(231) Definitions. Words and phrases as used in this chapter shall be as defined in 321 IAC 1 unless the context of the rule indicates otherwise. The following definitions also apply to this chapter:
“Costs of administration” means all direct and indirect costs incurred by the grantee in managing a grant, including all audit and policy board expenses incurred in the support of an AAA director.
“Fund balance policy” or “FBP” means the instructions established in Iowa aging program instructions (IAPI) issued by the department of elder affairs covering the calculation of reallotments in specific allocations.
“Local match” means the equivalent cash value of third–party in–kind contributions and cash resources, or both, made available by local sources (e.g., local public funds, other local cash, and program income) representing that portion of the costs of a grant–supported project or program not borne by the department.
“NSIP” means the Nutrition Services Incentive Program established under the OAA.
“Poverty” means those persons whose income is below the official poverty guideline (as defined each year by the Office of Management and Budget and adjusted by the Secretary of DHHS) in accordance with Subsection 673(2) of the Community Services Block Grant Act (42 U.S.C. 9902(2)). The annual DHHS poverty guidelines provide dollar thresholds representing poverty levels for households of various sizes.
“Program income” or “project income” or “contributions” means grant–related income or gross income earned by a grantee or its subcontractors from activities, part or all of the cost of which is borne as a direct cost by a grant, or income counted as a direct cost toward meeting a cost–sharing or matching requirement of a grant; such as fees or participant contributions for services performed during the grant or subgrant period, proceeds from the sale of tangible property, usage or rental fees, and patent or copyright royalties.
“Third–party in–kind contributions” means property or services which benefit a grant–supported project or program and which are contributed by nonfederal third parties without a charge to the grantee, the subgrantee, or a cost–type contractor under the grant or subgrant.
“Title,” followed by a Roman numeral, with or without an alphabetic reference (e.g., Title III or Title III–C), means requirements or funding covered by the OAA.
321—5.2(231) Grants to area agencies on aging.
5.2(1) General. The department shall make annual allotments to each AAA to support a portion of the costs of administration and services under the multiyear area plan.
5.2(2) Types of OAA allotments. Each AAA receives designated and distinct allotments for:
a. Supportive services – Title III–B;
b. Congregate nutrition services – Title III–C(1);
c. Home–delivered nutrition services – Title III–C(2);
d. Preventative health services – Title III–D;
e. National Family Caregiver Support program – Title III–E;
f. Other federal and state appropriations received by the department.
5.2(3) Transfers between supportive and nutrition services funds are allowable under the OAA and are specifically addressed in area plan instructions, the reporting manual or IAPI.
321—5.3(231) Limitations on use. Except as provided in this rule, the AAA shall use each allotment for its designated purpose.
5.3(1) Funding as stated on notices of grant awards and NSIP funding released by the department shall be available for use by each AAA for the fiscal year July 1 through June 30 annually.
5.3(2) A maximum of 10 percent of the Title III funds received from the department, as shown in the annual allotment tables, may be used for administration, unless otherwise specified in IAPI.
5.3(3) AAA shall expend no less than the designated amounts, as given in 321 IAC 6, of their Title III–B allotment, less administration costs, for services in the priority service categories of:
a. Access;
b. In–home services; and
c. Legal assistance.
5.3(4) Any unexpended Title III funds which were allotted by the department for administration as shown in the department’s annual allotment tables may, in the subsequent fiscal year, be used only for program service expenditures.
5.3(5) Program income, as forecast to be received for the fiscal year identified in the area plan shall be at least 85 percent of the program income earned in the most recently completed fiscal year.
5.3(6) State funds shall not be carried over unless specifically authorized by state law.
5.3(7) OAA funds may be carried over upon department approval of an AAA written application.
321—5.4(231) Expenditures in rural areas. The department shall allot to rural areas at least 105 percent of the amounts the areas spent under Title III of the Act during the fiscal year 1978.
321—5.5(231) Funding formulas.
5.5(1) OAA federal funds—Title III.
a. Administration allotments to area agencies. The department shall award administration funds available to AAA in each fiscal year from funding under the OAA.
b. Each AAA shall receive the greater of one–fourth of 1 percent of the funds available for allotment, or $24,000, to be used for administration or for services.
c. Each AAA shall receive the greater of four–hundredths of 1 percent or $4,000 for each county in the AAA’s planning and service area to be used for administration or services.
d. If the sum of the amounts generated under paragraphs “b” and “c” for all AAA exceeds 10 percent of the amount available to the department for AAA allotment, the department shall reduce the amount allotted under paragraph “c” by an amount sufficient to result in the sum for all AAA generated by paragraphs “a” and “b” being equal to or less than 10 percent of the amount available to the department.
5.5(2) Intrastate service funding. Funds remaining after the application of 5.5(1), paragraphs “b” and “c,” shall be allocated to each AAA proportionate to the AAA’s weighted population to the total weighted population of the state. The weighted population shall be the sum of the number of persons residing in the planning and service area with the following characteristics multiplied by the applicable weights:
|
Factor |
Weight |
|
Persons aged 60 and older |
1 |
|
Minority persons aged 60 and older |
1 |
|
Persons aged 60 and older at or below the poverty level of income |
2 |
321—5.6(231) State appropriations and case management allotments.
5.6(1) Elderly services. All state elderly services funds appropriated to the department, excluding those otherwise specifically identified in the appropriation, shall be allocated to AAA on the basis of persons aged 60 and older and minority persons aged 60 and older and double–weighted for persons aged 60 and older at or below the poverty level of income in the AAA planning and service area. Elderly services funds set aside for the case management program for the frail elderly shall be allocated on the basis of a $45,000 block grant per AAA with the balance of funds allocated on the AAA’s proportion of persons aged 60 and older.
5.6(2) Senior living program. The department shall allocate funds received from the senior living trust established in Iowa Code section 249H.4 to each AAA by utilizing, at a minimum, a formula that:
a. Shall triple–weight all of the following:
(1) Individuals aged 75 and older.
(2) Individuals aged 60 and older who are members of a racial minority.
(3) Individuals aged 60 and older who reside in rural areas.
(4) Individuals aged 60 and older who have incomes at or below the official poverty guideline as defined each year by the federal Office of Management and Budget and adjusted by the Secretary of the U.S. Department of Health and Human Services.
b. Shall single–weight for individuals aged 60 and older.
The department shall use the best available population data based on United States census reports to calculate allotments under this subrule.
321—5.7(231) Program allotment calculations.
5.7(1) Title III. The department shall calculate all allotments to AAA based on the result obtained in rule 5.6(231).
5.7(2) NSIP. AAA will receive a portion of the NSIP allotment to the state based on the proportion of an area’s eligible meals related to the total of NSIP–eligible meals for all AAA.
5.7(3) Other. The department shall allocate other available funding as defined in each respective program.
5.7(4) Population data. Where applicable, the department shall use population data based on the United States Census to calculate AAA allotments under this chapter. The data shall then be used to calculate allotments for the next fiscal year starting after the data are available.
321—5.8(231) Funding estimates. It is the intent of the department to provide AAA with timely access to all allotments, whether actual or estimated, consistent with an orderly process of area plan revision and amendment. To implement the intent, the following procedures shall be followed:
5.8(1) On or before July 1 of each year, the department shall issue the planning estimate revision reflecting any federal or state awards received by that date and used to estimate any changes to the fiscal year funding allotments beginning on July 1 of that year.
5.8(2) On December 1 of each year, the department shall issue the annual planning estimate which shall reflect the most current federal awards received by that date for use in estimating projected funding allotments to AAA for the next two fiscal years.
5.8(3) On December 1 of each year, the department shall issue revised allotments for the current fiscal year which announce the projected funding available to each AAA.
5.8(4) Funds for which an AAA fails to apply will be allocated to a project consistent with the goals and objectives of the department.
5.9(1) Financial participation.
a. State plan administration. The department shall use its federal allotment for state plan administration to pay not more than 75 percent of the costs of administering the state plan.
b. Area plan administration. An AAA may use its federal allotment to pay not more than 75 percent of the cost of administering an area plan.
c. Area plan services. An AAA may use its federal allotments for supportive, nutrition, and frail elderly services and its state elderly services allotment to pay not more than 85 percent of the costs of these activities.
5.9(2) OAA nonfederal match requirements. The nonfederal match may be either by allowable costs or the value of nonfederal, third–party in–kind contributions.
5.9(3) The 15 percent elderly services match requirement may be met by allowable costs or the value of third–party in–kind contributions from local sources.
5.9(4) Source of nonfederal share.
a. Cash and in–kind match. At least 25 percent of the required minimum nonfederal share of area plan administration and services in each fiscal year shall be in the form of allowable costs of the state or local public agencies, or in the form of in–kind contributions from local public agencies.
b. State match. One–third of the nonfederal share required for federally funded services shall be in the form of state–appropriated funds.
5.9(5) Match deficiency. If a match deficiency is identified regarding the nonfederal share, provisions will be made to rectify the deficiency in the following fiscal year or reduce the amount of funding to a level commensurate with the nonfederal share.
321—5.10(231) Allowable use of federal and state funds for multiyear area plan administration.
5.10(1) Federal funds. The AAA shall not use more than the amount received under subrule 5.5(1) and at least the amount of local match prescribed in subrule 5.9(3) for costs of administration.
5.10(2) State funds. Sums appropriated each fiscal year for AAA administration shall be distributed in equal amounts for each planning and service area to be used as a match for federal administrative funds distributed under rule 5.5(231).
5.11(1) Federal funds. The amount of federal Title III funds which are not expended or obligated for goods and services or both to be provided by the last day of the previous federal budget year shall be available to the department for reallotment.
5.11(2) Unused state funds. If the department determines prior to the end of the fiscal year that an AAA will have unused state funds, the department may reallocate the unused funds to one or more AAA in accordance with demonstrated utilization or by a reallocation method specified in IAPI. The area agencies receiving these reallotted funds shall obligate them by the end of the fiscal year in which they are reallotted.
321—5.12(231) Restriction on delegation of authority to other agencies. The department and area agencies on aging may not delegate to another agency the authority to award or administer funds pursuant to this chapter, except as provided in 321 IAC 4.
321—5.13(231) Records and reports.
5.13(1) The grantee is required to submit all performance and fiscal reports published in the department’s service and fiscal reporting manual or as provided in an IAPI. Reports not received by the established due date shall be considered delinquent.
5.13(2) Recipients of funds from the department shall retain fiscal and programmatic records for not less than three years after the fiscal year in which the expenditure occurred.
321—5.14(231) State reviews and audits.
5.14(1) The audit costs shall be negotiated and paid for by the grantee from the applicable grants.
5.14(2) The department shall provide the grantee with guidelines to be followed by the auditor.
5.14(3) Each AAA shall submit copies of the audit report as directed in the guidelines issued by the department.
321—5.15(231) Acquisition of goods and services.
5.15(1) Authority. The department and the AAA may acquire goods and services as necessary to carry out their responsibilities under the OAA, regulations, state laws or rules by the following methods:
a. Purchase.
b. Lease or rental.
c. Donation.
5.15(2) Suppliers of goods and services may be:
a. Federal, state and local governmental agencies.
b. Public or private nonprofit organizations.
c. Persons as defined in Iowa Code section 4.1(20).
5.15(3) Standards. All acquisitions of goods and services shall be in compliance with federal regulations, 45 CFR §74, August 25, 1994, Administration of Grants, federal law or Iowa law. Where all other factors are equal, preference will be given to Iowa contractors in compliance with state law.
5.15(4) Utilization of small businesses and minority contractors. Positive efforts shall be made to utilize small business and minority–owned business sources for supplies and services.
a. Records shall be maintained for a period of not less than three years following the fiscal year for which the contract was in effect showing names and identification numbers of small business or minority contractors contacted in regard to each contract.
b. This subrule shall not be construed to require the award of contracts that favor small business or minority contractors when this would result in higher cost to the department or the AAA.
5.15(5) Free competition. All acquisition transactions, whether negotiated or advertised, shall be conducted in a manner to provide maximum open and free competition. Special attention shall be given to preventing organizational conflicts of interest or other noncompetitive practices which may restrict or eliminate competition.
5.15(6) Description of goods or service. Purchase, lease or rental invitations for bids or requests for proposals shall be based upon a clear and accurate description of the technical or operational requirements for the requested material, product, or service.
a. The description shall not contain features which unduly restrict competition.
b. “Brand name or equal” descriptions may be used to define the required performance or other unique requirements of a proposed acquisition. When so used, the specific quality, operational or performance features of the name brand which must be met by bidders shall be clearly specified.
c. The invitations for bids shall clearly set forth all requirements that the bidder shall fulfill in order for the bid to be evaluated and accepted.
5.15(7) Appropriate acquisition documents and prohibited costing method. The type of method used (i.e., fixed–price contract, cost reimbursement contract, purchase order, incentive contract, negotiation) shall be appropriate for the particular acquisition and for promoting the best interest of the program involved. The “cost plus a percentage of cost” method of contracting is prohibited.
5.15(8) Bids. To procure goods or services, the department or AAA shall use the following procedures:
a. When the estimated one–year value is equal to or greater than $5,000 but less than $50,000 or when the estimated multiyear aggregate value, including all renewals, is $15,000 or more, but is less than $150,000, the department or AAA, in the department’s or AAA’s sole discretion, shall use either an informal or formal competitive selection process.
b. When the estimated one–year value of the contract is equal to or greater than $50,000 or the estimated value of a multiyear contract in the aggregate, including all renewals, is equal to or greater than $150,000, the department or AAA shall use a formal competitive selection process to procure the goods or services.
c. The requirement to use competitive selection to obtain a provider or supplier applies whether an AAA obtains those services from a public or private entity. If the successful proposal for the service or supplier is from a public entity and the contract is designated as a 28E agreement, the AAA shall not be the initiating agency for that agreement.
5.15(9) Exceptions. Acquisitions may be accomplished through noncompetitive negotiation if it is not feasible to use competitive selection. Contracts may be negotiated under the following circumstances:
a. The item is available only from a single source; or
b. A public exigency or emergency creates an urgency for the item that will not permit delays incident to competitive selection; or
c. The federal grantor agency authorizes noncompetitive selection; or
d. After solicitation of a number of sources, competition is determined inadequate.
When the client of a specific service category has freedom of choice between multiple AAA–authorized service providers, the limitations given above do not apply.
5.15(10) Selection of provider. When bids are obtained, the award shall be made to the bid that is responsive to the requirements of the solicitation and is most advantageous to the item recipient when price and other factors are considered. Any and all bids may be rejected and new bids requested if the bids received are not acceptable.
5.15(11) Methods of advertising. The invitation for bids shall be advertised by two separate publications in the official newspaper(s) designated by the county in which the goods or services are to be furnished. Additional publication in newspapers other than those above is not prohibited. The first publication shall not be less than 30 days prior to the date set for receiving bids. Additional methods of advertising may be used including contacting minority contractors as specified in subrule 5.15(4).
5.15(12) Responsible bidders. Whether obtained through formal advertising or negotiation, contracts shall be made only with responsible suppliers who possess the ability to perform successfully under the terms and conditions of the contract. Consideration shall be given to matters such as contractor integrity, record of past performance, financial and technical resources, or accessibility to other resources necessary for satisfactory completion of the contract.
321—5.16(231) Restrictions for multipurpose agencies designated as AAA. When a multipurpose agency designated as the grantee for an AAA is the single organizational unit serving the designated planning and service area, no grant or contract is permitted between the AAA office and another division, officer or personnel of the multipurpose agency without the express approval of the department.
321—5.17(231) Records—contract administration. The department and AAA shall maintain the following records as applicable:
5.17(1) Records for purchases of more than $50,000 or $150,000 aggregate shall provide at a minimum the following documentation:
a. Copies of publication and other advertising;
b. Minority contractors contacted;
c. Justification for the use of negotiation in lieu of advertising;
d. Basis for selection of supplier;
e. Basis for the price negotiated.
5.17(2) A system for contract monitoring shall be maintained by the department and AAA to ensure supplier compliance with terms, conditions and specifications of the contract and to ensure adequate and timely follow–up as necessary for failure to perform or for any other problem with delivery of goods or services.
5.17(3) All parties utilizing funds from the department and AAA shall maintain records and make reports as required by the terms of the contract to provide for efficient contract administration and monitoring.
5.17(4) All records and reports shall be open to public inspection unless otherwise provided by law.
321—5.18(231) Recapture of funds for facilities.
5.18(1) Recapture from owner. The United States government and the state of Iowa are entitled to recapture the appropriate portion of the funds used by a facility owner for acquisition or construction of a facility used for senior programs or services. The owner shall notify the department in writing if within 10 years after acquisition or within 20 years after construction completion the following circumstances apply:
a. The owner of the facility ceases to be a public or nonprofit agency; or
b. The facility is no longer used for senior activities.
5.18(2) Amount of recapture. The amount recovered under 5.18(1) is that proportion of the current value of the facility equal to the proportion of federal or state funds contributed to the original cost. The current value of the facility is determined by written agreement between the owner of the facility and the federal or state government, or by an action in the federal or district court in the district where the facility is located.
5.18(3) Recapture in leased facility.
a. For a facility no longer leased for senior activities, the department shall recapture a portion of federal and state funds from the lessors of that facility within a period of time equal to one year for every $1,000 of permanent alterations or renovations.
b. Recapture share. The amount recovered under paragraph 5.18(3)“a” shall be the total federal and state funds contributed to the original cost reduced by $1,000 for each year the facility was used for senior programs or services.
321—5.19(231) Property management.
5.19(1) Responsibilities of grantees and suppliers. All grantees or suppliers that use funds received from the department or AAA to purchase equipment or property, including real property, shall maintain appropriate records of all such property.
5.19(2) Transfer upon termination. Upon the termination of the grant or contract period, the grantee or supplier is required to transfer the property back to the department or AAA. The property shall be returned in as near the original condition as possible.
5.19(3) Standards. The standards and guidelines utilized by the department to implement this rule shall be in compliance with U.S. Department of Health and Human Services property management regulations, Administration of Grants, 45 CFR 74, November 4, 1988, unless a higher standard is required by this chapter. Iowa Aging Program Instruction 93–11, dated December 14, 1992, was issued as supplemental guidance to these regulations.
These rules are intended to implement Iowa Code chapter 231.
[Filed 5/20/82, Notice 3/17/82—published 6/9/82, effective 7/14/82]
[Filed 10/19/84, Notice 8/15/84—published 11/7/84, effective 12/12/84]*
[Filed emergency 1/11/85—published 1/30/85, effective 1/11/85]
[Filed 11/27/85, Notice 10/9/85—published 12/18/85, effective 1/22/86]
[Filed 5/16/86, Notice 12/18/85—published 6/4/86, effective 7/9/86]
[Filed 5/30/86, Notice 3/12/86—published 6/18/86, effective 7/23/86]
[Filed 5/1/87, Notice 2/25/87—published 5/20/87, effective 6/24/87]**
[Filed emergency 8/20/87—published 9/9/87, effective 9/2/87]
[Filed 12/6/91, Notice 6/12/91—published 12/25/91, effective 1/29/92]
[Filed 4/3/92, Notice 2/19/92—published 4/29/92, effective 6/3/92]
[Filed 3/23/93, Notice 11/11/92—published 4/14/93, effective 5/19/93]
[Filed 11/5/93, Notice 9/15/93—published 11/24/93, effective 12/29/93]
[Filed 11/3/95, Notice 8/16/95—published 11/22/95, effective 12/27/95]
[Filed emergency 2/15/02 after Notice 1/9/02—published 3/6/02, effective 2/15/02]
[Filed 2/21/06, Notice
11/23/05—published 3/15/06, effective 5/1/06]
chapter 6
AREA AGENCY ON AGING PLANNING AND ADMINISTRATION
[Prior to 5/20/87, see Aging, Commission on the[20] Ch 5]
321—6.1(231) Definitions. Words and phrases as used in this chapter are as defined in 321 IAC 1 unless the context indicates otherwise. The following definitions also apply to this chapter:
“Access” or “access services” means case management, transportation, outreach, information and assistance.
“Entrepreneurial activities” means the manufacturing, processing, selling, offering for sale, renting, leasing, delivering, dispensing, distributing or advertising of goods or services for profit; or a contract or agreement that an AAA will provide specific named service(s) for third–party payees.
“Priority services” means access, in–home and legal assistance services.
6.2(1) Area plan. Each AAA shall develop and administer an area plan.
6.2(2) Duration and format of the area plan.
a. The area plan shall be for the four–year period specified by the department, with annual updates.
b. Uniform area plan format. All AAA shall submit an area plan or plan amendment to the department in accordance with the uniform area plan format, other instructions issued by the department, this chapter, and the federal Act.
6.2(3) Comprehensive and coordinated delivery system. The multiyear area plan shall provide for the development of a comprehensive and coordinated service delivery system for all supportive and nutrition services needed by elders in the planning and service area to:
a. Facilitate access to and utilization of all existing services; and
b. Develop supportive and nutrition services effectively and efficiently to meet the needs of elders.
6.2(4) Requirements. An area plan shall provide for a comprehensive and coordinated service delivery system as defined in:
a. The federal Act;
b. Older Americans Act Title III Regulations; Code of Federal Regulations, Title 45, Volume 4, Part 1200 (45 CFR 1321);
c. This chapter;
d. IAPI issued by the department.
6.2(5) Plan content. The area plan shall, at a minimum, contain the following information:
a. Assurance that the AAA agrees to abide by the requirements of the federal Act and all other applicable laws and rules; and
b. Objectives and budget for each year of the designated four–year period and methods to obtain those objectives; and
c. Client estimates. Area agencies shall estimate the number of elders with the characteristics identified in Form 3 A 1 of an IAPI.
6.2(6) Area plan amendments and revisions.
a. Amendments. The AAA shall amend the area plan and submit it to the commission for approval when:
(1) A new or amended state or federal statute, rule or regulation requires new information or conflicts with any existing plan provisions;
(2) A United States Supreme Court decision changes the interpretation of a statute or rule;
(3) Local law, organization, policy or agency operations change and are no longer accurately reflected in the area plan;
(4) The department requires amendments;
(5) The grantee proposes to change the designation of the single organizational unit or component unit responsible for programs under the federal Act or state law; or
(6) The area agency proposes to add or delete a service category.
b. Revision. The AAA may be required to revise the plan and submit it to the department for approval if:
(1) A department funding source to the area agency changes; or
(2) A program requirement changes.
6.2(7) Procedures for area plans, plan amendments and revisions.
a. Public hearing(s). The AAA shall hold at least one public hearing on the area plan and all plan amendments as required in this chapter. Priority services shall appear as a distinct agenda item for any hearing.
(1) The public hearing(s) shall be held prior to submission of the area plan or amendment(s) at a time which permits elders, public officials, and other interested parties reasonable opportunity to participate. The hearing(s) shall be held at a barrier–free, fully accessible location.
(2) The AAA shall advertise the hearing by sending notice to all known groups of elders, PSA public officials, and other interested parties. The AAA shall also publish a notice in the official newspapers as designated for each county served by the PSA. The notice shall include the time, date, and location of the public hearing.
b. Review and comment by the advisory council.
(1) The AAA shall submit the area plan, amendments and revisions for review and comment to the AAA advisory council.
(2) The official representative of the AAA shall sign the plan, amendment or revision to signify that the AAA has completed all of the requirements of this chapter. The AAA shall then submit the area plan, amendment or revision to the department for review.
6.2(8) Commission review. Plans and plan amendments may be approved by the commission after they have been processed in accordance with the process given in this chapter. Revisions may be approved by the department after they have been processed in accordance with the process given in this chapter.
6.2(9) Appeals. Any person may appeal a denial of approval of an area plan, plan amendment or revision as provided in 321 IAC 4.
6.2(10) Area profile. Each AAA shall submit to the department a profile in accordance with the time frame and procedures as issued in department IAPI. The profile shall contain, but not be limited to, the following AAA information:
a. Affirmative action plan;
b. Table of organizational structure;
c. Inventory of nutrition sites and senior centers;
d. Listing of the area agency’s designated community focal points; and
e. Listing of the officers of the AAA board of directors.
321—6.3(231) Area agency administration.
6.3(1) Full–time director. The AAA shall employ a qualified full–time director and may employ other staff as necessary to manage and monitor the area plan.
6.3(2) Director’s responsibility. It is the responsibility of the AAA director to:
a. Ensure that all AAA duties as outlined in the federal Act, state law, this chapter and other rules promulgated by any agency having jurisdiction are performed;
b. Develop the area plan;
c. Implement organizational operations;
d. Budget for services and operations;
e. Coordinate implementation of services; and
f. Monitor and evaluate services.
6.3(3) Discrimination. The AAA shall offer equal opportunities for employment or promotion to all employees and to applicants who meet the qualifications of the open position. Discrimination against any person because of gender, race, national origin, age, political affiliation, creed, color, religion, physical or mental disability, or other nonmerit factors is prohibited during any aspect of personnel administration and during employment.
6.3(4) Affirmative action plans. Each AAA shall develop an employment affirmative action plan which shall be submitted as part of the profile required in this chapter. All affirmative action plans shall comply with the requirements as given in IAPI.
6.3(5) Training and development requirements. Each AAA shall have a plan and procedures that will support a broad program of staff development activities to ensure training of volunteers, paid personnel and providers of services to Iowa’s elder population.
321—6.4(231) Confidentiality and disclosure of AAA information.
6.4(1) Confidentiality. AAA shall implement procedures to ensure that no information in possession of an AAA, or an entity providing services under programs funded by the department, is disclosed in a form identifiable with an individual without that individual’s informed consent regardless of the source of the information.
6.4(2) Public accessibility to manuals, guidelines, and standards. Copies of all manuals, guidelines, and standards referred to by these rules shall be maintained by the AAA and available for public inspection.
321—6.5(231) AAA contact information. Information on how to contact the appropriate AAA office may be obtained by sending a request to the Department of Elder Affairs, Jessie Parker Building, 510 East 12th Street, Suite 2, Des Moines, Iowa 50319; or by telephone at (515)725–3333; or by visiting the department’s Web site www.state.ia.us/elderaffairs/.
6.6(1) General. Each AAA shall fulfill the AAA duties specified in the federal Act, Iowa Code section 231.33 and this chapter. AAA shall:
a. Carry out functions related to advocacy, planning, coordination, interagency linkages, information sharing, brokering, monitoring and evaluation designed to lead to and maintain a comprehensive and coordinated community–based system. This system shall serve the PSA so that elders may lead independent, meaningful and dignified lives in their own homes and communities for as long as possible;
b. Strive to offer a range of services which are readily accessible to all elders by utilizing public, private and voluntary entities and personal resources of the client;
c. Encourage collaborative decision making among public, private, voluntary, religious and fraternal organizations, as well as elders;
d. Assist in determining and providing special assistance or resources to the most vulnerable elders who are in danger of losing their independence; and
e. Perform all functions as delineated in the area plan.
6.6(2) Additional duties include:
a. Attempt to involve the private bar and legal services corporation in the PSA in legal assistance activities;
b. Submit all reports in accordance with IAPI of the department;
c. Coordinate AAA activities with mental health services provided by community health centers and other nonprofit private or public organizations;
d. Compile and summarize information on institutions of higher education in the PSA which offer courses of study to elders at a no– or reduced–tuition rate and disseminate the information to elders at their gathering places;
e. Seek out elders who may be eligible to receive Supplemental Security Income benefits under Title XVI of the Social Security Act, medical assistance under Titles XVIII and XIX of the Social Security Act, and benefits under the Food Stamp Act of 1977. The AAA shall provide information on the requirements for eligibility to receive these benefits and assist in applying for appropriate assistance and benefits;
f. Coordinate planning by individuals, agencies and organizations interested in the prevention of abuse, neglect and exploitation of elders and assist in implementation of educational and awareness activities, in coordination with the long–term care resident’s advocate program;
g. Coordinate planning with other agencies and organizations to provide health promotion activities for elders.
321—6.7(231) AAA board of directors.
6.7(1) Each designated AAA shall establish a board of directors in accordance with its individual articles of incorporation and bylaws.
6.7(2) The AAA board membership shall be representative of the geographic planning and service area.
6.7(3) Each AAA board of directors shall have board nominating and election procedures specified in its bylaws.
6.7(4) Each AAA shall specify in its bylaws the scope, function and responsibilities of the board, board committees and individual board members.
6.7(5) Each AAA shall provide an orientation process for newly elected board members that includes, at a minimum, the scope, function and responsibilities of the AAA and the responsibilities of the board, board committees and individual board members.
6.7(6) The department shall provide a minimum of four hours of training annually to AAA board members.
6.7(7) The AAA board of directors shall comply with Iowa Code chapter 504, “Revised Iowa Nonprofit Corporation Act.”
321—6.8(231) AAA advisory council.
6.8(1) Member requirements. The AAA shall establish an advisory council composed of members, at least one–half of whom are aged 60 and older, which shall include:
a. Recipients of services under the Act, including minority elders and elders residing in rural areas;
b. Representatives of elders;
c. Current local elected officials;
d. The general public;
e. Representatives of health care provider organizations, including providers of veterans’ health care, if appropriate;
f. Representatives of supportive and nutrition service providers; and
g. Persons with leadership experience in private and volunteer sectors.
6.8(2) Duties. It shall be the specific responsibility of the advisory council to advise the AAA and:
a. Advocate for elders in the PSA by keeping informed of all activities and proposals concerning the elders;
b. Review and make recommendations on the content, formulation, administration and priorities of the area plan and participate in public hearings on the area plan;
c. Serve as an information link between the AAA and providers of services to elders in the PSA;
d. Review and comment on community policies, programs and actions which affect elders;
e. Assist in generating local support for development of programs for elders in the area.
6.8(3) Frequency of meetings. The AAA advisory council shall meet at least quarterly.
6.8(4) Staff support. The AAA shall provide staff and assistance to the AAA advisory council.
6.8(5) Bylaws. The AAA advisory council bylaws shall contain at least the basic bylaws: name, purpose, members, officers, meetings, committees, parliamentary authority and procedure for amendment of bylaws. The bylaw on membership shall include, but is not limited to, the number of, selection process and length of terms for members.
321—6.9(231) Emergency situations.
6.9(1) Prior to and after a natural disaster or other safety–threatening situation, each AAA shall plan and coordinate with other public and private entities for safe and timely continuity of service and the restoration of normal living conditions for elders. This shall include:
a. Alerting elders of the impending danger;
b. Assessing the needs of elders after the event occurs; and
c. Ensuring that identified needs are met through collaboration with other agencies.
6.9(2) To further this purpose, each AAA shall:
a. Include in the procedures manual established as required in this chapter procedures to respond to emergency or disaster situations;
b. Include in the development and training plan methods of training for staff, contractors, and other interested parties in response to emergency or disaster situations; and
c. Include in subgrants or contracts provisions for responding to emergency or disaster situations including, but not limited to, shifting funds from one activity to another or from one contractor to another.
6.9(3) Services. As a part of emergency response, the AAA may plan, coordinate and provide services funded under other programs consistent with responsibilities of an AAA.
321—6.10(231) AAA procedures manual. A procedures manual shall be developed and kept current by the AAA. The manual shall, at a minimum, establish procedures to be followed in:
6.10(1) Establishing and maintaining information and assistance availability to ensure that elders within the PSA will have convenient access to services;
6.10(2) Conducting periodic evaluations, which may include participant satisfaction surveys of activities carried out under the area plan;
6.10(3) Furnishing appropriate technical assistance to providers of supportive services, nutrition services, or multipurpose senior centers;
6.10(4) Establishment of a request for proposal process that includes methods of selection of providers and methods for award of grants or contracts under the area plan, including stipulations that all subcontractors or subgrantees comply with all applicable local, state and federal laws, rules or regulations, and, if applicable, all requirements for nonprofit entities;
6.10(5) Resolving complaints by any aggrieved party directly affected by an action or omission of the AAA. AAA appeal procedures shall be in compliance with the relevant federal and state statutes, regulations and rules and shall contain at least the following procedures and time frames for complaint resolution:
a. Acknowledgment of the complaint;
b. Process for attempting to informally resolve the complaint;
c. Time frame for sending a hearing notice;
d. Process for holding a hearing;
e. Notification of the outcome of the hearing;
f. Appeal to the next higher authority;
6.10(6) Ensuring confidentiality, so that no information about or obtained from an elder is disclosed in a form that identifies the person without the person’s informed consent;
6.10(7) The assessment and monitoring methods for programs and subcontracts funded by the AAA. This shall include documentation of quarterly monitoring of performance and on–site assessment and report at least annually;
6.10(8) Response to emergency or disaster situations;
6.10(9) Development of methods by which priority for delivery of services is determined;
6.10(10) Obtaining comments or suggestions from recipients about services provided by the AAA;
6.10(11) Determination of an individual’s eligibility for home–delivered nutrition services, including specific criteria established by the AAA for:
a. Initial and subsequent six–month assessments of the individual’s eligibility for home–delivered meals;
b. Determination of the number of days per week the individual has a need for home–delivered meals;
c. Determination of the individual’s need for other home–delivered nutrition services;
6.10(12) Assurance that any facility housing a service will fully comply with all current federal, state or local health, fire, safety, sanitation, accessibility and licensure requirements;
6.10(13) Methods of monitoring service providers to ensure their performance is in accordance with terms, conditions and specifications for funding, including length of funding period, and the use of project income and methods of providing service;
6.10(14) If appropriate, offering a meal to individuals providing volunteer services during meal times on the same basis as meals are offered to eligible individuals;
6.10(15) Offering a meal to nonelderly individuals with disabilities who reside at home with and accompany eligible elders to a meal site;
6.10(16) Offering home–delivered meals to nonelderly individuals with disabilities when their elderly caregiver is eligible for a home–delivered meal;
6.10(17) Increasing public education and awareness in the prevention of abuse, neglect and exploitation of elders;
6.10(18) Identifying the public and private nonprofit entities involved in the prevention, identification, and treatment of abuse, neglect, and exploitation of elders and determining methods to respond to the needs of elders at risk; and
6.10(19) Offering health promotion activities and information to eligible individuals.
321—6.11(231) Contracts and subgrants.
6.11(1) A contract or agreement between an AAA and a provider of a specific service in the PSA shall not restrict the AAA from contracting with other provider(s) of similar services.
6.11(2) Contract file. AAA shall maintain a file of all current contracts with service–providing agencies or organizations. These files shall be made available for monitoring and assessment by the department.
6.11(3) Contracts with for–profit organizations. An AAA must request prior approval from the department of any proposed service contracts with for–profit organizations under an area plan.
a. A separate approval request, using the request form provided by the department, shall be filed for each contract between the AAA and a provider for a service that is proposed to be delivered by a for–profit organization.
(1) The request for approval shall be submitted to the department at least 30 days prior to the signing of the contract.
(2) All applicants to provide services for which the contract is proposed shall be listed on the request form.
b. The department may approve the contracts only if the AAA demonstrates that the for–profit organization can provide services that are consistent with the goals of the AAA as stated in the area plan.
c. Services shall mean the services described in the uniform definitions of services contained in IAPI issued by the department.
6.12(1) An AAA must submit a request to provide direct service as part of the area plan. The request may be approved by the department based on documentation of the criteria given in subrule 6.12(3). The following services may be furnished directly by the AAA and are exempt from the requirements in subrule 6.12(3):
a. Information and assistance;
b. Outreach;
c. Case management;
d. Advocacy representation;
e. Public education;
f. Employment services;
g. Mental health outreach;
h. Coordination of efforts concerning the prevention of elder abuse.
6.12(2) Public hearing. Prior to the submission of the area plan, the AAA shall hold a public hearing to obtain comments regarding direct service(s) planned by the AAA. This hearing may be held separately or as a part of the hearing for the area plan.
a. Notice of the hearing shall be published at least 30 days prior to the hearing and shall specify the direct service(s) which the AAA plans to provide.
b. The AAA shall prepare and submit to the department a written record of the public hearing.
6.12(3) Criteria. The commission may approve an AAA request to provide direct service.
a. Approval will be based upon documentation of the following as submitted by the AAA:
(1) Direct provision of service is necessary to ensure an adequate supply of the service, and no potential provider was identified during the public hearing process; or
(2) The proposed service will be of comparable quality in the view of the AAA advisory council, and will meet or exceed service standards developed by the AAA; and
(3) The AAA can provide a service of equal quality at lower cost than another provider.
b. The department may consider other factors including:
(1) The demonstrated capacity of the AAA to deliver services consistently and reliably;
(2) The economic impact of transition from a contract provider to the AAA;
(3) Consideration of any possible disruption of service;
(4) Input from the AAA advisory council; and
(5) Comments from the public.
6.12(4) Conditional approval. If the criteria for approval of a request to provide direct services are not met, a condition may be placed on the area plan approval.
321—6.13(231) Noncompliance. When an AAA’s performance in any service does not meet the standards set by the department, the department shall initiate the procedure outlined in 321 IAC 4.
321—6.14(231) Priority service expenditures.
6.14(1) An AAA shall spend a specified percentage of its supportive services allotment on priority services, excluding the amount of federal funds used for administration. Funds shall be spent in each of the following priority service categories in at least the minimum percentage most recently determined by the commission:
a. Access services as defined in this chapter – 10 percent;
b. In–home services – 5 percent; and
c. Legal assistance – 3 percent.
6.14(2) Public hearing. The hearing on the area plan shall include the priority services and priority services requirement as a distinct agenda item with a specific time set for the beginning of that portion of the hearing.
a. Discussion at the hearing shall include the level of priority services being provided by all other agencies.
b. Record of the public hearing. The AAA shall prepare a written record of the hearing.
321—6.15(231) Waivers of priority service expenditures.
6.15(1) An AAA shall request a waiver from the priority service expenditures in 321—subrule 5.3(3) if it does not propose sufficient funding to allow elders to have convenient access to a service. The waiver request shall be submitted with the plan or plan amendment pursuant to applicable procedures under 321 IAC 11.
6.15(2) The commission, in approving an area plan or a plan amendment, may, upon recommendation of the director, waive the requirement of rule 6.14(231) for any category of service for which the AAA demonstrates the following:
a. That the services being furnished by other providers meet the needs of elders in the PSA for that category of service; or
b. That the AAA has made every reasonable effort to meet the need for a specific category of service.
321—6.16(231) Requirements for service providers.
6.16(1) Contributions. The AAA shall consult with the relevant service providers and elders in the PSA to determine the best method for accepting voluntary contributions. As established by contract with the AAA, each service provider, including an AAA providing direct service, shall:
a. Provide each elder with a voluntary opportunity to contribute to the cost of the service by displaying a suggested contribution schedule that takes into consideration income ranges of eligible individuals in local communities;
b. Clearly inform each recipient that there is no obligation to contribute and that the contribution is purely voluntary;
c. Protect the privacy and confidentiality of each elder with respect to the person’s contributions;
d. Utilize appropriate procedures to safeguard and account for all contributions against loss, mishandling or theft by obtaining bonding for all employees and volunteers in accordance with instructions issued by the department in an IAPI;
e. Use all contributions to expand the service for which such contribution is given. Nutrition service providers shall use all contributions to increase the number of meals served.
6.16(2) Failure to contribute. A provider that receives department funds may not deny any elder a service because the person will not or cannot contribute to the cost.
6.16(3) Obtain views of elders. Each provider shall utilize procedures determined by the AAA for obtaining the views of participants about the services they receive. A report of procedures utilized and findings shall be issued by the AAA within six months of the signing of the contract.
6.16(4) Seek other sources of funding. Prior to requesting Title III funding, service providers shall demonstrate efforts to seek funds from other federal, state, and local sources.
6.16(5) Compliance by service providers. The AAA shall incorporate in its contract with each service provider an assurance that funds are used in compliance with federal guidelines.
321—6.17(231) Entrepreneurial activities of AAA. An AAA considering entrepreneurial activities must carefully examine the activity to ensure compatibility with its designation as an AAA. The following shall apply to all AAA, unless otherwise prohibited by statute, rule or order:
6.17(1) Demonstrated need—use of funds. AAA may engage in entrepreneurial activities if the activity is in response to a demonstrated need and the funds raised by such activities are used for one of the following purposes:
a. To further extend services and opportunities for elders; or
b. To fund new services and opportunities for elders provided that these services or opportunities are compatible with the AAA functions and goals.
6.17(2) Restrictions. An AAA shall not use funds received from the department in connection with entrepreneurial activities.
a. Entrepreneurial activities shall not be undertaken until they have been reviewed by the advisory council and approved by the AAA governing board.
b. An AAA that engages in entrepreneurial activities shall not create the impression that the activity is being carried on under governmental authority.
c. Funds received as a result of entrepreneurial activities shall be monitored and accounted for according to generally accepted accounting and auditing practices commensurate with the activities.
d. Entrepreneurial activities shall be pursued only if the duties and responsibilities required of AAA in this chapter are consistently provided by the AAA in a capable manner.
e. Entrepreneurial activities shall benefit all eligible persons in the PSA, particularly elders in the greatest economic and social need and low–income minority persons.
6.17(3) Department review.
a. An AAA shall inform the department in writing not less than 160 calendar days prior to the initiation of an entrepreneurial activity of an ongoing nature. The notification shall describe the proposed activity, proposed source of funds, and the needs being addressed.
b. The department shall respond in writing within 30 calendar days to acknowledge receipt of the information, request clarification, or request a delay in implementation. For informational purposes, the department shall provide a copy of the response to the commission.
c. An AAA that receives no response from the department within 30 days may assume that no additional submission of information is required.
d. If unresolved issues remain after 60 calendar days of receipt of the information, the commission will be informed of those issues at the next commission meeting.
6.17(4) Commission or department action. An AAA contracting for entrepreneurial activities shall:
a. Provide the contract to the department for review prior to signing; and
b. Include the activities in the area plan, plan amendments or revisions; and
c. Require a minimum payment from the contractor to fully cover all costs of the activity, including overhead and administrative costs, to eliminate the possibility of use of Title III funds.
6.17(5) Community interest.
a. Entrepreneurial activities pursued by an AAA and groups or organizations funded by an AAA shall not have, nor present appearance of, conflict of interest.
b. An AAA shall work cooperatively with community leaders, groups and organizations in order to participate in entrepreneurial activities.
321—6.18(231) Severability. Should any rule, subrule, paragraph, phrase, sentence or clause of this chapter be declared invalid or unconstitutional for any reason, the remainder of this chapter shall not be affected thereby.
These rules are intended to implement Iowa Code chapter 231.
[Filed 5/20/82, Notice 3/17/82—published 6/9/82, effective 7/14/82]
[Filed 5/1/87, Notice 2/25/87—published 5/20/87, effective 6/24/87]*
[Filed emergency 8/20/87—published 9/9/87, effective 9/2/87]
[Filed 4/25/89, Notice 7/27/88—published 5/17/89, effective 6/21/89]
[Filed 4/26/90, Notice 2/21/90—published 5/16/90, effective 6/30/90]
[Filed 2/1/91, Notice 11/28/90—published 2/20/91, effective 3/27/91]
[Filed without Notice 1/13/92—published 2/5/92, effective 3/11/92]
[Filed 6/26/92, Notice 4/1/92—published 7/22/92, effective 8/26/92]
[Filed 11/5/93, Notice 9/15/93—published 11/24/93, effective 12/29/93]
[Filed 2/21/06, Notice 11/23/05—published 3/15/06, effective 5/1/06]
[Filed 8/9/06, Notice 6/7/06—published 8/30/06, effective 10/4/06]
[Filed 6/12/08, Notice
3/26/08—published 7/2/08, effective 8/6/08]
chapter 7
AREA AGENCY ON AGING SERVICE DELIVERY
[Prior to 5/20/87, see Aging, Commission on the [20] Ch 8]
321—7.1(231) Definitions. Words and phrases as used in this chapter are as defined in 321 IAC 1 unless the context indicates otherwise. The following definitions also apply to this chapter. The appearance of an acronym after a defined term indicates that the definition was taken from that source.
“Child” means an individual who is 18 years of age or younger.
“Family caregiver” means an adult family member or another individual who is an informal provider of in–home and community care to an elder.
“Grandparent or elder who is a relative caregiver” means a grandparent or stepgrandparent of a child or a relative of a child by blood or marriage, who is 60 years of age or older and:
1. Lives with the child;
2. Is the primary caregiver of the child because the biological or adoptive parents are unable or unwilling to serve as the primary caregivers; and
3. Has a legal relationship to the child such as legal custody or guardianship or is raising the child informally.
“Legal assistance” means legal advice and representation provided by an attorney to elders with economic or social needs and, to the extent feasible, includes counseling or other appropriate assistance by a paralegal or law student under the direct supervision of an attorney and counseling or representation by a nonlawyer where permitted by law.
“Multipurpose senior center” (OAA) means a community facility for the organization and provision of a broad spectrum of services, which shall include, but not be limited to, provision of health (including mental health), social, nutritional, and educational services and the provision of facilities for recreational activities for elders.
“Nutrition Services Incentive Program” or “NSIP” means the Nutrition Services Incentive Program established under the OAA.
“Site” means a facility designated for provision of congregate meals or other nutrition–related services.
“Therapeutic menu” means a soft, low–fat, low–sodium, or controlled calorie menu.
321—7.2(231) Service delivery. If the requirements of 321 IAC 6 are met, each AAA may contract for service delivery or provide services directly. All applicable terms, procedures and specifications of the department shall be followed contingent upon the source of funding under the Act. At a minimum, the contract for nutrition services shall include nutrient requirements for meals; food safety, including time limits for transporting food; use of project income; length of contract; cost per unit; participant evaluation surveys as available; and performance requirements to ensure accountability and monitoring.
321—7.3(231) Outreach for greatest need. Each AAA shall conduct outreach efforts to identify the elders with greatest economic or social needs and to inform the elders of the availability of services. The outreach efforts shall place special emphasis on rural, low–income, minority and American Indian elders.
321—7.4(231) Delivery of service.
7.4(1) Facility and focal points. Each AAA shall designate a focal point for a comprehensive and coordinated system of services in each served community, giving special consideration to the designation of multipurpose senior centers that currently or potentially can accommodate the collocation of services, where feasible.
7.4(2) Focal points. The area profile submitted by the AAA as required in 321 IAC 6 shall specify the communities and facilities which are designated as focal points.
7.4(3) In the designation of focal points, the AAA shall consider:
a. Communities with the greatest incidence of elders with the characteristics as given in 7.3(231) and the efforts of voluntary organizations in the community;
b. The needs of participants and the delivery pattern of services funded under the Act and from other sources;
c. The location of current multipurpose senior centers and congregate nutrition sites;
d. The geographic boundaries of communities and natural neighborhoods; and
e. The location of facilities suitable for designation.
7.4(4) Developing collocation of services at the focal point. The AAA shall:
a. Encourage service providers to coordinate and collocate their services;
b. Coordinate with public and private agencies, institutions and elected officials in the community to achieve maximum collocation, coordination, and access to other services or opportunities for the elderly;
c. Ensure that information and referral and emergency service programs are provided;
d. Ensure that services funded under the Act will be based at, linked to, or coordinated with focal points; and
e. Establish guidelines for operating schedules which are convenient for elders in the community.
321—7.5(231) Funding for services and program facilities.
7.5(1) The AAA may distribute funds received from the department to a public or private nonprofit agency for construction, acquisition, remodeling, leasing or renovation of a facility, including a mobile facility, to be a focal point for providing programs or services.
a. In distributing these funds, the AAA shall obtain the approval of the commission before contracting for the construction of a facility.
b. The commission may approve the construction of a facility after considering the views of the AAA and reviewing material from the AAA that documents that there are no suitable facilities available to be a focal point for service delivery.
7.5(2) The AAA may make an award for purchasing or constructing a facility:
a. If there are no suitable facilities for leasing;
b. If the AAA’s budget shows that sufficient funds are or will be available;
c. To meet the nonfederal share of the cost of purchase or construction of the facility;
d. For effective use of the facility for the purpose for which it is being acquired or constructed;
e. To pay the cost of professional and technical personnel required for the operation of facilities used to provide services to elders under the cost–share terms and conditions set by the department.
7.5(3) Shared facilities. In a facility that is shared with other age groups, funds received from the Act may support only:
a. That part of the facility used by older persons; or
b. A proportionate share of the costs based on the extent of use of the facility for services or programs for the elder individuals.
321—7.6(231) Compliance with health, safety and construction requirements. A recipient of any award from the department for a facility housing a program or service shall comply with all applicable state and local health, fire, safety, accessibility, building, zoning, and sanitation laws, ordinances and codes including:
1. Rules of the state fire marshal adopted pursuant to Iowa Code chapter 17A, which apply to the occupancy type of the facility;
2. Applicable requirements for accessibility of the facility to persons with disabilities, including but not limited to provisions of the state of Iowa building code, the federal Americans with Disabilities Act, federal Fair Housing Act and related regulations; and
3. Provisions of any local building code in force in the jurisdiction in which the facility is located and any provisions of the state of Iowa building code which apply statewide. If the facility is located in a jurisdiction in which no local building code is in force, the facility shall comply with the state of Iowa building code in its entirety.
321—7.7(231) Term of use of an acquired or constructed facility. A recipient of funds under the Act that uses these funds for the acquisition or construction of a facility housing a program or service shall comply with the requirements of the Act and other applicable federal requirements regarding the term of use of such facility.
7.8(1) Membership fees. Payment of a membership fee shall not be required of participants in programs and services offered in facilities that receive or have received funds under the Act.
7.8(2) Sectarian use of a facility prohibited. A facility altered, renovated, acquired, leased or constructed using funds under the Act shall not be used for sectarian instruction or as a place for religious worship.
321—7.9(231) Information and assistance services.
7.9(1) The AAA shall provide for information and assistance services sufficient to ensure that all elders within the PSA have convenient access to the services.
7.9(2) English not principal language. In a PSA in which 3 percent of the elder population does not speak English as the principal language, the service provider must provide information and assistance services in the language spoken by elders.
321—7.10(231) Legal assistance requirements. The provisions and restrictions in this rule apply only to legal assistance providers and only when they are performing tasks covered by Section 307(a)(11) of the Act.
7.10(1) Provider requirements. The AAA shall award funds to the legal assistance provider(s) that most fully meets the standards given in this rule. The legal assistance provider(s) shall:
a. Have staff with expertise in specific areas of law affecting elders with economic or social needs and give priority to issues related to income, health care, long–term care, nutrition, utilities, housing, protective services, abuse, neglect, age discrimination and defense of guardianship;
b. Demonstrate the capacity to provide effective administrative and judicial representation in the areas of law affecting elders with economic or social needs;
c. Demonstrate the capacity to provide support to other advocacy efforts, for example, the long–term care resident’s advocate program or elder abuse initiatives programs;
d. Demonstrate the capacity to deliver legal services to institutionalized, isolated, and homebound elders effectively;
e. Demonstrate the capacity to provide legal assistance in the principal language spoken by clients in areas where a significant number of clients do not speak English as their principal language; and
f. Coordinate the provision of legal assistance with private bar attorneys and legal services corporation state grantees.
7.10(2) Client income disclosure. A legal assistance provider shall not require an elder to disclose information about income or resources as a condition for providing legal assistance under this rule.
7.10(3) Client information. A legal assistance provider may ask about an elder’s financial circumstances only as a part of the process of providing legal advice or counseling and representation, or for the purpose of identifying additional resources and benefits for which an elder may be eligible.
7.10(4) Assistance allowed. Nothing in this rule is intended to prohibit an attorney or staff attorney from providing any form of legal assistance or to interfere with the fulfillment of the attorney’s professional responsibilities.
7.10(5) Provider compliance with OAA regulations. The legal assistance provider and its attorney(s) and employee(s) shall comply with all federal and state laws, regulations and rules which govern ethical and professional conduct and the practice of law.
7.10(6) An AAA shall not require a provider of legal assistance to reveal information protected by attorney–client privilege.
7.10(7) The department will be responsible for the following:
a. Providing for the coordination of the furnishing of legal assistance to elders within the state;
b. Providing advice and technical assistance in the delivery of legal assistance to elders within the state;
c. Supporting the provision of training and technical assistance for legal assistance for elders; and
d. Assigning personnel, one of whom shall be known as a legal assistance developer, to provide state leadership in developing legal assistance programs for elders throughout the state.
321—7.11(231) Disease prevention and health promotion under Title III–D of the Act. AAA shall use Title III–D funds to provide disease prevention and health promotion services and information at multipurpose senior centers, at congregate meal sites, through home–delivered meals programs or at other appropriate sites.
321—7.12(231) Nutrition services.
7.12(1) Purposes of the program. The purposes of the nutrition services program are to:
a. Provide meals and other nutrition–related services, including outreach and education to elders;
b. Provide information and referral services, health and human service counseling, recreation activities, and access to nutrition services to participants when services are needed; and
c. Provide activities of interest to elders on each day the congregate meal site is open including a monthly nutrition education program under the supervision of a licensed dietitian if the nutrition education provides medically oriented information.
7.12(2) Assessment of need. The AAA shall determine the best location for nutrition services within the planning and service area at least once during the long–range plan development cycle. The needs of the community will be considered in determining the locations for nutrition services.
7.12(3) Inspection of congregate nutrition sites. All congregate nutrition sites shall be inspected by the department of inspections and appeals and shall have a current food service establishment (restaurant) license posted in the congregate nutrition site.
7.12(4) The AAA shall ensure that nutrition funds are used to:
a. Provide at least one meal per day in a congregate nutrition site or provide home–delivered meals based upon a determination of a participant’s need.
b. Provide other nutrition services to ensure that the maximum number of eligible elders, with emphasis on the frail, those with greatest social and economic need, and the isolated, shall have the opportunity to participate.
c. Provide nutrition screening and counseling as appropriate and nutrition education services to address assessed needs.
7.12(5) Food assistance program. The AAA and nutrition services providers shall assist participants in taking advantage of benefits available to them under the food assistance program by providing current information to participants in both the congregate and home–delivered meals programs. Nutrition services providers shall be certified to accept food assistance as contributions for meals.
7.12(6) Licensed dietitian. Each AAA must utilize the services of a licensed dietitian to provide technical assistance in nutrition program management and to ensure that the project provides meals that comply with the RDA/AI.
7.12(7) The AAA shall develop procedures to:
a. Ensure that food service personnel, both paid and volunteer, conform to hygienic food handling techniques and to standards given in the current edition of “Center for Food Safety and Applied Nutrition—Food Code” published by the U.S. Food and Drug Administration;
b. Provide for ongoing training on safety, hygienic food handling and sanitation for both volunteer and paid food service personnel;
c. Ensure that food service personnel, both paid and volunteer, are provided with job descriptions and standards of performance which shall be evaluated annually; and
d. Regulate the use of foods remaining after serving at congregate meal sites.
321—7.13(231) AOA NSIP programs.
7.13(1) The AAA shall have an agreement with the department to receive commodities, cash or a combination of commodities and cash.
7.13(2) The department shall allocate all food, cash or the combination of food and cash received from AOA to AAA based on each AAA’s proportion of the total number of meals served to eligible recipients in the state.
7.13(3) The AAA shall comply with the requirements of 7 CFR §250, June 3, 1988, for participation in the AOA program.
7.13(4) AAA electing to receive commodities shall maintain perpetual inventories of all commodities at each site and storage area and must submit an areawide inventory at least quarterly to the department within 30 days after the reporting period.
7.13(5) AAA shall comply with provisions of state laws regarding safe and sanitary handling of food, equipment and supplies. Nutrition services providers shall accept and use foods made available by AAA.
7.13(6) Commodities shall be consumed as food only and shall not be sold, exchanged, traded, transferred, destroyed, or otherwise disposed of for any reason without prior approval from the department.
7.13(7) An AAA shall report the loss, theft, damage, spoilage, or infestation of commodities to the department within 5 working days to initiate claim action.
7.13(8) An AAA that receives cash in lieu of commodities shall spend all cash received from the AOA to purchase agricultural food items.
321—7.14(231) Nutrition performance standards.
7.14(1) Each meal served by the nutrition services provider, whether at a congregate meal site, home–delivered or elsewhere, must comply with the Dietary Guidelines for Americans, published by the Secretary of Health and Human Services and the Secretary of Agriculture, and provide to each participating elder:
a. A minimum of 33 1/3 percent of the RDA/AI as established by the Food and Nutrition Board of the National Research Council of the National Academy of Sciences, if the program provides one meal per day;
b. A minimum of 66 2/3 percent of the allowances if the program provides two meals per day; and
c. One hundred percent of the allowances if the program provides three meals per day.
7.14(2) AAA shall ensure that the areawide percentage of residents with the greatest economic and social need is proportionately represented in the characteristics of individuals served in the nutrition program as outlined in 321 IAC 6 for preference in service delivery.
321—7.15(231) Food standards. The AAA or contractor shall, when purchasing food and preparing and delivering meals, comply with all state and local health laws and ordinances concerning preparation, handling and serving food.
7.15(1) Each AAA shall establish and implement written procedures, in consultation with a licensed dietitian, on handling foods prepared for a meal but not served. The procedures shall address which foods may be saved, which foods need to be destroyed, and instructions on cooling and storing foods for reuse.
7.15(2) All raw fruits and vegetables and other foods utilized shall be free from spoilage, filth or contamination and must be safe for human consumption.
7.15(3) Foods prepared, canned or preserved noncommercially shall not be used.
7.15(4) Standardized, tested quantity recipes, adjusted to yield the number of servings needed, shall be used to achieve the consistent and desirable nutrient quality and quantity of meals.
321—7.16(231) Food–borne illness. The AAA shall develop written procedures for handling suspected cases of food–borne illnesses. The contractor shall report the occurrence or suspected occurrence of a food–borne illness to the AAA within 12 hours. The AAA shall notify the department within 12 hours after the AAA becomes aware of the situation.
7.17(1) All menus shall be planned for a minimum of four weeks, computer analyzed to ensure 33 1/3 percent of the RDA/AI is provided in each meal, certified in writing by the licensed dietitian whose services are utilized by the AAA, and submitted to the department for review at least two weeks prior to the initial use of the menu. For purposes of audit, AAA shall keep copies of the certified menus on file for a period of one year.
7.17(2) All certified menus shall be posted in a conspicuous location in each congregate meal site and regularly provided to home–delivered meal recipients. The certified menus may be modified occasionally if the provisions of rule 7.15(231) are maintained and a licensed dietitian or nutrition director is consulted prior to the change.
321—7.18(231) Special dietary needs. The AAA shall ensure that special dietary needs of program participants are met where feasible and appropriate, including the particular requirements arising from the health, religious, or ethnic backgrounds of eligible participants.
7.18(1) The following criteria shall be used to determine feasibility and appropriateness:
a. Sufficient numbers of elders who have special dietary needs exist to make the provision practical;
b. Skills and food necessary to provide the special menus are available.
7.18(2) Special dietary and therapeutic menus must be planned under the supervision of a licensed dietitian in accordance with a current diet manual approved by the director and supplied to each AAA by the department. Certified menus must be submitted to the department at least two weeks prior to the initial use of the menus.
7.18(3) A written physician’s order for each elder requesting a therapeutic diet shall be obtained prior to the elder’s receipt of the meal and kept on file where the meal is prepared and served. The order shall be interpreted by a licensed dietitian and the individual’s physician.
321—7.19(231) Congregate nutrition services. In providing nutrition services or in making awards for congregate nutrition services, the AAA shall:
1. Select and designate as a site any location where meals are served in a group setting with federal AOA nutrition funds or contributions from an AOA federal nutrition program, or both;
2. Provide a site in as close proximity to the majority of eligible individuals’ residences as feasible, preferably within walking distance, or where transportation is available;
3. Provide for hot or other appropriate meals at least once a day, five or more days a week. In a county where there is a site providing meals five or more days a week, additional sites may be established which provide meals one or more days a week. Efforts shall be made and documented to the department annually to increase the number of serving days to a minimum of three days each week;
4. Coordinate with other community providers to arrange meals for elders on holidays that occur on regularly scheduled serving days and also to the general public in weather– and disaster–related emergencies, where feasible.
321—7.20(231) Eligibility for meals at congregate nutrition sites.
7.20(1) A person aged 60 or older and the spouse of the person, regardless of age, are eligible to participate in congregate nutrition services.
7.20(2) Individuals providing volunteer services during meal hours are eligible to participate in congregate nutrition services.
7.20(3) Individuals with disabilities who reside at home or reside with and accompany eligible elders are eligible to participate in congregate nutrition services.
7.20(4) Individuals with disabilities who are not 60 years of age or older and who reside in housing facilities occupied primarily by elders at which congregate nutrition services are provided are eligible to participate in congregate nutrition services.
7.20(5) Ineligible individuals may eat at a site and pay the programmatic cost of the meal, if the ineligible individual’s receipt of the meal does not deprive an eligible participant of a meal.
321—7.21(231) Home–delivered meals.
7.21(1) Eligibility. An elder who is homebound by reason of illness, incapacitating disability or other cause is eligible to receive home–delivered meals. Regardless of age or condition, the spouse of an elder may receive home–delivered meals if receipt of the meal is in the best interest of the homebound elder under criteria set by the AAA.
7.21(2) Individual assessment. The AAA or the home–delivered meals contractor, subject to AAA approval, shall establish and utilize procedures for the determination of an elder’s eligibility for home–delivered meals, including specific criteria for:
a. Initial and subsequent six–month assessments of the elder’s eligibility;
b. Determination of the number of days per week the elder has a need for home–delivered meals; and
c. Determination of the elder’s need for other home–delivered nutrition services.
7.21(3) Requirements for providers. The AAA or contractor shall:
a. Provide for home–delivered meals at least once a day, five or more days a week;
b. Provide for home–delivered meals to participants according to the frequency of need determined by procedures required in subrule 7.21(2). Meals may be hot, cold, frozen, dried, canned or supplemental foods with a satisfactory storage life;
c. Make arrangements for the availability of meals to elders in weather– and disaster–related emergencies, where feasible;
d. Provide other nutrition and supportive services either directly or through referral to meet the need of the homebound elder;
e. Provide monthly nutrition education for home–delivered meal recipients, to include safe food handling of the delivered meals every six months;
f. With the consent of the elder or the elder’s representative, bring to the attention of appropriate officials for follow–up conditions or circumstances which place the elder or the household in imminent danger. The AAA shall coordinate with other agencies to provide services to the homebound elder to reduce dependency and cultural, social and geographic isolation caused by noneconomic factors.
The provider is not required to provide meals more than five days per week, but is encouraged to do so.
321—7.22(231) Noncompliance. When a grantee fails to meet the nutrition requirements as provided in this chapter, the department shall follow procedures outlined in 321 IAC 4.
321—7.23(231) Requirements for opening or closing congregate nutrition sites. The AAA shall notify the department in writing at least 30 days prior to the AAA’s opening, relocating, or terminating a nutrition site. The notification must include:
1. Reasons for the action;
2. Impact on eligible individuals;
3. Impact on nearby meal sites; and
4. Impact on provision of nutrition–related services.
321—7.24(231) Evaluation of sites. The AAA shall conduct on–site evaluations on an annual basis. The reports of these evaluations shall be kept on file for three years and shall include any areas that need additional monitoring or corrective actions.
7.24(1) At a minimum, the evaluation shall include the site’s compliance with:
a. Food acquisition, handling and safety standards;
b. The requirement for the RDA/AI as established in this chapter;
c. Food quality and acceptability (appearance, taste, temperature and smell);
d. Services provided in addition to meals, such as nutrition education and counseling as appropriate, social opportunities and other activities.
7.24(2) The AAA shall provide each site a tool to guide food service personnel in a self–assessment to be conducted at midpoint between AAA on–site evaluations. This evaluation shall be conducted to document program compliance and to analyze areas for ongoing monitoring. The self–assessment reports shall be kept on file for three years.
321—7.25(231) Family caregiver program under Title III–E of the Act.
7.25(1) Title III–E funding. AAA shall utilize the funding received through Title III–E for providing any of the following services for family caregivers and grandparents or elders who are relative caregivers:
a. Support services;
b. Information about available services;
c. Assistance in gaining access to services;
d. Individual counseling, organization of support groups, training to assist in making decisions and solving problems related to the roles of the family caregivers and grandparents or elders who are relative caregivers;
e. Respite care to enable the family caregivers and grandparents or elders who are relative caregivers to be temporarily relieved from their caregiving responsibilities; and
f. Supplemental services, on a limited basis, to complement the care provided.
7.25(2) Priorities of services. In providing services under this program, the AAA shall give priority to elders with greatest social and economic need, with particular attention to low–income elders and elders providing care and support to persons with mental retardation and related developmental disabilities (as defined in Section 102 of the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6001)).
7.25(3) Other community agencies and volunteer organizations. The AAA and AAA contractors shall coordinate activities with other community agencies and volunteer organizations providing the types of services described in subrule 7.25(1).
7.25(4) Reporting. The AAA shall record all services and submit all fiscal and performance reports for this program in accordance with the IAPI issued by the department.
7.25(5) Noncompliance. When the AAA fails to meet the performance standards, the department shall follow procedures outlined in 321 IAC 4.
These rules are intended to implement Iowa Code chapter 231.
[Filed 5/20/82, Notice 3/17/82—published 6/9/82, effective 7/14/82]
[Filed 12/3/82, Notice 7/21/82—published 12/22/82, effective 1/26/83]
[Filed emergency 2/25/83—published 3/16/83, effective 2/25/83]
[Filed 10/19/84, Notice 8/15/84—published 11/7/84, effective 12/12/84]*
[Filed 7/10/86, Notice 5/7/86—published 7/30/86, effective 9/3/86]à
[Filed 5/1/87, Notice 2/25/87—published 5/20/87, effective 6/24/87]**
[Filed emergency 7/21/88—published 8/10/88, effective 7/22/88]
[Filed 4/26/90, Notice 2/21/90—published 5/16/90, effective 6/30/90]
[Filed without Notice 1/13/92—published 2/5/92, effective 3/11/92]
[Filed 6/26/92, Notice 4/1/92—published 7/22/92, effective 8/26/92]
[Filed 11/5/93, Notice 9/15/93—published 11/24/93, effective 12/29/93]
[Filed 11/3/95, Notice 8/16/95—published 11/22/95, effective 12/27/95]
[Filed 3/7/96, Notice 1/31/96—published 3/27/96, effective 5/1/96]
[Filed 10/15/97, Notice 9/10/97—published 11/5/97, effective 12/10/97]
[Filed 2/21/06, Notice
11/23/05—published 3/15/06, effective 5/1/06]
chapter 8
LONG–TERM CARE RESIDENT’S ADVOCATE/OMBUDSMAN
[Prior to 5/20/87, see Aging, Commission on the[20] rules 4.2 and 9.6]
“Designee” means an employee who is designated as a regional long–term care ombudsman.
“Resident advocate committee member” means a volunteer appointed by the director or the director’s designee pursuant to Iowa Code section 135C.25.
“Resident’s advocate/ombudsman” means the state long–term care ombudsman.
“Volunteer long–term care ombudsman” means a volunteer who has successfully completed all requirements and has received certification from the resident’s advocate/ombudsman.
8.2(1) General rule. The department shall operate a statewide long–term care resident’s advocate/ombudsman program in cooperation with appropriate state and local agencies such as the department of inspections and appeals, the department of human services, and the AAAs.
8.2(2) Resident advocate committee and volunteer long–term care ombudsman program administration. The program shall include the administration of the resident advocate committee program identified in Iowa Code section 231.4 and the volunteer long–term care ombudsman program identified in Section 712(5) of the Older Americans Act.
321—8.3(231) Long–term care resident’s advocate/ombudsman duties.
8.3(1) Program administration. The department shall employ an individual (hereinafter called the resident’s advocate/ombudsman) to administer the long–term care resident’s advocate/ombudsman program in accordance with the requirements of the Act and Iowa Code chapter 231.
8.3(2) Duties of the resident’s advocate/ombudsman (also known as the state long–term care ombudsman). In accordance with the Older Americans Act, the resident’s advocate/ombudsman shall perform the following duties:
a. Identify, investigate and resolve complaints and grievances that are made by or on behalf of residents that may adversely affect the health, safety, welfare or rights of residents;
b. Administer the resident advocate committee system pursuant to these rules and assist the committees in the performance of their duties through training and technical assistance;
c. Monitor the development and implementation of federal, state and local laws, rules, regulations and policies that relate to long–term care facilities;
d. Provide information to the public and to state and local agencies about problems of persons in long–term care facilities;
e. Train long–term care facility staff in conjunction with training provided to resident advocate committee members;
f. Administer the volunteer long–term care ombudsman program;
g. Assist in the development of organizations to participate in long–term care;
h. Comment and make recommendations on administrative actions under consideration by an agency or authority which may affect residents in long–term care facilities;
i. Designate regional long–term care ombudsmen (hereinafter called designees) to perform any of the above duties; and
j. Approve certification for volunteer long–term care ombudsmen.
321—8.4(231) Access requirements. The resident’s advocate/ombudsman or designee shall have access to long–term care facilities, private access to residents, access to residents’ personal and medical records and access to other records maintained by the facilities or governmental agencies, pertaining only to the person on whose behalf a complaint is being investigated.
8.4(1) Visits to facilities. The resident’s advocate/ombudsman or designee may enter any long–term care facility without prior notice. After notifying the person in charge of the facility of the resident’s advocate/ombudsman’s or designee’s presence, the resident’s advocate/ombudsman or designee may communicate privately and without restriction with any resident who consents to the communication.
8.4(2) Visits to resident’s living area. The resident’s advocate/ombudsman or designee shall not observe the private living area of any resident who objects to the observation.
8.4(3) Restrictions on visits. The facility staff member in charge may refuse or terminate a resident’s advocate/ombudsman’s or designee’s visit with a resident only when written documentation is provided to the resident’s advocate/ombudsman or designee that the visit is a threat to the health and safety of the resident. The restriction shall be ordered by the resident’s physician, and the order shall be documented in the resident’s medical record.
8.4(4) Request agency assistance.
a. The resident’s advocate/ombudsman or designee may request cooperation, assistance and data that will enable the resident’s advocate/ombudsman or designee to execute any of the resident’sadvocate/ombudsman’s or designee’s duties and powers under the Older Americans Act from any governmental agency or its agent or AAA.
b. Only the state long–term care ombudsman shall have access to adult abuse case information.
8.4(5) Facility records. Copies of a resident’s medical or personal records maintained by the facility, or other records of a long–term care facility, may be made with the permission of the resident, the resident’s responsible party, or the legal representative of the resident.
a. The office of the long–term care ombudsman will pay for copies as requested.
b. All medical and personal records shall be made available to a volunteer long–term care ombudsman for review if:
(1) The volunteer long–term care ombudsman has the permission of the resident, the legal representative of the resident or the responsible party; or
(2) Access to the records is necessary to investigate a complaint; and
(3) The volunteer long–term care ombudsman obtains approval of the resident’s advocate/ombudsman or designee; or
(4) The information is sought by court order.
c. The resident’s advocate/ombudsman program shall keep all records and information confidential according to the Older Americans Act.
321—8.5(231) Authority and responsibilities of the department.
8.5(1) Confidentiality and disclosure. The complaint files maintained by the resident’s advocate/ombudsman program shall be maintained as confidential information and may not be disclosed unless the resident’s advocate/ombudsman authorizes disclosure.
a. No member of the resident’s advocate/ombudsman program shall disclose the identity of any complainant or resident, or any identifying information obtained from a resident’s personal or medical records unless the complainant or resident, or the legal representative of either, consents in writing to the disclosure and specifies to whom the information may be disclosed.
b. The resident’s advocate/ombudsman may use materials in the files for the preparation and disclosure of statistical, case study and other pertinent reports provided that the means of discovering the identity of particular persons is not disclosed.
8.5(2) Referral of complaints or grievances.
a. When the resident’s advocate/ombudsman or designee encounters facts which may indicate the failure to comply with state or federal laws, rules or regulations, the resident’s advocate/ombudsman or designee shall refer the case to the appropriate agency.
b. When the resident’s advocate/ombudsman or designee encounters facts that may warrant the institution of civil proceedings, the resident’s advocate/ombudsman or designee shall refer the case appropriately for administrative and legal assistance.
c. When the resident’s advocate/ombudsman or designee encounters facts which may indicate the misconduct or breach of duty of any officer or employee of a long–term care facility or government agency, the resident’s advocate/ombudsman shall refer the case to the appropriate authorities.
d. The resident’s advocate/ombudsman or designee shall initiate follow–up activities on all referred complaints and grievances.
8.5(3) Reporting. The resident’s advocate/ombudsman program shall maintain a statewide, uniform reporting system to collect and analyze information on complaints and grievances regarding long–term care facilities in accordance with requirements of the Act and Iowa Code section 231.42.
a. Information provided by the department of inspections and appeals, individuals and agencies to whom cases were referred, resident advocate committees and the volunteer long–term care ombudsman program shall be used in the reporting system.
b. No information from this reporting system that threatens the confidentiality of residents or complainants shall be made public without the written permission of the affected residents or complainants.
c. Any information from this reporting system which identifies a specific facility shall state that problems identified in that facility have been corrected, if problems identified have been corrected to the satisfaction of the resident or complainant or pursuant to 321—9.13(231).
d. The complaint and grievance documentation and reporting system shall include, where available:
(1) The source and date of the complaint or grievance;
(2) Name, location and type of facility;
(3) Facility licensure and certification status;
(4) Description of the problem;
(5) Billing status of the resident;
(6) Method by which the complaint was received; and
(7) Description of follow–up activities and date of resolution.
e. The resident’s advocate/ombudsman program shall prepare an annual report analyzing complaint statistics collected and provide this report, by January 15 of each year, to the following agencies and others as deemed appropriate, including but not limited to: AOA, the office of the governor, the general assembly of Iowa, the department of inspections and appeals, the department of human services, and AAAs.
321—8.6(231) Volunteer long–term care ombudsman program.
8.6(1) Application. Any individual may apply to the resident’s advocate/ombudsman program to become a volunteer long–term care ombudsman. A resident advocate committee member shall be given priority in the selection process and may become a certified volunteer long–term care ombudsman pending successful completion of the required training and background checks.
a. Application forms. Application forms may be obtained from the resident’s advocate/ombudsman program at the department of elder affairs address listed in rule 321—2.1(231) or from other organizations designated by the department.
b. Submission of forms. Each applicant shall complete an application and submit it to the department address listed in rule 321—2.1(231).
8.6(2) Conflict of interest.
a. Prior to certification, applicants for the volunteer long–term care ombudsman program must not have a conflict of interest or have had a conflict of interest within the past two years in accordance with the Older Americans Act. A conflict of interest shall be defined as:
(1) Employment of the applicant or a member of the applicant’s immediate family within the previous year by a long–term care facility or by the owner or operator of any long–term care facility;
(2) Current participation in the management of a long–term care facility by the applicant or a member of the applicant’s immediate family;
(3) Current ownership or investment interest (represented by equity, debt, or other financial relationship) in an existing or proposed long–term care facility or long–term care service by the applicant or a member of the applicant’s immediate family;
(4) Current involvement in the licensing or certification of a long–term care facility or provision of a long–term care service by the applicant or a member of the applicant’s immediate family;
(5) Receipt of remuneration (in cash or in kind) under a compensation arrangement with an owner or operator of a long–term care facility by the applicant or a member of the applicant’s immediate family;
(6) Acceptance of any gifts or gratuities from a long–term care facility or a resident or a resident’s representative;
(7) Acceptance of money or any other consideration from anyone other than the office of the state long–term care resident’s advocate/ombudsman for the performance of an act in the regular course of long–term care;
(8) Provision of services while employed in a position with duties that conflict with the duties of a volunteer long–term care ombudsman;
(9) Provision of services to residents of a facility in which a member of the applicant’s immediate family resides; or
(10) Participation in activities which negatively affect the applicant’s ability to serve residents or which are likely to create a perception that the applicant’s primary interest is other than as an advocate for the residents.
b. Immediate family shall be defined as father, mother, son, daughter, brother, sister, aunt, uncle, first cousin, nephew, niece, wife, husband, father–in–law, mother–in–law, son–in–law, daughter–in–law, brother–in–law, sister–in–law, stepparent, stepbrother, stepchild, stepsister, half sister, half brother, grandparent or grandchild.
8.6(3) Applicants shall not be accepted into the program if:
a. It is determined that the applicant has a conflict of interest as listed in subrule 8.6(2); or
b. The applicant has unfavorable references, which shall include a DCI criminal background check and abuse check;
c. The applicant lives in any part of a continuing care retirement community, or any housing owned by the long–term care facility in which the volunteer would function.
8.6(4) Training. Prior to certification, applicants must successfully complete the required training as approved by the resident’s advocate/ombudsman. Successful completion shall be defined as completion of all assignments and tasks during training, demonstration of proper techniques and skills, and an understanding of the role of the volunteer long–term care ombudsman in the long–term care setting. The applicant shall complete a minimum of 24 hours of approved training, which shall include, but not be limited to:
a. History and overview of resident’s advocate/ombudsman program;
b. Terminology;
c. Resident rights;
d. State and federal law, rules and regulations regarding long–term care facilities;
e. Regulatory process in long–term care facilities;
f. Aging process, common medical conditions and terminology;
g. Life in a long–term care facility and culture change;
h. Communication skills;
i. Confidentiality;
j. Problem solving and documentation, and follow–up of complaints;
k. Dynamics of abuse and neglect;
l. Ethics; and
m. Resources for volunteer long–term care ombudsmen.
8.6(5) Approval for certification. Final approval for certification as a volunteer long–term care ombudsman shall be made by the resident’s advocate/ombudsman and shall be subject to the applicant’s successful completion of the required training and to a favorable report from the instructor. The resident’s advocate/ombudsman has the right to require that the applicant receive additional personal training prior to certification and has the right to deny certification to applicants not meeting the above training criteria.
8.6(6) Certification.
a. Notification. A volunteer long–term care ombudsman shall be notified in writing within 14 days following the conclusion of the training program if certification has been continued or revoked.
b. Certification shall initially be for one year, with recertification available following the volunteer’s completion of a minimum of ten hours of approved continuing education in the first year and completion of a progress review by the residents of the facility, the facility administrator and staff, and the resident’s advocate/ombudsman or a representative from the office of the state long–term care resident’s advocate/ombudsman program.
c. After the volunteer’s successful completion of one year as a volunteer long–term care ombudsman, the resident’s advocate/ombudsman may recertify the volunteer for a two–year period.
8.6(7) Continuing education.
a. All certified volunteer long–term care ombudsmen shall complete a minimum of ten hours of continuing education the first year and a minimum of six hours of continuing education each year thereafter. Continuing education may include, but is not limited to:
(1) Scheduled telephone conference calls with representatives from the office of the state long–term care resident’s advocate/ombudsman program;
(2) Governor’s conference on aging;
(3) Area Alzheimer’s disease conferences;
(4) Elder abuse conferences;
(5) Courses related to aging conducted by a local community college or university or via the Internet;
(6) Other events as approved in advance by the resident’s advocate/ombudsman.
b. Volunteer long–term care ombudsmen are responsible for reporting continuing education hours to the resident’s advocate/ombudsman or designee within 30 days following the completion of the continuing education event.
8.6(8) Contesting an appointment. A provider who wishes to contest the appointment of a volunteer shall do so in writing to the resident’s advocate/ombudsman. The final determination shall be made by the resident’s advocate/ombudsman within 30 days after receipt of notification from the provider.
8.6(9) Certification revocation.
a. Reasons for revocation. A volunteer long–term care ombudsman’s certification may be revoked by the resident’s advocate/ombudsman for any of the following reasons: falsification of information on the application, breach of confidentiality, acting as a volunteer long–term care ombudsman without proper certification, attending less than the required continuing education training, voluntary termination, unprofessional conduct, failure to carry out the duties as assigned, or actions which are found by the resident’s advocate/ombudsman to violate the rules or intent of the program.
b. Notice of revocation. The resident’s advocate/ombudsman shall notify the volunteer and the facility in writing of a revocation of certification.
c. Request for reconsideration. A request for reconsideration or reinstatement of certification may be made in writing to the resident’s advocate/ombudsman. The request must be filed within 14 days after receipt of the notice of revocation.
d. Response time. The resident’s advocate/ombudsman shall investigate and consider the request and notify the requesting party and the facility of the decision within 30 days of receipt of the written request.
8.6(10) Access.
a. Visits to facilities. A volunteer long–term care ombudsman may enter any long–term care facility without prior notice. After notifying the person in charge of the facility of the volunteer long–term care ombudsman’s presence, the volunteer long–term care ombudsman may communicate privately and without restriction with any resident who consents to the communication.
b. Visits to resident’s living area. The volunteer long–term care ombudsman shall not observe the private living area of any resident who objects to the observation.
c. Restrictions on visits. The facility staff member in charge may refuse or terminate a volunteer long–term care ombudsman visit with a resident only when written documentation is provided to the volunteer long–term care ombudsman that the visits are a threat to the health and safety of the resident. The restriction shall be ordered by the resident’s physician, and the order shall be documented in the resident’s medical record.
8.6(11) Duties. The volunteer long–term care ombudsman shall assist the resident’s advocate/ombudsman or designee in carrying out the duties described in the Older Americans Act. Primary responsibilities of a volunteer long–term care ombudsman shall include:
a. Conducting initial inquiries regarding complaints registered with the long–term care resident’s advocate/ombudsman;
b. At the request of the resident’s advocate/ombudsman or designee, providing follow–up visits on cases investigated by the resident’s advocate/ombudsman or designee;
c. Attending, assisting with, or providing technical assistance to resident and family council meetings as needed;
d. At the request of the resident’s advocate/ombudsman or designee, making follow–up visits to a facility after a department of inspections and appeals survey or complaint investigation to monitor the progress and changes listed in the plan of correction or to monitor the correction of deficiencies;
e. Tracking, monitoring and following up on publicly available information regarding facility performance;
f. Identifying concerns in a facility. Concerns identified should be discussed with the chair of the resident advocate committee to determine an appropriate course of action to reach resolution;
g. Completing all reports and submitting them to the resident’s advocate/ombudsman in a timely manner; and
h. Completing exit interviews when the volunteer ombudsman resigns.
These rules are intended to implement Iowa Code chapter 231.
[Filed 5/20/82, Notice 3/17/82—published 6/9/82, effective 7/14/82]
[Filed 11/5/82, Notice 7/21/82—published 11/24/82, effective 12/29/82]*
[Filed emergency 12/17/82—published 1/5/83, effective 12/29/82]
[Filed 5/1/87, Notice 2/25/87—published 5/20/87, effective 6/24/87]**
[Filed emergency 8/20/87—published 9/9/87, effective 9/2/87]
[Filed 1/16/04, Notice
10/29/03—published 2/4/04, effective 3/10/04]
chapter 9
RESIDENT ADVOCATE COMMITTEES
321—9.1(231) Definitions. Words and phrases used in this chapter are as defined in 321 IAC 1 unless the context indicates otherwise. The following definitions also apply to this chapter.
“Committee” means a resident advocate committee as provided in Iowa Code sections 135C.25 and 231.44.
“Relatives” means any one of the following: father, mother, son, daughter, brother, sister, aunt, uncle, first cousin, nephew, niece, wife, husband, father–in–law, mother–in–law, son–in–law, daughter–in–law, brother–in–law, sister–in–law, stepparent, stepbrother, stepchild, stepsister, half sister, half brother, grandparent or grandchild.
“Resident’s advocate/ombudsman” means the state long–term care resident’s advocate as provided in Iowa Code section 231.42.
321—9.2(231) Resident advocate committees established.
9.2(1) Committee for each licensed facility. Pursuant to Iowa Code sections 135C.25 and 231.41 through 231.44, a resident advocate committee shall be established for each licensed health care facility as defined in Iowa Code section 135C.1 and shall operate within the scope of the Code of Iowa and this chapter.
9.2(2) Committee membership. The committee shall consist of a number of members sufficient to meet the needs of the residents. The minimum number of members in facilities licensed to serve fewer than 15 residents is one; the minimum number of members in facilities licensed to serve 15 or more residents is two.
9.2(3) Committee member residence. Committee members shall reside within the service area of the facility.
321—9.3(231) Application for committee membership. An interested individual may apply to the department for membership. Individuals, AAAs and other organizations are encouraged to recommend potential volunteers for committee membership to the department pursuant to Iowa Code section 135C.25.
9.3(1) Application forms. Application forms may be obtained from the department at the address listed in 321 IAC 2.3(2), from the department Web site or from organizations designated by the department.
9.3(2) Submission of forms. Each applicant shall complete and submit an application for membership to the department at the address in 321 IAC 2.3(2).
9.3(3) Membership restriction. Applications shall be approved only when written consent is submitted by both the resident’s advocate/ombudsman and the administrator of the facility if an applicant:
a. Has an ownership interest in the facility; or
b. Is employed by the facility or a competing facility; or
c. Has been employed by the facility within the past three years; or
d. Is related to an employee, board member, or licensee of the facility; or
e. Is a public employee involved with the sponsoring or placement of residents in the facility; or
f. Is an administrator of a long–term care facility; or
g. Is a professional consultant to the facility.
9.3(4) Waiver of membership restriction. When the resident’s advocate/ombudsman or the facility administrator does not approve an application, the membership restriction for relatives in paragraph 9.3(3)“d” may be waived by the director if sufficient evidence can be presented showing that the membership will not cause a conflict of interest.
321—9.4(231) Appointment to resident advocate committees.
9.4(1) Notification. Acceptance of an application shall be confirmed by letter within 15 business days of receipt of the application by the director or designee. Each facility shall be notified of final committee appointments.
9.4(2) Orientation. All applicants shall complete the required orientation prior to final appointment and the beginning of volunteer duties.
321—9.5(231) Objection to and termination of appointments to resident advocate committees.
9.5(1) Filing an objection. A facility administrator who objects to a particular member’s participation on the committee for that facility may file a written objection with the director. The objection shall be investigated as a confidential complaint, and all parties shall be notified of the director’s decision.
9.5(2) Reasons for termination. A committee member’s appointment may be terminated by the director for any of the following reasons:
a. Falsification of information on the application form;
b. Acting as a member prior to appointment;
c. Attending less than one–half of the meetings convened each year by the resident advocate committee chairperson;
d. Conviction of an illegal activity;
e. Breaching confidentiality;
f. Failure to attend approved training for two consecutive years; and
g. Actions which are found by the director to violate these rules or the intent of the state long–term care ombudsman program.
9.5(3) Notification of termination. The director shall notify, in writing, the committee chairperson and the facility of the termination of a resident advocate committee member’s appointment.
321—9.6(231) Request for reconsideration of appointment or termination of appointment.
9.6(1) Request. A request for reconsideration concerning appointment, nonappointment or termination shall be made in writing to the department within 30 days of the written notice of the director’s action.
9.6(2) Decision. The director shall consider the request within 30 days of receipt and notify all parties of the decision.
321—9.7(231) Resident advocate committee structure and procedures.
9.7(1) Structure. Every committee shall have a chairperson and secretary selected by the membership. The chairperson shall coordinate the activities of the committee. The secretary shall record minutes of each meeting and prepare reports as necessary. The chairperson and secretary shall be elected to a term of not more than three years.
9.7(2) Resident visits. Committee members shall spend at least three hours each month making visits to observe residents at different times of the day and in differing circumstances and shall document the visits.
9.7(3) Meetings. The committee shall meet at least quarterly and on other occasions as required to accomplish its responsibilities. The chairperson shall notify all members of the time and place of each meeting at least two weeks in advance.
a. The administrator and staff of the facility shall not attend committee meetings except upon request of the committee.
b. Confidential information shall not be discussed during meetings if anyone other than committee members is present.
c. Reports of each visit shall be discussed with the committee as appropriate.
d. The secretary shall complete the meeting minutes summary form designated by the department. Copies of the form shall be submitted to the facility administrator and to the office of the resident’s advocate/ombudsman within ten business days following the meeting.
e. The forms shall be retained by the facility for a period of at least two years and shall be available to the department of inspections and appeals and the department of elder affairs upon request.
321—9.8(231) Duties of the committee. Committee members shall, at a minimum, participate in one training session approved by the department each calendar year. Committee members shall represent and advocate for the rights of residents of the facility. As a part of this advocacy, committee members shall investigate complaints and grievances according to the procedures established in rule 321—9.11(231).
321—9.9(231) Committee access and assistance.
9.9(1) Access. The committee shall have access to facilities, persons and records as provided in the Act, Iowa Code section 231.42 and this chapter.
9.9(2) Assistance to the committee. The committee may request information, advice and counsel from the facility administrator or the department. When, in the performance of duties, a committee member contacts anyone on behalf of residents, the committee member shall clearly identify himself or herself and shall clearly state the purpose of and justification for such contact.
321—9.10(231) Confidentiality.
9.10(1) Access restriction. Resident advocate committee members shall not have access to the following records unless access is granted by the resident or the resident’s responsible party, such as a guardian or conservator, and the resident’s advocate/ombudsman:
a. Medical, financial or personal records of residents; or
b. Records of the social services department of the facility.
9.10(2) Nondisclosure of information. The committee shall not disclose information concerning residents or the operation of a facility in a manner that will identify individuals or the facility, except to the state long–term care ombudsman program or as requested by the department of inspections and appeals in the investigation of a facility.
321—9.11(231) Committee response to complaints and grievances. Throughout the investigation of all complaints and grievances, the committee shall maintain objectivity and act as advocates for residents without being adversaries of the facility.
9.11(1) In all investigations, the committee shall:
a. Maintain the dignity and privacy of residents, as shall all other persons involved in a complaint or grievance investigation.
b. Using the procedures appropriate to the source of the complaint, receive and investigate complaints or grievances from an individual or the department regarding the rights and welfare of residents.
c. Seek to resolve the complaint or grievance and, if feasible, prevent unnecessary regulatory action against a facility. However, the committee shall not prevent or dissuade regulatory action when necessary to protect or achieve the rights of residents.
d. Solicit input from the complainant and the resident regarding the choices for action to be pursued by the committee.
9.11(2) Action upon receipt of a complaint or grievance. The committee may contact the facility administrator to discuss the allegations only if doing so does not violate confidentiality.
a. Information that identifies the complainant or resident shall be confidential unless the complainant or resident has given permission to the committee to disclose this information. This permission shall be documented in a committee member’s notes.
b. The investigating committee member shall make at least one unannounced visit to the facility.
c. The committee shall, to the extent possible, ascertain the facts of the situation through personal observation of conditions and activities in the facility and by talking with all persons who may have knowledge regarding the matter under investigation.
d. If a resolution cannot be reached, the committee may contact the resident’s advocate/ombudsman for follow–up action as appropriate.
e. Committee members shall keep the complainant informed of progress in the investigation.
321—9.12(231) Complaints referred from the department of inspections and appeals. The following procedures shall apply to complaints received or initiated by the department of inspections and appeals and referred to the department of elder affairs for investigation by a resident advocate committee.
9.12(1) Confidentiality. Information that may identify the complainant or resident shall be confidential.
9.12(2) Notification. Depending on the circumstances in each instance, the state long–term care ombudsman program shall provide adequate verbal information within three days to a member of the appropriate resident advocate committee so that an investigation may proceed. Written notification shall be provided within seven days.
9.12(3) Investigation. Investigation of the complaint or grievance shall be conducted in accordance with rule 321—9.11(231).
321—9.13(231) Accountability measures.
9.13(1) The committee shall use a standardized form developed by the department, to be completed by the secretary, to specify issues and concerns identified by residents, the facility’s response, and whether the matter has been resolved.
9.13(2) An issue or concern shall be designated as resolved when the committee and the facility agree it has been resolved. If there are unresolved issues and the facility disagrees with the committee’s determination regarding the resolution of an issue or concern, the facility may request a review by the resident’s advocate/ombudsman by submitting a written request within 20 calendar days of receipt of the form described in this rule.
9.13(3) Upon receipt of a request for review, the resident’s advocate/ombudsman shall contact the facility administrator and the chairperson of the resident advocate committee to discuss the request. The resident’s advocate/ombudsman has the discretion to:
a. Uphold the committee’s determination,
b. Designate the issue or concern as resolved, or
c. Redefine the issue or concern as a means to negotiate a compromise.
9.13(4) The decision of the resident’s advocate/ombudsman shall be made within 20 calendar days of the receipt of a request for review. Additional time may be allotted by agreement of the resident advocate committee and the facility administrator.
9.13(5) An aggrieved party has 30 calendar days from the receipt of written notice of the decision of the resident’s advocate/ombudsman to request a hearing pursuant to 321 IAC 13.
9.13(6) All appeals and judicial review shall be conducted pursuant to 321 IAC 13.
321—9.14(231) Reporting statistics. The office of the resident’s advocate/ombudsman shall record the number of issues and concerns listed on the forms submitted by the committees and the number resolved. Each year, the office of the resident’s advocate/ombudsman shall calculate the percentage of issues and concerns that are resolved, based on the total number of issues and concerns identified between January 1 and December 31 of the preceding year. Prior to May 1 of each year, the office of the resident’s advocate/ombudsman shall report the resolution rate of each facility to the department of human services.
321—9.15(231) Severability. Should any rule, subrule, paragraph, phrase, sentence or clause of this chapter be declared invalid or unconstitutional for any reason, the remainder of this chapter shall not be affected.
These rules are intended to implement Iowa Code section 231.44.
[Filed 5/1/87, Notice 2/25/87—published 5/20/87, effective 6/24/87]*
[Filed emergency 8/20/87—published 9/9/87, effective 9/2/87]
[Filed 7/8/88, Notice 1/27/88—published 7/27/88, effective 8/31/88]
[Filed 3/30/00, Notice 2/23/00—published 4/19/00, effective 5/24/00]
[Filed 6/21/02, Notice 3/6/02—published 7/10/02, effective 8/14/02]
[Filed 1/16/04, Notice 10/29/03—published 2/4/04, effective 3/10/04]
[Filed 6/12/08, Notice 5/7/08—published
7/2/08, effective 8/6/08]
chapter 10
SENIOR INTERNSHIP PROGRAM (sip)
[Prior to 5/20/87, see Aging, Commission on the [20] rules 8.67 to 8.70]
321—10.1(231) Scope and purpose.
10.1(1) Scope. The senior internship program (SIP) encourages and promotes employment opportunities in both public and private sectors for individuals aged 55 and older. All procedures and rules used to operate this program shall be in accordance with Title V of the Older Americans Act as amended October 17, 2006, and implemented under 20 CFR 641, these rules, and the contractual agreement between the department and the subproject sponsor.
10.1(2) Purpose. The purpose of the senior internship program (SIP) is to promote meaningful employment opportunities for persons aged 55 and older under two different funding sources and differing criteria for eligibility: The first eligibility group receives federal dollars authorized under Title V of the Older Americans Act as amended October 17, 2006 (OAA Amendments), Pub L. No. 06–501, U.S.C. 3056, and implemented under 20 CFR Part 641 (April 9, 2004) to promote part–time, work–based training opportunities in local communities for unemployed, low–income individuals. The second eligibility group is funded by state appropriations and offers the services needed to assist underemployed or unemployed job seekers in such areas as skill assessment, résumé and interview assistance, completion of applications, and job counseling. The goal of both groups is to obtain unsubsidized employment for eligible individuals.
321—10.2(231) Definitions. Words and phrases used in this chapter shall be as defined in 321—Chapter 1 unless the context of the rule indicates otherwise. The following definitions also apply to this chapter. The appearance of an acronym after a defined term indicates that the definition was taken from that source.
“Assessment of job skills” means a process by which the senior internship program coordinator develops a written history of the work experience and related qualities that an individual possesses that would make the individual marketable as an employee.
“Authorized position” means an enrollment opportunity with the Senior Community Services Employment Program (SCSEP), or Title V, allocated by the department of elder affairs during a program year.
“Core services” means labor market information, an initial assessment of skill levels, and job search and placement assistance offered to a job applicant.
“Eligible individual” means a person who is 55 years of age or older who is served by SIP and who meets one of the two eligibility groups’ criteria.
“Equitable distribution” means the ratio of the total Title V authorized positions operated by the department and national sponsors compared to the number of authorized positions established on the basis of the eligible population.
“Host agency” means a public agency, private nonprofit organization, or private sector employer, other than a political party, exempt from taxation under Section 501(c)(3) of the Internal Revenue Code, which provides a work site and supervision for a participant.
“Individual employment plan” or “IEP” means the plan developed in partnership with a participant to reflect the participant’s needs as indicated by the assessment, as well as the expressed interests and desires of the participant.
“Low income” (SIP) means any person or persons whose actual individual or family income is not more than 125 percent of the poverty guidelines issued annually by the U.S. Department of Labor in accordance with Section 507(2) of the Older Americans Act.
“National sponsor” means Experience Works, AARP, Senior Services of America, Inc., or any other national organization which is allocated positions by the U.S. Department of Labor.
“One–stop delivery system” means a workforce system connecting employment, education, and training services into a coherent network of resources at the local, state, and national levels.
“Physical examination” means a medical examination performed by a physician or a medical professional under the supervision of a physician to determine if a participant is capable of fulfilling the duties of a work assignment.
“Physical examination waiver” means a signed statement by a participant or an applicant which verifies that the participant or applicant was offered the opportunity to take a physical examination but refused.
“Quarterly progress report” means the report on participant activity and characteristics submitted to the U.S. Department of Labor from information gathered from the subproject sponsors at the end of every three–month period during the fiscal year.
“Senior Community Services Employment Program” or “SCSEP” means the U.S. Department of Labor’s commonly referred to name for the Title V program.
“Senior internship program” or “SIP” means the program established under Iowa Code section 231.52.
“Senior internship program coordinator” means a person employed by the subproject sponsor whose responsibility is to develop jobs, advocate for the employment of eligible individuals, and provide employment services for eligible individuals, including Title V participants.
“Subproject sponsor” means a public or private nonprofit organization that provides program services on behalf of the grantee. Subproject sponsors are required to follow all applicable laws, rules, regulations and policy advisories.
“Temporary position” means the authorized positions which exceed the number allocated by the U.S. Department of Labor.
“Termination” means a separation from the program.
“Title V” means that portion of the federal Older Americans Act with that designation.
“Unsubsidized employment” means a position where wages, fringe benefits and other expenses for a terminated participant are not paid with SIP funds.
“Workforce Investment Act of 1998” means the law providing the framework for a national workforce preparation and employment system designed to meet both the needs of the nation’s businesses and the needs of job seekers and those who want to further their careers.
“Work site” means the actual location where participants perform their duties.
321—10.3(231) Eligibility for service.
10.3(1) To be eligible for participation for core services in the SIP, an applicant shall:
a. Be aged 55 or older;
b. Be a current resident of the state of Iowa; and
c.