3-2025 IIIE SADC Model Contract (Final).pdf

Rev. X/X/2025; Law No. 25-AG-084 IFMS No. 000000XXXXX

ALN/Subrecipient Line Item/Omnibus Grant 001-6801-4980-95226

IIIE Social Adult Day Services

Section V Model Contract Subject to Negotiation

XXX IIIE Social Adult Day Care Program

This Contract (“the Contract”) is between the County of Suffolk (“the County”), a municipal corporation of the State of

New York, acting through its duly constituted Office for the Aging (“the Department”), located at the H. Lee Dennison Building, 100 Veterans Memorial Highway, P.O. Box 6100, Hauppauge, New York 11788-0099; and

Insert Name of Contractor (“the Contractor”), a New York Not-For-Profit Corporation (Insert if Applicable: “a

Municipal Corporation”), having an address at Insert Address

Contractor and County are collectively referred to herein as “Parties” and each is individually a “Party”.

The Contractor has been designated to receive funds from the County for Insert Description (“the Services”) as set forth in

Article I, entitled “Description of Services.”

Term of the Contract: January 1, 2026 through December 31, 2026, with four (4) one (1) year options to renew at the County’s discretion for the period of January 1, 2027 through December 31, 2027 (option one); for the period of January 1, 2028 through

December 31, 2028 (option two); for the period of January 1, 2029 through December 31, 2029 (option three); for the period of

January 1, 2030 through December 31, 2030 (option four), respectively on the same terms and conditions herein.

Total Cost of the Contract: Shall not exceed $60,000.00, to be paid as set forth in Articles V and VI, attached.

Terms and Conditions: Shall be as set forth in Articles I through VI, attached hereto and made a part hereof.

In Witness Whereof, the parties hereto have executed the Contract as of the latest date written below.

Contractor

By: _________________________________

Name

Title

Fed. Tax ID #

UEI#:

Date _____________________________ hereby certifies under penalties of perjury that I am an officer of

_____________________________________________, that I have read and I am familiar with §A5-8 of Article V of the Suffolk

County Code, and that ______________________________meets all requirements to qualify for exemption thereunder.

Name___________________________ Date__________

Approved as to Form:

Christopher J. Clayton

Suffolk County Attorney

By:

Jacqueline Caputi

Assistant County Attorney Date

County of Suffolk

By: _________________________________

Kevin B. Molloy

Chief Deputy County Executive

Date _____________________________

Approved:

Department

By: _______________________________

Holly S. Rhodes-Teague

Director, Office for the Aging

Recommended:

By: _______________________________

Marisa Kozak

Assistant Senior Citizen Program Coordinator

(barcode)

IIIE Social Adult Day Services

List of Articles

Article I

Description of Services

1. Conflicting Provisions

2. Federal ALN Subrecipient Requirements

3. Goals of Program

4. General Program Terms and Conditions

5. Administration

6. Contractor's Staff

7. Coordination

8. Equal Access

9. Reporting Requirements

10. Incident Reporting

11. Confidentiality

12. Promotions and Advertisements

13. Contributions

14. Participant Comments & Satisfaction Surveys

15. Monitoring

16. Safety

17. Grievance Procedures

18. Contract Agency Performance Measures and Reporting Requirements – Local Law No. 41-2013

Contractor's Narrative and Response for Equal Access

Article IA Social Adult Day Care Regulations adopted by the New York State Office for the Aging (9 NYCRR § 6654.20)

Article IB

Grievance Procedures

Article II

Definitions

1. Meanings of Terms

2. Elements of Interpretation

Article III

General Terms and Conditions

1. Contractor Responsibilities

a. Duties and Obligations

b. Qualifications, Licenses, and Professional Standards

c. Notifications

d. Documentation of Professional Standards

e. Credentialing

f. Engineering Certificate

2. Termination

IIIE Social Adult Day Services

a. Thirty Days Termination

b. Event of Default; Termination on Notice

c. Termination Notice

d. Duties upon Termination

3. Indemnification and Defense

4. Insurance

5. Independent Contractor

6. Severability

7. Merger; No Oral Changes

8. Set-Off Rights

9. Non-Discrimination in Services

10. Nonsectarian Declaration

11. Governing Law

12. No Waiver

13. Conflicts of Interest

14. Cooperation on Claims

15. Confidentiality

16. Assignment and Subcontracting

17. Changes to Contractor

18. No Intended Third Party Beneficiaries

19. Certification as to Relationships

20. Publications

21. Copyrights and Patents

a. Copyrights

b. Patents

22. Arrears to County

23. Lawful Hiring of Employees Law in Connection with Contracts for Construction or Future

Construction

24. Certification Regarding Lobbying

25. Record Retention

26. Contract Agency Performance Measures and Reporting Requirements - Local Law No. 41-2013

27. Notice

28. Data Security and Privacy

29. New York State Labor Law

Article IV

Suffolk County Legislative Requirements

1. Contractor’s/Vendor’s Public Disclosure Statement

2. Living Wage Law

3. Use of County Resources to Interfere with Collective Bargaining Activities

4. Lawful Hiring of Employees Law

5. Gratuities

6. Prohibition Against Contracting with Corporations that Reincorporate Overseas

7. Child Sexual Abuse Reporting Policy

8. Non Responsible Bidder

9. Use of Funds in Prosecution of Civil Actions Prohibited

IIIE Social Adult Day Services

10. Youth Sports

11. Work Experience Participation

12. Safeguarding Personal Information of Minors

13. Contract Agency Performance Measures and Reporting Requirements

14. Suffolk County Local Laws Website Address

15. Suffolk County Code of Ethics

16. Notification of Cyber Security Breach

Article V

General Fiscal Terms and Conditions

1. General Payment Terms

a. Presentation of Suffolk County Payment Voucher

b. Voucher Documentation

c. Payment by County

d. Budget Modification

e. Budget and/or Services Revisions

f. Taxes

g. Final Voucher

2. Subject to Appropriation of Funds

3. Personnel Salaries, Pension and Employee Benefit Plans, Rules and Procedures

4. Accounting Procedures

5. Audit of Financial Statements

6. Financial Statements and Audit Requirements

7. Furniture, Fixtures, Equipment, Materials, Supplies

a. Purchases, Rentals or Leases Requiring Prior Approval

b. Purchase Practices/Proprietary Interest of County

c. County’s Right to Take Title and Possession

d. Inventory Records, Controls and Reports

e. Protection of Property in Contractor’s Custody

f. Disposition of Property in Contractor’s Custody

8. Lease or Rental Agreements

9. Statement of Other Contracts

10. Miscellaneous Fiscal Terms and Conditions

a. Limit of County’s Obligations

b. Duplicate Payment from Other Sources

c. Funding Identification

d. Outside Funding for Non-County Funded Activities

e. Potential Revenue

f. Payments Contingent upon State/Federal Funding

g. Denial of Aid

h. Budget

i. Payment of Claims

j. Payments Limited to Actual Net Expenditures

k. Travel, Conference, and Meeting Attendance: SOP A-07 Amendment 1

l. Salaries

m. Salary Increases

n. Contractor Vacancies

IIIE Social Adult Day Services

o. No Limitation On Rights

p. Comptroller’s Rules and Regulations

Article VI

Budget

Exhibit 1

Subrecipient Contract Documentation

Article I

Description of Services

Whereas, the County Issued a Request for Proposal (“RFP”) on November 20, 2025; and

Whereas, the Contractor submitted a proposal in response to such RFP; and

Whereas, the Contractor has been identified in the 2026 Suffolk County Adopted Budget to perform the

Services for the Department; and

Whereas, the Services are provided pursuant to Title IIIE of the Older Americans Act, (U.S.C.A. 3030) with a

Assistance Listing Number (“ALN”) Number of 93.052 (hereinafter “the Grant”), information for which is set forth in Exhibit 1, entitled “Subrecipient Contract Documentation;” and

Whereas, the goal of the Title IIIE Family Caregiver Support Program is to sustain the ability of family caregivers to care for frail older persons sixty (60) years of age and older (“care receivers”) while promoting the ability of the care receivers to remain safe and independent in their own homes and communities as long as possible by providing services such as Personal Care, Institutional Respite, Adult Day Care and Counseling, Support Groups, and Training.

Whereas, the continuity of service is considered to be in the best interest of the County and the elderly residents of Suffolk County for the best possible outcomes;

Now therefore, in consideration of the mutual provisions and covenants hereafter set forth, the parties hereto agree as follows:

1. Conflicting Provisions

In the event of any conflict between this Article I and any other provision to this Contract, such other provision shall prevail unless it is expressly stated that this Article I shall prevail.

2. Federal ALN Subrecipient Requirements

a. The Contractor shall provide the Services in accordance with this Article I and the Grant Contract.

b. For the purposes of this Contract, the Contractor is a “Subrecipient” as that term is defined in

Section 200.1 of Title 2 of the Code of Federal Regulations (“CFR”). All provisions applicable to

Subrecipients in Part 200 of Title 2 of the CFR, entitled “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards” shall apply to the Contractor.

c. To the extent that this Contract is funded, in whole or part with Federal funds, or mandated by

Federal laws, (i) the provisions of the Contract that conflict with Federal rules, Federal regulations or Federal program specific requirements shall not apply, and (ii) the Contractor shall comply with all applicable Federal rules, regulations and program specific requirements, including, but not necessarily limited to, those provisions set forth in Part 200 of Title 2 of the Code of Federal

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Regulations, entitled “Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards,” as may be amended.

d. The Contractor shall provide all Services in a manner satisfactory to the Department and in compliance with applicable federal and state requirements, laws and regulations.

e. The Department shall regularly monitor the performance of the Contractor against the goals and performance standards set forth herein and as may be set forth in the Grant. Such monitoring may consist of, but not necessarily be limited to, Contractor site visits, Contractor conferences, and requests for reports and data. The Contractor shall cooperate with the Department’s monitoring to the fullest extent possible, including, but not limited to, permitting the Department access to the

Contractor’s site and data, and providing requested reports in a timely manner.

f. The provisions of this paragraph shall survive the termination or expiration of the Contract. The

Contractor shall include these provisions in any subcontract it enters, as shall have been approved by the County, for the Services.

3. Goals of Program

The Title IIIE Social Adult Day Service program is to provide an organized program of social and therapeutic activities to persons who are functionally impaired, but non-institutionalized and community based, in a protective congregate setting pursuant to an individualized plan of care designed for the purpose of restoring or maintaining optimal capacity for self-care. These services can only be provided for a care receiver who is a “frail” older person. The Care Receiver is unable to perform at least two (2) Activities of

Daily Living (ADLs) without substantial human assistance, including verbal reminding or physical cueing, or due to a cognitive or other mental impairment, require substantial supervision. Support services provided to families/caregivers may include support groups and counseling.

4. General Program Terms and Conditions

In general, but without limitation, the Contractor shall be required to meet the criteria listed below:

a. The Contractor may not impose a means test of eligibility. No income or asset information may be used to determine eligibility for service notwithstanding any other provisions of this Contract.

b. The Contractor and all of their subcontractors shall adhere to the terms of the Department’s New

York State (NYS) Area Plan, to the extent that the program is a part thereof, and the Department agrees to make the NYS Area Plan available to the Contractor.

c. The Social Adult Day Service shall be provided in accordance with the regulations adopted by the New York State Office for the Aging (NYSOFA) (9 NYCRR § 6654.20) (see Article IA).

These regulations are the minimum requirements for the administration and operation of Social

Model Adult Day Service programs.

d. The Contractor shall comply with the NYSOFA Self-Certification process for Social Adult Day

Care (SADC) programs. The Self-Certification shall be completed online at https://apps.omig.ny.gov/sadc/sadccertification.aspx annually. Prior to completing the Self-

Certification, the Contractor shall complete the NYSOFA Self -Monitoring tool and worksheets, found at http://www.aging.ny.gov/Social-adult-day-services-sads.

https://apps.omig.ny.gov/sadc/sadccertification.aspx http://www.aging.ny.gov/Social-adult-day-services-sads

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e. The program is a structured, comprehensive program which provides functionally impaired individuals with socialization, supervision and monitoring, personal care, and nutrition in a protective setting during any part of the day, but for less than a twenty-four (24)-hour period.

Additional services may include, but are not limited to, maintenance and enhancement of daily living skills, transportation, caregiver assistance, and case coordination and assistance.

f. Case Management is pre-requisite for participation in the Adult Day Care Program. The program shall operate five (5) days per week, Monday through Friday, from 8:00 a.m. to 2:00 p.m. The weekly menu and activity calendar shall be posted at the site. A copy of the six (6)-week cycle menu and monthly calendar shall be sent to the Department for review at least four (4) weeks in advance.

g. Program eligibility is limited to persons who are sixty (60) and over and functionally impaired, who shall benefit from participation in the program. Eligibility is determined by the Department in the client’s home prior to the delivery of service by using the standardized NY COMPASS.

Each client participating in the day care program must be reassessed by the Department for continuing eligibility at appropriate intervals based on each client’s situation, but in no instance less frequently than at least once in each twelve (12) -month period. The Care Receiver must be unable to perform at least two (2) Activities of Daily Living (ADLs) without substantial human assistance, including verbal reminding or physical cueing, or due to a cognitive or other mental impairment, require substantial supervision. Only those individuals whose social adult day care needs can be safely met and managed by the program may participate.

h. The Contractor shall maintain an Individualized Service Care Plan in each client’s file. Each participant shall receive services only in accordance with an individualized written service plan which has been developed by the program staff in conjunction with the participant and, if applicable, the participant’s authorized representative. To the extent possible, if applicable, the plan shall be developed in consultation with the participant’s informal caregiver(s). A service plan shall be developed no later than thirty (30) days after a participant’s admission to the program and reviewed as necessary, or at least once annually. The service plan shall be based on the assessment and shall be consistent with the needs of the participant. To the maximum extent possible, each service plan shall seek to attain and maintain the highest practical physical, mental, and psychosocial well-being of the participant, including an optimal capacity for independence and self-care. Each service plan shall encourage the participant to use his/her existing capacities, develop new capacities and interests, and compensate for existing or developing impairments in capacity. The service plan shall specify the individual participant outcomes expected from the provision of social adult day care services.

i. The Contractor must provide a minimum of ten percent (10%) in agency matching funds from non-county resources. Public and/or private resources other than county appropriations may be used to comprise the required amount of agency match. Allowable agency match includes agency expenses made for direct project costs incorporated into the approved application for which the agency can provide an audit trail showing evidence of the expense, and the funding sources are otherwise allowable as matching funds.

Examples of allowable match include, but are not limited to: salaries and fringe benefits of personnel assigned to the project, including pro-rated salaries of person assigned part-time, the

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5. Administration

Overall administration of this program will be the responsibility of the Contractor. The Contractor or its designee will ensure proper implementation and direction of the service, act as liaison between the

Department and the actual recipients of service, and ensure accuracy and timeliness of submission of all reporting forms and expenditures.

6. Contractor’s Staff

a. The Contractor shall employ adequate numbers of qualified staff, which may include volunteers, and supervisory personnel to meet all the specifications and responsibilities of the program in an orderly, punctual and reliable manner. All meetings and trainings required by the County are to be attended by the appropriate staff. The Contractor will have on file with the Department the procedures to be followed by workers and other staff in case of emergency.

b. At the time of employment and at least every twelve (12) months thereafter, or more frequently if needed, an employee must provide a statement from a physician or physician assistant stating that the respite worker is free from any health impairment which is of potential risk to care receivers or might interfere with the performance of the individual’s duties; and that the employee has had a ppd (Mantoux) skin test for tuberculosis within thirty (30) days prior to employment and no less frequently than every two (2) years after employment begins. Positive findings require appropriate clinical follow-up but no repeat skin test. The employee must also have any additional test that may be required by the local board of health.

c. All workers must be trained before beginning to work with the elderly, including, but not limited to, orientation to personal care skills, body mechanics and behavior management. Each worker shall receive at least six (6) hours of in-service training annually.

d. The Department has the right to review and approve Contractor’s staff applicable to the Program.

The Department shall have the right to prior approval of the filling of any day care director position, and shall be advised by the Contractor of the duties and compensation of all personnel assigned to the Social Adult Day Care Program. The Contractor shall notify the Department of any changes in key personnel related to the program.

e. The provisions of this paragraph are in addition to the provisions of Article V, paragraph 10, subparagraph n.

7. Coordination

The Contractor shall coordinate the delivery of services with other providers and organizations to provide the most suitable outcomes and minimize possible duplication of effort. In order to accomplish this, the Contractor will undertake activities such as, but not limited to, participation in inter-agency meetings, coordination of referrals and follow-ups with other local service providers, entering into agreements with other organizations for joint efforts and/or funding, centralized assessment and maintaining up-to-date resource materials both within and outside the Contractor’s organization.

8. Equal Access

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a. The Contractor shall comply with requirements for equal access including language accessibility, nondiscrimination and concentration of services on target populations.

b. The Contractor shall provide maximum accessibility to those older adults in greatest economic or social need, and ensure that new sites be free from architectural barriers that limit participation of disabled older individuals (NYS regulations, Title 9, Subtitle Y, §6652.2 (l) and Section 504 of the Rehabilitation Act of 1973). Accessibility requirements include provision of services and assistive devices (including assistive technology services and devices) designed to meet the unique needs of older individuals who are disabled, and of older individuals who provide uncompensated care to their adult children with disabilities. Providers must ensure that communications with individuals with disabilities are as effective as communications with others

(ADA, 28 CFR 35.160-35.164). For example, auxiliary aids and services may include:

• For individuals who are deaf or hard of hearing: qualified interpreters, note takers, computer-aided transcription services, written materials, telephone handset amplifiers, assistive listening systems, telephones compatible with hearing aids, closed caption decoders, open and closed captioning, telecommunications devices for deaf persons

(TDDs), videotext displays, and exchange of written notes.

• For individuals with vision impairments: qualified readers, taped texts, audio recordings, Brailed materials, large print materials, and assistance in locating items.

• For individuals with speech impairments: TDDs, computer terminals, speech synthesizers, and communication boards.

c. Additionally, consistent with the Civil Rights Act of 1964, Title VI, the Title VI regulations, Federal Executive Order 13166, and the NYS Human Rights Law. All AAAs and subcontractors are required by law to take reasonable steps to provide meaningful access to limited English proficient persons. All aging services providers are obligated to provide reasonable, timely, and appropriate language assistance to the limited English proficiency (LEP) populations each serves.

Mandated Action:

The Contractor must, at a minimum, maintain a telephonic interpretation service contract or similar community arrangement with a language interpretation services provider of their choice.

The Contractor’s staff for this Program with public contact must be aware of, and trained in the timely and appropriate use of these language services. The Contractor shall also ensure that LEP persons are informed of the availability of language assistance, free of charge, by providing written notice in languages LEP persons will understand at service locations.

9. Reporting Requirements

a. One (1) unit of service is equal to one (1) hour of social adult day care service per client.

b. The Contractor shall submit to the Department monthly reports covering program activity and expenses incurred during the reporting period. Such reports must be submitted to the Department by the tenth (10th) day of the month following the period being reported, and be on a form specified by the Department and shall comply with all procedures required by the Department for the proper payment of vouchers and audits.

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c. Financial reports, or vouchers, also must never contain the names of the clients served, but may be coded to indicate the particular client served.

10. Incident Reporting

a. The Contractor agrees to provide the Department with reports of all instances of claims, costs, damages, and injuries to persons or property of whatsoever kind arising out of services provided under this Agreement. All such notifications should be given to the Department immediately after the incident, if possible, but in no case longer than five (5) days after the incident. The Contractor further agrees to send the Department copies of all “notices of claim” or any other papers relating to litigation it receives relating to the program covered under this Contract.

b. The Contractor will report, at least verbally to the Department, within twenty-four (24) hours of any incidents involving the client, whether the incident requires medical attention or not. A written follow up of such incident shall be sent to the Department within five (5) days of occurrence. The Contractor will report any circumstances outside normal events that affect the well-being of the client, including deteriorating conditions and significant changes that might lead to unsafe conditions for the client.

11. Confidentiality

Confidential records shall be maintained on each recipient. Reports, as required by the Department, should not contain the names of any clients, and identifying codes should be used to indicate particular clients served, if necessary.

a. The Contractor agrees that no personal information obtained from an individual in conjunction with this program shall be disclosed in a form in which it is identified with the individual without such individual’s written consent to such disclosure, except to the Department.

b. In the case of a request by the Department for names and addresses of individuals participating in the program, the Contractor shall furnish such information as requested. Failure to comply with a request by the Department for such information shall be deemed a material breach of this

Contract and shall result in a freeze on all monies due and owing to the Contractor until compliance by the Contractor.

12. Promotions and Advertisements

a. It is the responsibility of the Contractor to provide publicity for the program and to have an identifying logo in equal sized lettering on any printed materials and on all brochures, flyers, and advertisements (including without limitation television graphics), and on program vehicles, as follows:

Funded by the Administration for Community Living through the New York State Office for the Aging and the

Suffolk County Office for the Aging

b. Any announcements of the program on radio or television must identify funding in the same manner.

c. The provisions of this paragraph supersede the provisions of paragraph 20 of Article III.

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13. Contributions

a. The Department shall provide caregivers receiving service under this program with the opportunity to make a completely voluntary and anonymous contribution to the cost of the service. All contributions are used to enhance the program. Service may not be denied, however, if a person is unable or unwilling to make a contribution.

b. Letters are sent by the Department to each recipient of service at least once within the year of service informing him/her of these facts. Contributions received by the Department will be sent to the provider of the service. The contribution amount will be deducted from the amount of vouchers submitted by the contractor for the service.

c. Individuals with self-declared incomes at or above one hundred eighty-five percent (185%) of the federal poverty line will be encouraged to contribute at levels based on the actual cost of services.

14. Participant Comments & Satisfaction Surveys

Pursuant to the NYSOFA Regulation 6654.8, the Department has developed a method for surveying client satisfaction to assure that the views of older persons are solicited and considered as to the operation of the program. The surveys seek to maintain the client’s right to confidentiality. The

Department sends each recipient an evaluation letter at least once annually.

15. Monitoring

a. Financial Transactions

The Department’s staff and staff of the New York State Office for the Aging may examine or review evidence regarding the existence, timing and classification of financial transactions that are charged to the program for reimbursement. To obtain this evidence, such staff may examine documentary evidence, including financial statements, financial reports, and original records.

Such staff may make physical verification by actually observing or counting certain assets (e.g., cash, equipment and supplies) to establish their physical existence.

b. Program

Subject to the limitations of client confidentiality, the Contractor agrees to permit the

Department’s staff and staff of the New York Office for the Aging to review program records and to monitor training, supervision and services at any time.

16. Safety

a. The Contractor shall take reasonable precautions to protect the rights and safety of care receivers at the Contractor’s facility.

b. The Contractor shall have a secure unit for care, if indicated by the assessment as appropriate.

c. For the term of this Contract, the Contractor shall maintain and have available for inspection by the Department, upon its request, written procedures to be followed by staff in case of emergency, as well as policies and procedures for providing backup workers when the usual staff is not available, and shall make an updated emergency plan available at least annually.

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17. Grievance Procedures

In accordance with §306 (a) (10) of the Older Americans Act, as amended (OAA), the Department has established a process for resolving complaints from older persons who are dissatisfied with or denied services funded under Title III of the Act. The Contractor shall comply with the requirements of the

Grievance Procedures as set forth in Article IB - Grievance Procedures.

18. Contract Agency Performance Measures and Reporting Requirements – Local Law No. 41-2013

a. If payment under this Contract may exceed $50,000, it is subject to the requirements of Suffolk

County Local Law No. 41-2013, a Local Law to Implement Performance Measurements to

Increase Accountability and Enhance Service Delivery by Contract Agencies (Article VIII of Chapter 189 of the Suffolk County Code) as set forth in Article IV of this Contract entitled

“Suffolk County Legislative Requirements.”

b. The Contractor shall cooperate with the Department in all aspects necessary to carry out the requirements of Local Law No. 41-2013.

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Contractor’s Narrative and

Response for Equal Access

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Article IA

Social Adult Day Care Regulations adopted by the

New York State Office for the Aging (9 NYCRR § 6654.20)

IIIE Social Adult Day Services

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ARTICLE I

Article IB

Grievance Procedures I. Purpose

A. In accordance with § 306(a)(10) of the Older Americans Act, as amended (OAA), Suffolk County Office for the Aging has established the following process for resolving the complaints from older persons who are dissatisfied with or denied services.

II. Notifying Participants of Right to File Grievance

A. The Contractor shall notify participants and applicants of their right to file a grievance, as follows:

1) A summary of the procedures, including a statement that assistance to file shall be provided to older persons, must be prominently posted at service delivery sites or offices at which participants and service applicants apply for services. Summaries shall also be written in languages other than English where needed to serve the client/applicant population.

2) In-home services participants shall be informed of the grievance procedures through written and verbal statements provided to them upon assessment and/or reassessment for services.

B. Denial of Service. Any participant or applicant who is denied services must be given the reasons for the denial. For housekeeping, homemaker, home delivered meals, case management, and other services for which written applications are made, the denial shall be confirmed in writing and the applicant informed of the right to file a grievance and of the individual to whom the grievance shall be addressed. For congregate meals, transportation, recreation, and other services which are applied for by telephone or verbally in person, the client may be told of the right to file a grievance verbally.

III. Grievance Process

A. Filing of Grievance

1) Participants must submit their grievances in writing to the person(s) that has been designated by a service provider to conduct the initial review. The reviewer may be the director of the service provider agency, or any other person designated by such director who is not familiar with or otherwise involved in the particular grievance.

2) The grievance should be filled within thirty (30) days of denial, reduction, or termination of services, or of the event or circumstance with which the participant is dissatisfied. The service provider may grant an extension for good cause shown.

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ARTICLE I

3) The grievance should be filed on the enclosed form, which shall include a written statement setting forth in detail the date, time, and circumstances that are the basis of the complaint.

B. Investigation and Response to Grievance

1) The designated reviewer who performs the initial review shall investigate the grievance. If appropriate, this may include meeting with the grievant and/or other persons involved in the action(s) complained of or in the denial of services. The reviewer shall review all pertinent facts and/or documents, and shall determine whether the complained-of agency action or determination was consistent with applicable federal and State laws, regulations, and policies.

2) The designated reviewer shall prepare and send a written response to the grievant within fifteen

(15) days after the grievance is filled. The response shall set forth the circumstances relating to the grievance, the action requested by the grievant, the findings of the reviewer, a proposed remedial action, if any, and an explanation of the determination, including the facts relied upon.

A copy of its decision must be forwarded to the Director of the Suffolk County Office for the

Aging.

3) The designated reviewer shall create and maintain a Complaint File consisting of the grievance form, all documents and /or information relied upon in making a determination, and the written response described above.

C. Appeal of Initial Response/Decision.

If the complaint has been handled by a service provider agency under subcontract to the Suffolk

County Office for the Aging and the grievant is not satisfied with the determination reached by such service provider, the grievant has the right to further review as follows:

1) The grievant may initiate a request for subsequent review by the Suffolk County Office for the

Aging Director, P.O. Box 6100, Hauppauge, New York 11788-0099 within twenty (20) calendar days following receipt of notification by the service provider agency of its decision.

2) The Suffolk County Office for the Aging Director shall request, and the subcontractor agency shall provide, copies of the Complaint File. The Suffolk County Office for the Aging Director will review the materials to ensure that pertinent policies and procedures have been applied and followed. If appropriate, the Suffolk County Office for the Aging Director or his/her designee will meet with the grievant to allow for an opportunity to present information about the grievance.

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3) If policies and procedures have been adhered to, the Suffolk County Office for the Aging

Director will not overturn the decision of its subcontractor agency. If proper policies and procedures have not been applied, the Suffolk County Office for the Aging reserves the right to overturn the decision. The subsequent review shall be completed within forty-five (45) days of receipt of the request by the grievant and the grievant will be promptly notified in writing of the result of the subsequent review.

IV. Recordkeeping

The service provider agency which is handling the grievance shall keep a file, for six (6) years, of all relevant documents and records. This shall include at a minimum: the initial grievance; any investigative reports; any written response submitted by the Suffolk County Office for the Aging or service provider agency; any documents or other records submitted by any party; the written

Initial Response of the agency; and, if applicable, the notice to the grievant of the right to appeal.

V. Confidentiality

No information, documents, or records relating to a grievance shall be disclosed by program staff or volunteers in a form capable of identifying the grievant without the written informed consent of the grievant unless the disclosure is required by court order or program monitoring by authorized agencies.

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COMPLAINT LETTER FORM

Service Provider

Letterhead

Instructions

Please complete both sides of this form. If assistance is needed in completing this form, you may contact

(Name and phone). Completed forms should be sent to:

Service Provider contact person and address

This form must be filed within (30) calendar days of the event or action complained of, unless you are granted an extension for good cause.

I am requesting a review of the following grievance:

⎕ I was denied service.

⎕ I am not satisfied with the quality of service or an activity provided by your agency or by your service provider.

⎕ I have the following grievance (briefly describe):

Date/estimated date of the event or action complained of: ________________________

Please describe in details what happened or what your grievance is (if you need extra space, use back side of this form):

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Please state, if you know, what relief you are seeking:

Signed: _____________________________________

Name (print): _____________________________________

Date: _____________________________________

Address: _____________________________________

Phone Number: ____________________________________

End of Article I

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ARTICLE II

Article II

Definitions

1. Meanings of Terms

As used herein:

“Audit of Financial Statements” means the examination by the Comptroller and any Federal or State auditing authority of the financial statements of the Contractor resulting in the publication of an independent opinion on whether or not those financial statements are relevant, accurate, complete, and fairly presented.

“Budget” means the Contractor’s summary or plan of all intended revenue, whether received in the form of fees, grants, County funding, or any other source, and expenditures necessary to render the

Services.

“Budget Deficiency Plan” means an analysis of the cost of the

Services, changes in fiscal conditions, and required modifications to the Contract to continue to render the Services.

“Comptroller” means the Comptroller of the County of Suffolk.

“Contract” means all terms and conditions of this Contract forming all rights and obligations of the Contractor and the County.

“Contractor” means the signatory corporation, its officers, officials, employees, agents, servants, sub-contractors, volunteers, and any successor or assign of any one or more of the foregoing performing the

Services.

“County” means the County of Suffolk, its departments, and agencies.

“County Attorney” means the County Attorney of the County of

Suffolk.

“Department” means the signatory department approving the

Contract.

“Engineering Services” means the definition of the practice of engineering and the definition of practice of land surveying, as the case may be, under Section 7201 and Section 7203 of the State Education

Law, respectively.

“Event of Default” means

a. the Contractor’s failure to perform any duty required of it under paragraphs 1(b)-(e) of Article

III of the Contract; or

b. the Contractor’s failure to maintain the amount and types of insurance with an authorized insurer as required by the Contract; or

c. the Contractor’s failure to maintain insurance required by the Contract with an insurer that has designated the New York Superintendent of

Insurance as its lawful agent for service of process;

or

d. the Contractor’s failure to comply with any

Federal, State or local law, rule, or regulation, and

County policies or directives; or

e. the Contractor’s bankruptcy or insolvency; or

f. the Contractor’s failure to cooperate in an Audit of

Financial Statements; or

g. the Contractor’s falsification of records or reports, misuse of funds, or malfeasance or nonfeasance in financial record keeping arising out of, or in connection with, any contract with the County; or

h. the Contractor’s failure to submit, or failure to timely submit, documentation to obtain Federal or

State funds; or

i. the inability of the County or the Contractor to obtain Federal or State funds due to any act or omission of the Contractor; or

j. any condition that the County determines, in its sole discretion, is dangerous.

k. the failure to comply with Local Law 41-2013 and related contractual requirements.

“Federal” means the United States government, its departments, and agencies.

“Fringe Benefits” means non-wage benefits which accompany, or are in addition to, a person’s salary, such as paid insurance, sick leave, profit-sharing plans, paid holidays, and vacations.

“Fund Source” means any direct or indirect sum payable to the

Contractor by the County pursuant to any lawful obligation.

“Legislature” means the Legislature of the County of Suffolk.

“Management Letter” means a letter certified as true by the

Contractor’s certified public accountant or chief financial officer of findings and recommendations for improvements in internal fiscal control that were identified during an Audit of Financial Statements, but which were not required to be included in an audit report.

“Municipal Corporation” means a town, village, or school district.

“Services” means all that which the Contractor must do, and any part thereof arising out of, or in connection with, the Contract as described in Article I “Description of Services.”

“State” means the State of New York.

“Statement of Other Contracts” means a complete list of all other contracts under which money has been or will be paid to the Contractor from the County, Federal, or State governments, or a Municipal

Corporation, and (i) which are currently in effect or (ii) which have expired within the past twelve (12) months and have not been renewed.

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ARTICLE II

“Suffolk County Payment Voucher” means the document authorized and required by the Comptroller for release of payment.

“Term” means the time period set forth on page one of the Contract and, if exercised by the County, the option period.

2. Elements of Interpretation

Words of the masculine gender shall mean and include correlative words of the feminine and neuter genders and words importing the singular number shall mean and include the plural number and vice versa. Words importing persons shall include firms, associations, partnerships (including limited partnerships), trusts, corporations, and other legal entities, including public bodies, as well as natural persons, and shall include successors and assigns.

Capitalized terms used, but not otherwise defined, herein, shall have the meanings assigned to them in the Contract.

End of Text for Article II

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ARTICLE V

Article III

General Terms and Conditions

1. Contractor Responsibilities

a. Duties and Obligations i.) It shall be the duty of the Contractor to discharge, or cause to be discharged, all of its responsibilities, and to administer funds received in the interest of the County in accordance with the provisions of the Contract.

ii.) The Contractor shall promptly take all action as may be necessary to render the Services.

iii.) The Contractor shall not take any action that is inconsistent with the provisions of the iv.) Services provided under this Contract shall be open to all residents of the County.

b. Qualifications, Licenses, and Professional

Standards

The Contractor represents and warrants that it has, and shall continuously possess, during the Term, the required licensing, education, knowledge, experience, and character necessary to qualify it to render the Services.

The Contractor shall continuously have during the Term all required authorizations, certificates, certifications, registrations, licenses, permits, and other approvals required by Federal, State, County, or local authorities necessary to qualify it to render the Services.

c. Notifications i.) The Contractor shall immediately notify the County, in writing, of any disciplinary proceedings, commenced or pending, with any authority relating to a license held by any person necessary to qualify him, her, or the Contractor to perform the Services.

ii.) In the event that a person is no longer licensed to perform the Services, the Contractor must immediately notify the County, but in no event shall such notification be later than five (5) days after a license holder has lost the license required to qualify the license holder or the

Contractor to perform the Services.

iii.) In the event that the Contractor is not able to perform the Services due to a loss of license, the Contractor shall not be reimbursed for the Services rendered after the effective date of termination of such license. Without limiting the generality of the foregoing, if any part of the

Contract remains to be performed, and the termination of the license does not affect the

Contractor’s ability to render the Services, every other term and provision of the Contract shall be valid and enforceable to the fullest extent permitted by law.

d. Documentation of Professional Standards

The Contractor shall maintain on file, in one location in

Suffolk County, all records that demonstrate that it has complied with sub-paragraphs (b) and (c) above. The address of the location of the aforesaid records and documents shall be provided to the County no later than the date of execution of the Contract. Such documentation shall be kept, maintained, and available for inspection by the

County upon twenty-four (24) hours notice.

e. Credentialing i.) In the event that the Department, or any division thereof, maintains a credentialing process to qualify the Contractor to render the Services, the Contractor shall complete the required credentialing process. In the event that any State credential, registration, certification or license, Drug Enforcement Agency registration, or

Medicare or Medicaid certification is restricted, suspended, or temporarily or permanently revoked, it is the duty of the Contractor to contact the Department, or division thereof, as the case may be, in writing, no later than three (3) days after such restriction, suspension, or revocation.

ii.) The Contractor shall forward to the

Department, or division thereof, as the case may be, on or before July 1 of each year during the

Term, a complete list of the names and addresses of all persons providing the Services, as well as their respective areas of certification, credentialing, registration, and licensing.

f. Engineering Certificate

In the event that the Contract requires any Engineering

Services, the Contractor shall submit to the County, no later than the due date for submission for approval of any engineering work product, the Certificate of Authorization

(“Certificate”), issued pursuant to § 7210 of the New York

Education Law, of every person performing any Engineering

Services. The failure to file, submit, or maintain the

Certificate shall be grounds for rejection of any engineering work product submitted for approval.

2. Termination

a. Thirty Days Termination

The County shall have the right to terminate the Contract without cause, for any reason, at any time, upon such terms and conditions it deems appropriate, provided, however, that no such termination shall be effective unless the Contractor is given at least thirty (30) days’ notice.

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b. Event of Default; Termination on Notice i.) The County may immediately terminate the Contract, for cause, upon such terms and conditions it deems appropriate, in the Event of

Default, as defined in Article II.

ii.) If the Contractor defaults under any other provision of the Contract, the County may terminate the Contract, on not less than five (5) days’ notice, upon such terms and conditions it deems appropriate.

c. Termination Notice

Any notice providing for termination shall be delivered as provided for in paragraph 27 of this Article III.

d. Duties upon Termination i.) The Contractor shall discontinue the

Services as directed in the termination notice.

ii.) Subject to any defenses available to it, the County shall pay the Contractor for the

Services rendered through the date of termination.

iii.) The County is released from any and all liability under the Contract, effective as of the date of the termination notice.

iv.) Upon termination, the Contractor shall reimburse the County the balance of any funds advanced to the Contractor by the County no later than thirty (30) days after termination of the

Contract. The provisions of this subparagraph shall survive the expiration or termination of the v.) Nothing contained in this paragraph shall be construed as a limitation on the County’s rights set forth in paragraphs 1(c) (iii) and 8 of this

Article III.

3. Indemnification and Defense

a. The Contractor shall protect, indemnify, and hold harmless the County, its agents, servants, officials, and employees from and against all liabilities, fines, penalties, actions, damages, claims, demands, judgments, losses, suits or actions, costs, and expenses caused by the negligence or any acts or omissions of the Contractor, including reimbursement of the cost of reasonable attorneys' fees incurred by the County, its agents, servants, officials, and employees in any action or proceeding arising out of, or in connection with, the Contract.

b. The Contractor hereby represents and warrants that it will not infringe upon any copyright in performing the

Services. The Contractor agrees that it shall protect, indemnify, and hold harmless the County, its agents, servants, officials, and employees from and against all liabilities, fines, penalties, actions, damages, claims, demands, judgments, losses, suits or actions, costs, and…