Main Menu

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 1

SECTION I

GENERAL ADMINISTRATION

Table of Contents

Introduction pg. 3

Definitions pg. 4

Responsibilities pg. 5

Provision of Information and Print Publications pg. 7

Organization and Staffing pg. 8

Advisory Council pg. 9

Advocacy pg. 10

Affirmative Action pg. 11

Age Verification and Eligibility Determination pg. 12

Public Hearing pg. 14

Confidentiality and Disclosure pg. 15

Confidentiality of Client Records pg. 16

Conflict of Interest pg. 17

Coordination pg. 18

Disclosure Statement pg. 19

Services Denied, Suspended, or Reduced pg. 20

Services Suspended Re: Imminent Danger /Unhealthy/Unsafe Environment pg. 21

Education and Training Responsibilities pg. 22

Service Provider Education and Training Responsibilities pg. 23

Greatest Economic or Social Need Preference pg. 24

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 2

Service Provider Responsibilities pg. 25

Conflict Resolution Relating to LCAAAIL and Subcontractors pg. 26

Report of Complaint or Concern (HC-03) pg. 28

Incident Reporting pg. 29

Monitoring pg. 31

Needs Assessment and Priority Setting pg. 33

Public Hearings Area Agency Scheduled pg. 34

Participant Responsibilities pg. 35

Exclusion Policy pg. 37

Criminal Records Check for Employees and Volunteers pg. 38

Prohibited Employee Activities pg. 39

Job Listing and Employment Priority pg. 41

Civil Rights Compliance pg. 42

Discrimination (Because of Handicap) Prohibited pg. 44

Contractor Responsibilities pg. 45

Volunteers’ pg. 47

Reporting Abuse and Neglect pg. 48

Intra Agency Case Transfers pg. 49

Client Intake Process pg. 50

Waiting List pg. 52

Bed Bug Infestation pg. 53

LCAAAIL Staffing pg. 55

LCAAAIL Staffing During Staff Absences or Vacancies pg. 56

LCAAAIL Transitions Policy pg. 57

LCAAAIL Anti=Bullying Policy pg. 58

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 3

INTRODUCTION

The Older Americans Act (OAA) of 1965, as amended, (Public Law 89-73) provides for "assistance in the development of new or improved programs to help older persons through grants to the states for community planning and services and for training through research, development, or training project grants, and to establish within the Department of Health, Education and Welfare an operating agency to be designated as the Administration on Aging."

The law further established both a state unit on aging and Area Agencies on Aging. The Lake Cumberland Area Development District (LCADD) has been designated as an Area Agency on Aging (AAA) by the Governor of the Commonwealth of Kentucky in accordance with the OAA regulations. Further, in December 2006 the Governor, by Executive Order elevated the Cabinet for Health and Family Services, Division of Aging Services (state unit on aging) to the Department for Aging and Independent Living. As a result, the Area Agency on Aging in the state of Kentucky transitioned to becoming an Area Agency on Aging and Independent Living (AAAIL). As the AAAIL, LCADD is responsible for administering federal and state funded programs for the elderly in the ten counties of: Adair, Casey, Clinton, Green, McCreary, Pulaski, Russell, Taylor and Wayne which compromise the LCADD service area.

The goal of this manual is to assist contractors of OAA, state and other federal funded programs in complying with the terms of contracts with LCADD, and the rules, regulations and laws that govern the federal and state funds included in those contracts for the administration of programs therein.

This manual shall also be used to provide information and guidelines for best practice standards for programs and services for older persons and persons with disabilities

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 4

DEFINITIONS

(1) Area Development District means any of the 15 regional planning and development agencies with which the Department for Aging and Independent Living contracts for the local delivery of aging services.

(2) Area Agency on Aging and Independent Living (AAAIL) means that local agency designated under the provisions of Title III of the Older Americans Act to administer programs and services for a given planning and service area.

(3) Administration on Aging means that federal agency housed within the Office of the Secretary of Health and Human Services, which is responsible for the administration of grant awards to State Units on Aging under Title III of the Older Americans Act.

(4) Area Plan means the plan submitted by an Area Agency on Aging and Independent Living for the approval of the Department for Aging and Independent Living which releases funds under contract for the delivery of services within the planning and service area.

(5) Focal Point means that facility designated within each community by the Area Agency on Aging and Independent Living as the local agent for the development of a coordinated community-based delivery system providing a comprehensive array of services.

(6) Planning and Service Area means that multi-county geographical entity in which a given Area Agency on Aging and Independent Living is responsible for the delivery of aging services.

(7) State Plan represents the formal application of the Department for Aging and Independent Living for federal Title III funds under the Older Americans Act and provides a basis for the expenditure of such funds.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 5

Lake Cumberland AREA AGENCY ON AGING AND INDEPENDENT LIVING RESPONSIBILITIES

Lake Cumberland Area Agency on Aging and Independent Living shall be the leader relative to all aging issues on behalf of all older persons and those with disabilities in the LCADD planning and service area. The agency shall proactively carry out, under the leadership and direction of the Department for Aging and Independent Living, a wide range of functions related to: advocacy, planning, coordination, interagency linkages, information sharing, brokering, monitoring and evaluation, designed to lead to the development or enhancement of comprehensive and coordinated community-based systems in, or serving, each community in the planning and service area. These systems shall be designed to assist older persons and those with disabilities in leading independent, meaningful and dignified lives in their own homes and communities as long as possible.

A comprehensive and coordinated community-based system shall:

1. Have a visible focal point of contact where anyone can go or call for help, information or referral on any aging and disability issue;

2. Provide a range of options;

3. Assure, that these options are readily accessible to all older persons and those with disabilities; the independent, semi-dependent and totally dependent, no matter what their income;

4. Include a commitment of public, private, voluntary and personal resources committed to supporting the system;

5. Involve collaborative decision making among public, private, voluntary, religious and fraternal organizations and older people and those with disabilities in the community;

6. Offer special help or targeted resources for the most vulnerable older persons and those with disabilities, those in danger of losing their independence;

7. Provide effective referral from agency to agency to assure that information or assistance is received no matter: how or where contact is made in the community;

8. Evidence sufficient flexibility to respond with appropriate individualized assistance, especially for the vulnerable older person and those with disabilities;

9. Have a unique character which is tailored to the specific nature of the community; and

10. Be directed by leaders in the community who have the respect, capacity, and authority necessary to convene all interested persons, assess needs, design solutions, track overall success, stimulate change and plan community responses for the present and for the future.

11. Have effective information and reporting system.

The resources made available to the Lake Cumberland Area Agency on Aging and Independent Living by the Kentucky Department for Aging and Independent Living shall be used to finance

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 6

those activities necessary to achieve elements of a community-based system set forth under this standard operating procedure. For the purpose of assuring access to information and services for older persons and those with disabilities, Lake Cumberland Area Agency on Aging and Independent Living shall work with community leadership in the planning and service area to designate one or more focal points on aging in each community, as appropriate.

Lake Cumberland Area Agency on Aging and Independent Living shall:

1. Operate an Aging and Disability Resource Center as a single point of entry/contract for community resources, programs and sources.

2. Designate community focal points throughout the region.

3. Define "community" as it relates to population served by a given focal point; the definition shall be approved by the Department for Aging and Independent Living and listed in the Area Agency on Aging and Independent Living Area Plan. The community shall not be defined beyond a county.

4. Give special consideration to developing and designating multipurpose senior centers as focal points;

5. Assure that services financed under the Older Americans Act, in or on behalf of the community will be based at, linked to, or coordinated with the focal points;

6. Assure access from the focal points to services financed under the Older Americans Act;

7. Work with or work to assure that community leadership works with other applicable agencies and institutions in the community to achieve maximum comprehensive arrayal of, coordination with or access to other services and opportunities for the elderly and those with disabilities from the focal points; and

8. Refrain from engaging in any activity, which is inconsistent with its statutory mission prescribed in the Older Americans Act or policies prescribed by the State under Regulation 45 CFR 1321.11.

9. Maintain written policy and procedures to ensure a plan for the continuity of services, in the event that a subcontractor is terminated.

10. Ensure service continuity for the protection of the health, safety and welfare of the clients receiving services;

11. Ensure the continued operation of services affected by the termination and either performs the responsibilities of the terminated provider or assign responsibilities to another provider;

12. Secure all program /client records, facilities under program control and equipment; and

13. Contact DAIL immediately and submit an emergency plan of action to DAIL within 92 days, should a termination of a subcontract be necessary.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 7

PROVISION OF INFORMATION AND PRINT PUBLICATIONS

Lake Cumberland Area Agency on Aging and Independent Living requires that all publications or media releases be reviewed and approved by the LCAAAIL Director or LCADD Executive Director before being sent to print, publication or released via the media.

PROCEDURE:

This procedure is to provide guidance to AAAIL staff in the provision of print information to the general public, consumers, advocates or media. Examples include but are not limited to, interviews, press releases, media advisories, and letters to the editor, pamphlets, poster, brochures, flyers, community / public events such as health fairs, school activities and media events including audio / radio releases and internet postings.

All LCAAAIL staff should coordinate review of documents, in a timely manner, with the LCAAAIL Director or in the absence of the AAAIL Director, the Executive Director of Lake Cumberland ADD, prior to releasing information that has the potential to generate public interest or media.

Lake Cumberland Area Agency on Aging and Independent Living seeks to provide the widest practical, accurate and appropriate dissemination of information concerning its activities, programs and recommendations.

All print publications supported with state/federal funds shall contain the following statement: "This information is made possible by state and or federal funding provided by the Kentucky Department of Aging and Independent Living."

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 8

ORGANIZATION AND STAFFING

Lake Cumberland Area Agency on Aging and Independent Living shall provide adequate and qualified staff to perform its functions as prescribed under 45 CFR 1321, or by state regulation.

Lake Cumberland Area Agency on Aging and Independent Living shall:

1. Function organizationally as prescribed under designation provision of Section 305(b)(5)(C) of the Older Americans Act;

2. Have on file for review a staffing plan that identifies the number and types of staff assigned to carry out Area Agency on Aging and Independent Living responsibilities and functions;

3. Assign administrative and direct service staff either as require by Federal or state and program staff in proportion to funding allocated to the Area Agency on Aging and Independent Living to administer such program.

4. Indicate in the Area Plan staffing patterns and relationships when the Area Agency on Aging and Independent Living is housed under an umbrella "organization;" and

5. Respond to corrective action initiatives and general information requests of the Department for Aging and Independent Living when issues arise concerning staffing practices.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 9

AREA AGENCIES ON AGING AND INDEPENDENT LIVING ADVISORY COUNCIL

Lake Cumberland Area Agency on Aging and Independent Living shall establish an advisory council as follows:

1) Functions of Council. The area advisory council shall carry out advisory functions, which further the Area Agency's mission of developing and coordinating community-based systems of services for all older persons in the planning and service area. The council shall advise the Agency relative to:

a) Developing and administering the Area Plan;

b) Conducting public hearings;

c) Representing the interest of older persons; and

d) Reviewing and commenting on all community policies, programs and actions, which affect older persons with the intent of assuring maximum coordination and responsiveness to older persons.

2) Composition of Council. The council shall include individuals and representatives of community organizations who will help to enhance the leadership role of the Area Agency in developing community-based systems of services. The advisory council shall be made up of:

a) More than 50 percent older persons, including minority individuals who are participants or who are eligible to participate in programs under the Older Americans Act;

b) Representatives of older persons;

c) Representatives of health care provider organizations, including providers of veterans’ health care if providers of veterans' health care are located in the geographical Area Development District;

d) Representatives of supportive services providers’ organizations;

e) Persons with leadership experience in the private and voluntary sectors;

f) Local elected officials; and

g) The general public.

3) Review by Advisory Council. The Area Agency on Aging and Independent Living shall submit the Area Plan and amendments for review and comment to the advisory council before transmittal to the Department for Aging and Independent Living for approval.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 10

ADVOCACY (AREA AGENCIES ON AGING AND INDEPENDENT LIVING)

The Lake Cumberland Area Agency on Aging and Independent Living shall serve as the public advocate for the development or enhancement of comprehensive and coordinated community-based systems of services in each community throughout the planning and service area.

Procedure:

Lake Cumberland Area Agency on Aging and Independent Living shall:

(1) Monitor, evaluate, and provide necessary comment on all policies, programs, hearings, levies, and community actions which affect older persons;

(2) Solicit comments from the public on the needs of older persons;

(3) Represent the interests of older persons to local-level and executive branch officials, public and private agencies or organizations;

(4) Consult with and support the Commonwealth's Long-Term Care Ombudsman Program;

(5) Undertake on a regular basis activities designed to facilitate the coordination of plans and activities with all other public and private organizations, including units of general purpose local government, with responsibilities affecting older persons in the planning and service area to promote new or expanded benefits and opportunities for older persons;

(6) Undertake a leadership role in assisting communities throughout the planning and service area to target resources from all appropriate sources to:

(a) Meet the needs of older persons with greatest economic or social need, (with particular attention to low-income older individuals, including low-income minority older individuals, older individuals with limited English proficiency, and older individuals residing in rural areas)

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 11

AFFIRMATIVE ACTION

Lake Cumberland Area Agencies on Aging and Independent Living shall follow the Equal Employment Opportunity, Affirmative Action Procedure Statements and Plans.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 12

AGE VERIFICATION AND ELIGIBILITY DETERMINATION

Except for those individuals utilizing only ombudsman, legal, outreach, and information and referral services, the Lake Cumberland Area Agency on Aging and Independent Living shall ensure verification of eligibility of those individuals participating in the Homecare, Adult Day Care, and Title III programs.

Procedure:

(1) Prior to the implementation of the service, the Area Agency on Aging and Independent Living shall review with all Title III, Homecare, and Adult Day Care intake/assessment staff, including subcontractor staff, their procedures for documenting participant age or other eligibility determinants.

(2) Client records shall include the following information:

(a) The participant's age or birth date;

(b) The method of verifying the reported age including one (1) of the following:

1. Birth certificate;

2. Driver’s License;

3. School Record;

4. Passport;

5. U.S. Census Records;

6. Employment identification card;

7. Military/Veteran identification card;

8. Notarized affidavit of birth;

9. Wedding or divorce decree; or

10. Other- if other is used, the description must be: a. Documented in the State Database (SAMS) via notes section; and

b. Maintained in the client’s central file;

(c) The staff involved in the verification process;

(d) Other eligibility determinants; and

(e) Verification of other eligibility determinants

(3) If the required method for verification specified in paragraph (b) 1 through 10 of this subsection is not available, the participant may sign a declaration (agency document). The declaration must also be signed by one (1) witness who knows the participant and who confirms the participant’s statement of his/her age. A hard copy of the declaration shall me maintained in the client’s central file. Staff may not sign as a witness.

(4) Verification of eligibility shall be required only once even though the participant may receive services from multiple Title III programs. It is the AAAIL’s responsibility to insure age verification is complete on all clients as required and information is: (a) Entered in the state data system; and

(b) Maintained in the client’s central file.

(5) Verification of eligibility shall not be required to be updated each fiscal year.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 13

(6) Participants who receive services from different providers need to verify eligibility only once under the following conditions: (a) The Lake Cumberland Area Agency on Aging and Independent Living is responsible for verifying eligibility. The Area Agency on Aging and Independent Living may designate a subcontractor for specified services as outlined in the AAAIL and provider contract for verifying eligibility and for maintaining and filing the verification information. Should the primary agency no longer be the subcontractor, the AAAIL will be responsible for the maintenance of files which include the original eligibility information;

(b) Other subcontractors may contact the AAAIL to confirm that eligibility has been verified. The AAAIL may:

1. Send to the requesting subcontractor a copy of the eligibility verification form (which is filed in the record);

2. Provide the subcontractor access to the client e-records; or

3. May give the information verbally. Verbal confirmation of eligibility shall be documented in the participant's central file, and in the client’s e-record. The record shall include: a. The participant's age or birth date;

b. Identity of staff person in the AAAIL used to verify age;

c. The subcontractor’s staff person who made the contact with the AAAIL;

d. Other eligibility determinant; and

e. Verification of other eligibility determinant.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 14

PUBLIC HEARING

Lake Cumberland Area Agency on Aging & Independent Living shall conduct public hearings on Area Plans prior to its submission to the Department for Aging & Independent Living. Amendments to Area Plans determined by the Department to be non-administrative in nature shall also be subject to public hearings.

Lake Cumberland Area Agency on Aging and Independent Living shall comply with the following provisions in scheduling public hearings:

(1) The selected hearing site shall be that most readily accessible to all residents in the planning and service area.

(2) Notice of the hearing date, time and location shall be advertised in the area media at least ten (10) days prior to the hearing.

(3) A copy of the Area Plan or amendment shall be available for public review during the ten working day period prior to the scheduled public hearing and the opportunity for review publicly advertised.

(4) A verbal presentation on the Plan or amendment shall be given at the public hearing and written summaries of the Plan or amendment made available for distribution. Lake Cumberland Area Agency staff shall be present to respond to questions from the audience, which shall be encouraged.

(5) LCAAAIL shall elicit from the audience both verbal and written recommendations and extend for a period of up to two (2) weeks the opportunity to submit comments.

(6) All written suggestions and summaries of verbal comments shall be kept on file by Lake Cumberland Area Agency on Aging and Independent Living for the duration of the Plan.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 15

CONFIDENTIALITY AND DISCLOSURE

Client information obtained by the Department, LCAAAIL or contractors shall not be disclosed by the provider or agency in a form that identifies the person without the informed consent of the person or legal representative unless the disclosure is required by court order or for program monitoring by authorized Federal, State or local monitoring agencies.

The Department for Aging and Independent Living, Lake Cumberland Area Agencies on Aging and Independent Living, and its Service Providers shall refer all reports of abuse, neglect, exploitation or spouse abuse received to Adult Protective Services, Cabinet for Health and Family Services.

The Department for Aging and Independent Living shall not be required to disclose those types of information or documents that are exempt from disclosure by a Federal agency under the Federal Freedom of Information Act, 5 U.S.C. 552. (See Older Americans Act of 1965 as amended P .L. 100-175, Section 307)

The Department for Aging and Independent Living or Lake Cumberland Area Agency on Aging and Independent Living shall not require a provider of legal assistance to reveal any information that is protected by attorney-client privilege

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 16

CONFIDENTIALITY OF CLIENT RECORDS

Lake Cumberland Area Agency on Aging will take reasonable measures to maintain the security and confidentiality of protected client records and charts in accordance with current law and regulations.

The physical chart is owned by the AAAIL and the information contained in the record is owned by the client.

Client Case Records/Files must be centrally located in the offices of Lake Cumberland Area Development District at all times. Files shall be maintained in a secured location where the office is locked and not accessible to anyone not employed by Lake Cumberland Area Development District unless LCADD staff are present. Client Case Records/Files include case notes, documentation, signature pages and anything required by the contract agency or in regard to a Lake Cumberland client and or consumer.

All files must be kept in a locked file cabinet and may not be kept in personal homes or vehicles.

Access to client information is granted only to employees, subcontractors and the Department of Aging & Independent Living Services, Cabinet for Health Services involved directly with the provision of care, payment or health care operations.

Information contained in the client chart is confidential. Unauthorized use/disclosure of this information may result in termination of employment.

Security: The client files are stored in locked file cabinets. The doors to the cabinets will be locked at the end of each day as well as the office doors.

Lake Cumberland Area Agency on Aging will make reasonable efforts to limit protected health/client information to the minimum necessary to accomplish the intended purpose of the use.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 17

CONFLICT OF INTEREST

The contractor shall certify that it is not and will not be violating either directly or indirectly any conflict of interest statute (KRS 45A.330 - 45A340.990, 164.390, 210.990(1); Title 45 CFR Part 74,) or any other applicable statute or principle by the performance of the contract.

No employee, officer or agent of the subcontractor agency shall participate in selection, or award or administration of a contract supported by Federal or State funds if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when:

1) the employee, officer or agent;

2) any member of his or her immediate family;

3) his or her business partner; or

4) an organization which employs, or is about to employ, any of the above, has a financial or other interest in the firm selected for award.

The grantee's officer, employees or agents shall neither solicit nor accept gratuities, favors or anything of monetary value from contractors, or potential contractors. Other actions of offerors or contractors prohibited include: receipt or solicitation of kickbacks from subcontractor; the obtaining of confidential procurement information not made available to all offerors; improper communication with agency staff, or council members to influence procurement decisions.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 18

COORDINATION

Coordination at all levels of program operation is necessary. LCAAAIL will coordinate services and opportunities for partnership with its provider network, units of government and community organizations. The goal of coordination is to increase opportunities for eligible populations and expand available resources to serve additional persons or provide additional services.

Providers are encouraged to participate in county level inter-agency organizations to provide and receive information regarding new or ongoing programs for the elderly, access additional resources and to provide assistance to eligible person in coordinating benefits and accessing public and community assistance.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 19

DISCLOSURE STATEMENT

All Aging Council Members and Aging Staff shall sign a statement of disclosure prior to proposal review. This form shall be updated prior to each procurement cycle.

The disclosure shall include the Conflict of Interest Statement. Individuals with a conflict of interest may, if needed, explain the proposal or answer questions. Minutes must document disclosure and absence from meeting. All projects must be voted on separately.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 20

SERVICES DENIED, SUSPENDED, OR REDUCED

Policy

Services for a client or participant may be denied, suspended or reduced for the following reasons:

1. Funds are no longer available or are reduced;

2. The service level is no longer needed;

3. Prioritization and needs determinations indicate the client no longer meets the criteria established for receiving services; or

4. Services may be suspended immediately if the service provider or case manager deems that a worker shall be at imminent risk or danger. The DAIL will be informed of this action immediately.

LCAAAIL shall provide the Department of Aging and Independent Living Services written notice of actions, other than those listed above in items I through 3, which may result in the denial of access to a program to any eligible participant.

Procedure

The following plan shall be utilized by the by the Lake Cumberland Area Agency on Aging and Independent Living when services to eligible persons are denied or suspended.

1. Independent Care Coordinator’s /Case managers and/or Area Agency on Aging Director will request a written incident report from the service provider agency that is requesting services to be put on hold.

2. Participant services shall not be put on hold by a provider agency until the case manager, supervisor, and Area Agency on Aging Director have determined that provisions of the care plan cannot be met.

3. The Lake Cumberland Area Agency on Aging and Independent Living Director will review the Case Manager / Independent Care Coordinator’s and service provider’s written reports which document the grounds requiring services to be put on hold.

4. The Area Agency on Aging Director and case manager will conduct a home visit with the participant to further investigate circumstances and make a final determination.

5. For all programs provided by LCAAAIL, assistance shall be provided in making appropriate referrals of participants to other agencies as appropriate.

6. In all cases, the client shall be informed of his/her rights to a fair hearing and provided with a copy of the appropriate Request for Hearing documents. Participants shall be assisted in filing the Request for Hearing documents, as needed.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 21

SERVICES SUSPENDED DUE TO IMMINENT DANGER OR UNHEALTHY OR UNSAFE ENVIRONMENT

The following items or situations are considered to be a threat to the safety of the Lake Cumberland Area Agency on Aging and Independent Living Network Staff and Service Providers:

Infestation of rodents and insects

Structure and surrounding premises are unsafe

Vicious animals

Contagious diseases

Out in the open firearms or lethal weapons that cause the staff to feel threatened.

Uncontrollable substance abuse

Uncontrollable sexual harassment and advances.

1. If a service provider or case manager deems that a worker is in imminent danger or is in an unhealthy or unsafe environment, services will be immediately put on hold until the Area Agency on Aging Director can investigate the situation and make final determination.

2. If deemed necessary case manager, service provider and/or Area Agency on Aging and Independent Living Director will call the appropriate local law enforcement, Department of Social Services and other appropriate agencies.

3. The Lake Cumberland Area Agency on Aging and Independent Living will refer to and follow the steps: 1-6 of the procedures taken in the Denial or Suspended section of SOPs

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 22

EDUCATION AND TRAINING RESPONSIBILITIES

Lake Cumberland Area Agency on Aging and Independent Living shall implement training and education programs including the following:

1. Conduct annual assessments to informally identify training needs and develop correlating plans;

2. Identify and review resources available to meet training needs;

3. develop a comprehensive education and training plan;

4. Seek additional resources to implement the plan;

5. Effect interagency coordination for the provision of specialized training;

6. Facilitate and assist the efforts of higher education in statewide forums of a gerontological orientation;

7. Conduct and coordinate specific training on aging programs district-wide;

8. Coordinate education programs with private, public, governmental and educational organizations and institutions;

9. Conduct training for area advisory councils, including training targeting new council members;

10. Specify the training requirements of the service providers;

11. May enter into contracts through Lake Cumberland Area Development District with providers of education and training services which can demonstrate the experience or capacity to provide these services, except that these contract authority shall be effective for any fiscal year only to such extent, or in amounts as are provided in appropriate Acts; and

12. Plan and implement staff development initiatives.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 23

SERVICE PROVIDER EDUCATION AND TRAINING RESPONSIBILITIES

The Service Provider shall provide education and training in accordance with requirements of the subcontract with Lake Cumberland Area Development District Area Agency on Aging and Independent Living.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 24

GREATEST ECONOMIC OR SOCIAL NEED PREFERENCE

Preference will be given to providing services to older individuals with greatest economic need and older individuals with greatest social need (with particular attention to low-income older individuals, including low-income minority older individuals, older individuals with limited English proficiency, and older individuals residing in rural areas)

Greatest economic means the need resulting from an income level at or below the poverty line. (OAA Section 102(23)) Greatest means the need caused by non-economic factors, which include:

1. physical and mental disabilities;

2. language barriers; and

3. cultural, social, or geographical isolation, including isolation caused by racial or ethnic status, that:

a. restricts the ability of an individual to perform normal daily tasks; or

b. threatens the capacity of the individual to live independently (OAA Section 102 (24))

Lake Cumberland Area Agency on Aging and Independent Living shall undertake a leadership role in assisting communities throughout the ten county planning and service area to target resources from all appropriate sources to meet the needs of older persons with greatest economic or social need, with particular attention to low-income minority individuals. However, grantees or contractors under this part shall not employ a means test for services funded under this part. (CFR 1321.61))

Outreach provided through Lake Cumberland Area Agency on Aging and Independent Living shall place special emphasis on:

1. older individuals residing in rural areas;

2. older individuals with greatest economic need (with particular attention to low-income minority individuals and older individuals residing in rural areas);

3. older individuals with greatest social need (with particular attention to low-income minority individuals and older individuals residing in rural areas);

4. older individuals with severe disabilities;

5. older individuals with limited English proficiency;

6. older individuals with Alzheimer’s disease and related disorders with neurological and organic brain dysfunction (and the caretakers of such individuals); and

7. Older individuals at risk for institutional placement, including outreach to identify older Indians in the planning and service area, and inform such older Indians of the availability of assistance under the Act. (45 CFR 1321.17 (8))

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 25

Service Provider Responsibilities

Each service provider shall specify in writing with the Area Development District how the provider intends to satisfy the needs of low-income minority individuals in the area served. The provider shall provide services to low-income minority individuals at least in proportion to the numbers of low-income minority older persons in the population served by the provider.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 26

CONFLICT RESOLUTION RELATING TO AREA AGENCY ON AGING AND INDEPENDENT LIVING AND SUBCONTRACTORS

The AAA has assured the Department for Aging & Independent Living and the Cabinet for Health Services through contractual agreements, that is shall comply with the provisions of the Civil Rights Act of 1964, as amended, Section 504, Rehabilitation Act of 1973, as amended, American Disabilities Act of 1990 and with 45 CFR 205.10. The AAA hereby affirms its compliance and expects its staff to act accordingly. The AAA shall not on the basis of race, color, national origin, sex, age, religion or handicap:

1. Deny any individual aid, care, services or other benefits of the AAA, either directly or through contractual or other agreements.

2. Provide any aid, care, services, or other benefits to an individual which is different or is provided in a different manner from that provided to others. (Different procedures will be utilized if deem necessary.)

3. Subject an individual to segregation or separate treatment in any matter related to his receipt of any aid, care, services or other benefits.

4. Restrict an individual in any way in the enjoyment of any advantage or privilege enjoyed by others receiving aid, care, services or other benefits.

5. Treat an individual differently from others in determining whether he satisfies eligibility or other requirements or conditions which individuals shall meet in order to receive aid, care, services or other benefits; and,

6. Deny an individual an opportunity to participate in the program through the provision of services or otherwise afford him an opportunity to do so which is different from that afforded others.

Procedures:

The client grievance procedure is an informal process that gives the complainant the opportunity to discuss his/her complaint. The purpose of the process is to clarify the issues; resolve informally those issues which can be resolved.

After receiving the request, the Lake Cumberland ICC/Case Manager and/or the Director of Aging & Independent Living Services will contact the client to clarify the issues of the complaint.

The client will be informed again by the Lake Cumberland ICC/Case Manager and/or the Director of Aging & Independent Living Services that all information received will be confidential and information will not be shared with others without the client’s consent and written permission to release information.

The Director of Aging & Independent Living Services may solicit information from all involved parties in an attempt to resolve the complaint in a manner that is acceptable to the complainant.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 27

The solicitation of information may include, but is not limited to, interviews with the complainant, case managers, service providers and review of relevant case materials.

All complaints shall be in writing or filed on the DAIL HC-03 Complaint Form and contain:

a. Specific allegations or complaints against the AAA or subcontractor agency;

b. Name of AAA or subcontractor staff person or persons involved, if known;

c. Circumstances under which the alleged act occurred; and,

d. Date and place of alleged act.

The complainant or legal guardian shall sign the request and submit it to the Lake Cumberland Area Agency on Aging & Independent Living. Upon request, the AAA and subcontractor staff shall assist individuals in preparation and submission of a complaint. Staff shall not assume responsibility for mailing request.

Requests shall be filed with Lake Cumberland Area Agency on Aging & Independent Living, P.O. Box 1570, Russell Springs, Kentucky, 42642-1570, within thirty (30) days after the alleged act or notice of a decision affecting services. If the notice is mailed, the date of the notice shall be the date mailed; otherwise it shall be the date of delivery. In cases where the request is filed after the thirty (30) day period, a decision as to acceptance or denial of the complaint for action shall be made by the Executive Director of the Area Development District or a designee named by the Executive Director.

Within five (5) working days of the receipt of the complaint, the AAA shall notify the complainant of the receipt of the request and the AAA's policy of attempts at local resolution.

The results of the AAA or subcontractors efforts to achieve local resolution of the complaint shall be mailed to the Executive Director not more than thirty (30) days. The report shall contain:

a. Nature of the Complaint (with specific issues);

b. Date of Resolution;

c. Persons involved in the complaint;

d. The results of the resolution;

A copy of the local resolution report which will include a specific statement of any issues not resolved shall be sent to the complainant and involved staff. If the complaint is resolved, the complainant shall sign an acknowledgment to be attached to the report.

All clients will be informed that they have a right of appeal to the Cabinet’s Department for Aging & Independent Living if the grievance or complaint is not resolved to the client’s satisfaction by the Lake Cumberland Area Agency on Aging & Independent Living.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 28

DAIL-HC-03 Report of Complaint or Concern Page ___ of____ ORGANIZATION __________________________________________ LOCATION _________________________

DATE REPORT RECEIVED ______________ STAFF TAKING REPORT _________________________________

PROGRAM(S)_________________________________________________________________________________REPORTING PERSON'S NAME ____________________________________ PHONE NO. ___________________

ADDRESS____________________________________________________________________________________

RELATIONSHIP TO CLIENT ________________________________________ MAY WE USE YOUR NAME? ____

CLIENT’S NAME ________________________________________________ PHONE NO. __________________

ADDRESS____________________________________________________________________________________REPORT DESCRIPTION -If written concern/complaint received, attach to this report, note if continued to another pg.

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

INVESTIGATION STAFF ASSIGNED_______________________________________________________________

SOURCES CONTACTED, DATES & RESULTS_______________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________FURTHER ACTION NEEDED_____________________________________________________________________

_____________________________________________________________________________________________CONCERN OR COMPLAINT RESOLUTION & DATES_________________________________________________

__________________________________________________________________________________________________________________________________________________________________________________________

INVESTIGATION STAFF SIGNATURE _______________________________________ DATE ________________

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 29

INCIDENT REPORTING

Policy:

All significant incidents associated with the Lake Cumberland Area Agency on Aging & Independent Living and service providers, personnel, client, or the public will be documented and reported to the worksite supervisor/manager and a copy forwarded to the Program Director. A significant incident is defined as any incident that is unexpected or has as unexpected outcome. All employees, contract personnel, volunteers, and/or agents of LCAAAIL will follow the Incident Reporting Policy.

Rationale:

A mechanism for handling reportable incidents must be established in an effort to ensure proper management of incidents, determine any potential legal liability, and to enhance the quality of care to our clients by identifying problem areas in an effort to prevent the occurrence of future incidents. It is also done to document threatening incidents to staff so that potential safety hazards can be addressed by agency.

Procedure:

Incidents are categorized into classes: Class I, Class II and Class III:

1. A Class I incident is minor in nature and does not create a serious consequence (nobody was injured, no physical harm or chemical restraints were needed, no police, court, or Adult/Child Protective agency involvement was necessary and incident did not require an investigation).

2. A Class II incident is serious in nature, involves the use of physical or chemical restraint, includes a medication error, results in injury to any involved party, requires an investigation by the provider, and may or may not necessitate police or court involvement.

3. A Class III incident is grave in nature, includes serious injury to any involved party, involve suspected abuse, neglect, or exploitation necessitating Adult or Child Protective agency involvement, may or may not require police or court involvement, includes medication errors that requires a medical intervention, involve a death, and immediate investigation is indicated.

Class I Incidents must:

Be reported to the Program Director within 24 hours; and

•Be reported to guardian (if applicable).

•Completed Incident Reports must be turned into Program Director within 24 hours following notification of the occurring incident

Class II Incidents shall:

Be reported to the AAAIL within 48 hours of discovery;

•Require an investigation which will be initiated and involve the supervisor within 24 hours of discovery;

•Staff will be required to notify guardian (if applicable) within 24 hours of discovery;

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 30

•Completed Incident Reports must be turned into Program Director and AAAIL within 24 hours following notification of the occurring incident.

Class III Incidents must:

Have an investigation be initiated immediately upon discovery and involve the AAAIL;

•Completed Incident Reports must be turned into the program and AAAIL Director within 24 hours following the notification of the occurring incident.

•Staff shall notify the Department for Community Based Services – Adult Protective Services (APS)/Child Protective Services (CPS) immediately upon discovery, if involving suspected abuse, neglect, or exploitation in accordance with KRS Chapter 209;

•Staff shall notify the guardian (if applicable) within 8 hours of discovery;

•AAAIL shall notify DAIL in writing within 8 hours of discovery; If incident occurs after p.m. EST on a weekday or occurs on a weekend or holiday, written notification to DAIL shall occur on the following business day: and

•AAAIL will send DAIL a complete written report of the incident investigation and follow-up within 7 calendar days of discovery.

All incident reports shall be kept in a centralized file, separate from the participants file.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 31

MONITORING

Policy: LCAAAIL will maintain and manage a comprehensive Quality Assurance System that includes contract monitoring and review.

Procedures:

Desk Reviews:

A review of the following information will be conducted at LCAAAIL prior to the on-site review:

Timeliness of programmatic and fiscal reports

Review of quarterly or other required reports

Amount paid to provider to date

Record of match

Correspondence records to address outstanding matters

Program and Fiscal Reviews:

LCAAAIL shall monitor the performance of all contractors. Contractors will monitor the performance of their subcontractors and provide the results to LCAAAIL. Monitoring is designed to assess compliance with the funded contract, policies, and legislation pursuant to all funded services. Administrative monitoring will be conducted on-site every other year with the interim year consisting of an administrative monitoring sign-off method and review. New and updated information will be reviewed closely, including personnel criminal records checks and training. Providers demonstrating the need for more in-depth review if new or consistent findings are identified will receive a full administrative review on-site each year until critical issues are resolved.

Staff will schedule on-site monitoring after the first quarter of the fiscal year is complete. In the event the provider and staff cannot determine a mutually agreed-upon monitoring date, LCAAAIL reserves the right to schedule and conduct the review at its convenience.

The following information will be reviewed on-site:

Record of services and client participation

Record of weekly activities and utilization

Method and verification for reporting units

Coding of staff time to appropriate source of funds

Fiscal records to verify payments, match, and program income

Participant files

Case management records/files, as applicable

Correspondence related to services funded by LCADD

Participant and staff interviews will be conducted as appropriate

Corrective Action

A written report of monitoring findings and corrective action needed will be provided to the contactor within fifteen (15) working days of completion of the monitoring review. The report will include General Findings, Corrective Actions (if necessary), and recommendations. Corrective action reports will include steps needed to implement corrective measures and timeline for expected implementation. LCAAAIL may also provide the contractor/provider with best practices or recommendations for improvement. These recommendations would not be considered

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 32

"corrective action" with mandated implementation, but would offer suggestions for improvements or modifications that could assist the provider or its clients.

Corrective Action is a required implementation of corrective measures to correct or improve a situation or practice by the provider that LCAAAIL identified as unallowable or outside of the scope of the program. If the contractor does not take the necessary corrective action steps to correct the deficiency within a reasonable time period, the AAAIL Director shall discuss the issue with the provider and attempt to reach a satisfactory resolution. If, after discussion the matter remains unresolved, the LCADD Executive Director or designee will be included for resolution. Should all prior attempts at corrective action fail; the LCADD Board or its designees will seek resolution with the contractor.

The Department for Aging and Independent Living may be contacted at any point in this process for technical assistance. LCAAAIL reserves the right to withhold funding until appropriate action has been taken.

The provider shall be advised of actions to be taken if noncompliance continues. Actions include but are not limited to the following: re-negotiation of the contract, financial sanctions or cancellation of the contract. If resolution is not possible, termination of the contract will be recommended. LCAAAIL will develop a contingency plan prior to the termination of the contract to assure service delivery during any period of corrective action. The contingency plan will be submitted to the Department for Aging and Independent Living and will take into consideration options available to assure services are not interrupted.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 33

NEEDS ASSESSMENT AND PRIORITY SETTING

The Older Americans Act required that Lake Cumberland AAAIL evaluate the need for all services, regardless of the source of funding for services. LCAAAIL is responsible for determining the services needs for seniors in our ten county areas. LCAAAIL utilizes a variety of tools in determining the need for services and establishing priorities for senior services.

Activities that shall be conducted to evaluate and determine the needs, specific groups within the aging population, and services which shall be addressed or receive top priority include the following:

1. Review and analyze the findings of the needs assessment and other surveys and documents that provide information regarding the needs or the elderly;

2. Conduct public hearings and compile and analyze data obtained;

3. Review and analyze census and other data which reflect the status of the elderly;

4. Gather and analyze client data from the Homecare Program and other applicable information systems;

5. Analyze program performance reports;

6. Analyze financial reports;

7. Conduct literature search;

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 34

PUBLIC HEARINGS AREA AGENCY SCHEDULED

Lake Cumberland Area Agencies on Aging and Independent Living shall conduct a public hearing on Area Plans prior to their submission to the Department for Aging and Independent Living. Amendments to Area Plans determined by the Department to be non-administrative in nature shall also be subject to public hearings.

Lake Cumberland Area Agency on Aging and Independent Living shall comply with the following provisions in scheduling public hearings:

1. The selected hearing site shall be that most readily accessible to all residents in the planning and service area.

2. Notice of the hearing date, time and location shall be advertised in the area media at least ten (10) days prior to the hearing.

3. A copy of the Area Plan or amendment shall be available for public review during the ten working day period prior to the scheduled public hearing and the opportunity for review publicly advertised.

4. A verbal presentation on the Plan or amendment shall be given at the public hearing and written summaries of the Plan or amendment made available for distribution. Lake Cumberland Area Agency staff shall be present to respond to questions from the audience, which shall be encouraged.

5. Lake Cumberland Area Agency on Aging shall elicit from the audience both verbal and written recommendations and extend for a period of up to two (2) weeks the opportunity to submit comments.

6. All written suggestions and summaries of verbal comments shall be kept on file by Lake Cumberland Area Agency on Aging and Independent Living for the duration of the Plan.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 35

PARTICIPANT RESPONSIBILITIES

In order to receive services from any program or service administered by Lake Cumberland Area Agency on Aging and Independent Living, the participant shall agree to receive services, sign an application requesting services, agree to provide information necessary to complete a plan of care, participate in the development of a plan of care, and cooperate with service providers. In any situation where the client is unable to cooperate and make decisions regarding service needs, the family or other caregiver must agree to cooperate on behalf of the client.

The service providers and the participant and family shall treat one another with mutual respect. None of the parties shall subject another to physical abuse, sexual harassment or verbal abuse. None of the parties shall subject another to possible physical harm through a display or handling a weapon, nor endanger another by an animal.

A provider may, upon due notice, suspend the provisions of a service to an otherwise eligible client where the provider, upon consultation with Lake Cumberland Area Agency on Aging and Independent Living determines that to provide the service poses a danger to any person. Such suspension may remain in effect until Lake Cumberland Area Agency on Aging and Independent Living determines that the danger has been abated or eliminated.

Procedure:

1. Each participant shall sign an application for services within 30 days of receiving services.

2. The participant shall signify the following voluntarily by signing the application:

a. Verification of income, if questionable (except for Title III, which prohibits a means test);

b. Release of information to specified agencies;

c. Access by the Cabinet and the area development district to the Participant's records for monitoring purposes; and

d. Understanding by the participant of "Participant Responsibilities"

3. If the client is unable for physical or mental reasons to consent and has a legal guardian, caregiver, spouse or other proxy, the application must be signed by that person.

4. Should either party feel that an offense has occurred, recourse shall be sought through the mediation, grievance, or complaint procedures established by the provider, LCAAAIL or the Department.

5. Participant services are not to be suspended by a provider agency until the case manager or LCAAAIL Director has determined that the provisions of the care plan cannot be met due to the behavior of the participant or family. Services may be suspended if the service provider or case manager deems that a worker will be at imminent risk or danger. The provider agency shall report suspension of services

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 36

immediately to Lake Cumberland Area Agency on Aging and Independent Living who shall investigate the suspension and make a final determination.

6. In situations of suspension as described in (5), a written report that documents the grounds requiring suspension, attempts to resolve the situation, and written notice that the client may file a grievance under the DSS-154 system, shall be forwarded to LCAAAIL or to the Department for Aging and Independent Living.

7. When conflicts or disagreements occur involving either staff or participants regarding mutual respect, the following steps shall be followed:

a. A verbal warning to the staff or participant for the- first conflict;

b. A written warning for a second conflict;

c. Suspension;

d. In situations of suspension as described in (5), a written report which documents the grounds requiring suspension, attempts to resolve the situation and written notice that the client may file a grievance under the AAA-154 system shall be forwarded to LCAAAIL or to the Department for Aging and Independent Living; and

e. Detailed written records shall be maintained for the service provider.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 37

Exclusion Policy

The following shall be excluded from Participant Responsibilities:

1. Residents and family members who receive services under the Long Term Care Ombudsman Program

2. Participants and providers of Intake and Referral, Outreach and Legal Assistance

3. Congregate services provided in or arranged by a senior citizens center, nutrition site or other provider. Senior centers, nutrition sites, day care or other congregate programs may develop and display conspicuously a policy of mutual respect as appropriate for the congregate location.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 38

CRIMINAL RECORDS CHECK FOR EMPLOYEES AND VOLUNTEERS

All employees or volunteers of agencies that provide direct service to senior citizens under contract with LCADD shall have a criminal record check completed consistent with the provisions of KRS 216.785, 216.787 and 216.793 as a condition of employment. Criminal records checks shall be completed and on file prior to an employee or volunteer having any direct contact with a senior citizen. This policy includes the following definitions:

Employee: All individuals either employed by a direct service agency or volunteers utilized by that agency that have direct client contact are covered by this law. Employees or Volunteers hired by an organization prior to July 15, 1994 are not covered by this law.

Criminal Records Check: Only the Kentucky Justice Cabinet (Kentucky State Police) or the Administrative Office of the Courts can be used as a resource for criminal checks. This means that checks completed through local police or Commonwealth Attorney’s Office does not fulfill this policy.

Crime: A conviction or a plea of guilty to a felony offense related to theft, abuse or sale of illegal drugs; abuse, neglect, or exploitation of an adult; or the commission of a sex crime. Conviction of, or a plea to, an offense committed outside the Commonwealth is a crime if the offense would have been a felony in Kentucky.

Direct Service: Personal or group interaction between the employee and the senior citizen.

Senior Citizen: A person sixty (60) years of age or older.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 39

PROHIBITED EMPLOYEE ACTIVITIES

Agencies applying for and receiving funds for any service shall clearly prohibit their staff (including volunteers) from involvement in any of the following activities:

Direct service employees shall not be accompanied in the home of the client. The only exceptions are supervisory or training personnel or LCAAAIL personnel.

Employees shall not seek or accept personal gifts and/or favors from a client.

Employees shall not operate a client’s personal vehicle.

Employees shall not borrow money or personal property from a client.

Employees shall not loan money to a client.

Employees shall not consume or take client’s belongings.

Employees shall not charge LCAAAIL programs for time spent on political activities.

Employees shall not be under the influence of intoxicating beverages, drug(s), or chemicals, other than those prescribed for the employee by a licensed physician, while acting on behalf of a LCAAAIL program.

Employees shall not transport a client using LCAAAIL funds without program authorization for same.

Employees shall not perform financial management for a client including, but not limited to, completing tax returns, transacting banking business, balancing check books, issuing and/or cashing personal checks, acting under a power of attorney, or selling and/or buying personal and/or real property, unless specifically funded or approved for the above by LCAAAIL.

Employees shall not accept payment for services performed for a client that would normally be provided as a family member (such as receiving payment from a service provider for providing respite services to your parent).

Employees shall not violate client confidentiality by divulging client-specific info.

Employees shall not propose and/or participate in any sexual activity with a client.

Employees shall not take part or have an interest in any award of any client referral or other client transaction if a conflict of interest, real or apparent, exists. A conflict of interest occurs when the employee or their immediate family member has a financial or other interest in any of the competing firms.

Employees shall not accept cash from a client or on behalf of a client.

Employees shall not commit theft of prescription drugs from the client.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 40

Employees shall not administer over the counter medications to be ingested by clients.

With the exception of the Health Models, the following procedures shall not be performed. (Only those Health Models meeting objectives prescribed in 902 KRS 20:066 shall be able to perform the duties listed below.)

Employees shall not administer oral prescription medications or apply topical prescription medications.

Employees shall not perform tasks that require sterile technique.

Employees shall not administer irrigation fluids to intravenous lines, Foley catheters or ostomies.

Employees shall not administer food or fluids via feeding tubes.

Employees shall not administer enemas.

Employees shall not engage in the treatment of open wounds for clients.

All employees paid in whole or in part with LCAAAIL funds and volunteers, who, although not paid with LCAAAIL funds, provide service to clients, shall be advised that the above activities are strictly prohibited. Any employee found guilty of any of the above prohibitions or of any criminal offense against the participant shall immediately cease working with any client.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 41

JOB LISTING AND EMPLOYMENT PRIORITY

The contractor shall list all jobs/positions created as a result of the agreement and shall cause all subcontractors to this agreement to list all job employment openings with the local employment office of the Department for Employment Services.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 42

CIVIL RIGHTS COMPLIANCE

Discrimination (Because of Race, Religion, Color, National Origin, Sex or Age) Prohibited

During the performance of this contract, the Second Party (the contractor) agrees as follows:

1. The contractor will not discriminate against any employee or applicant for employment because of race, religion, color, national origin, sex or age. The contractor will take affirmative action to ensure that applicants are employed and that employees are treated during employment without regard to their race, religion, color, national origin, sex or age. Such action shall include, but not be limited to the following: employment, upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post notices setting forth the provisions of this nondiscrimination clause in a conspicuous place, available to employees and applicants for employment.

2. The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, religion, color, national origin, sex or age.

3. The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract, or understanding; a notice advising the said labor union or workers’ representative of the contractor’s commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. The contractor will take such action with respect to any subcontract or purchase order, as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance.

4. The contractor will comply with all provisions of Executive Order No. 11246 of September 24, 1965, as amended, and of the rules, regulations and relevant orders of the Secretary of Labor.

5. The contractor will furnish all information and reports required by Executive Order No. 11246 of September 24, 1965, as amended, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to their or his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations and orders.

6. In the event of the contractor’s noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts or Federally-assisted construction contracts in accordance with procedures authorized in Executive Order No. 11246 of September 24, 1965, as amended, and such other sanctions may be imposed and remedies invoked as provided in said Executive Order or by rule, regulation or order of the Secretary of Labor, or as otherwise provided by law.

7. The contractor will include the provisions of paragraphs 1 through 7 of Section 202 of Executive Order No. 11246 in every subcontract or purchase order unless exempted by

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 43

rules, regulations, or orders of the Secretary of Labor, issued pursuant to Section 204 of Executive Order No. 11246 of September 24, 1965, as amended, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions including sanctions for noncompliance; provided, however, that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the agency, the Contractor may request the United States to enter into such litigation to protect the interest of the United States.

8. The contractor agrees to comply with all applicable federal and state laws and regulations pertaining to the recognition and protection of the civil rights of persons to whom services are rendered and to applicants for such services during the performance of this contract.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 44

Discrimination (Because of Handicap) Prohibited

The contractor agrees to comply with the provisions of Section 504 of the Rehabilitation Act of 1973, P.L. 93-112, and the Americans with Disabilities Act of 1990, PL-101-336 and applicable federal regulations relating thereto prohibiting discrimination against otherwise qualified handicapped individuals under any program or activity receiving federal financial assistance.

The contractor agrees to comply with the provisions of 900 KAR 1:070, Deaf and Hard of hearing Services, as relates to KRS 12.290, 29 U.S.C. 794, 42 U.S.C. 12101 et seq., Statutory Authority: KRS 194.050, KRS 12.290.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 45

CONTRACTOR RESPONSIBILITIES

Property and Equipment

LCADD AAAIL does not normally purchase equipment for service providers. However, in the rare instance this occurs, the following policies apply.

Policy:

Should LCADD AAAIL determine the need to purchase equipment, a written request shall be submitted or included in the provider’s proposal or annual planning information. LCAAAIL is required to request permission from the Cabinet for Health and Family Services for equipment purchases of $500 or more. Purchases will follow the guidelines established by the Cabinet for Health and Family Services and any other grantor agency from which funds will be utilized to purchase equipment.

Procedures:

1. Property and equipment purchased with Federal, State or local matching funds shall be purchased, used and disposed in compliance with CFR 74 or CFR 92 as applicable.

2. Property and equipment purchased to fulfill the Scope of Services must be pre-approved by LCAAAIL and will remain the property of the Cabinet for Health and Family Services. Property shall be used for the originally authorized purpose as long as needed for that purpose. When no longer needed, approval of the granting agency may be requested to use the property for other purposes. Contact LCADD AAAIL for procedures regarding disposition of property.

3. When real property is no longer used for the original purpose and is no longer needed, disposition instructions of LCADD shall be followed. The transfer of all items of equipment and/or supplies regardless of value to a new contractor shall be in compliance with Cabinet Program Administration Contract.

4. If equipment originally purchased with LCADD AAAIL federal and state funded program funds is in need of replacement, to the extent financially possible, LCAAAIL may consider replacement, upon written request from the provider. Equipment located at LCAAAIL for program administration may be exchanged for replacement equipment if budgeted and approved in accordance with Cabinet and LCADD purchasing procedures.

5. When original or replacement equipment is no longer to be used in projects or programs currently or previously sponsored by either state or federal dollars, LCADD AAAIL shall be contacted prior to any disposal of equipment in order to proceed by the most current Federal or State guidelines.

6. Procedures for managing equipment (including replacement equipment) until transfer, replacement, or disposition takes place shall meet the following:

Property records shall be maintained accurately for each item of equipment, the records shall include:

a. A description of any equipment including manufacturer’s model number, if any.

b. Identification number, such as the manufacturer’s serial number.

c. Identification of the grant under which the recipient acquired the equipment.

d. The information needed to calculate the Federal or State share of the equipment.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 46

e. Acquisition date and unit acquisition cost.

f. Location, use, and condition of the equipment and the date the information was reported.

g. All pertinent information on the ultimate transfer, replacement, or disposition of the equipment.

A physical inventory of equipment shall be taken and the results reconciled with the property records at least once every two (2) years to verify the existence, current utilization, and continued need for the equipment. Any differences between quantities determined by the physical inspection and those shown in the accounting records shall be investigated to determine the cause(s) of the differences.

A control system shall be in effect to insure adequate safeguards to prevent loss, damage, or theft of the equipment. Any loss, damage, or theft of equipment shall be investigated and fully documented.

Adequate maintenance procedures shall be implemented to keep the equipment in good condition.

Where equipment is to be sold and the Federal or State government is to have a right to part or all of the proceeds, selling procedures shall be such methods as to provide for competition to the extent practicable and result in the highest possible return.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 47

VOLUNTEERS

The use of volunteers reduces the cost of services. The use of volunteers also strengthens the visibility of the program within the community.

Policy:

Providers are encouraged to recruit, train and utilize volunteers in the provision of services to eligible seniors, caregivers and persons with disabilities.

Procedures:

Supervision of volunteers is the responsibility of the provider securing the volunteer.

Adequate liability insurance to cover the organization from any loss or damages resulting from the work of a volunteer shall be secured annually with coverage sufficient to cover reasonable claims that could arise from damages, injuries or loss of property.

Volunteer time can be utilized to cover provider match requirements through in-kind match. To be allowable, the provider shall record time contributed to the program and the value of hourly time for each volunteer.

The value of hourly volunteer time shall be determined based on the average cost of a paid employee performing similar functions for the same length of time. Providers are responsible for developing and maintaining policies and procedures describing recruitment, utilization, supervision, and training of volunteers.

Job descriptions shall be available for all volunteers.

Volunteers shall be trained in areas relating to job performance and shall have completed a criminal records check following the provisions of KRS 216.793. Training can be accomplished through on the job training, or as provided in a formal, one on one setting. Some program specific volunteers may be required to attend LCAAAIL or DAIL sponsored training.

LCAAAIL staff shall review volunteer records such as volunteer work logs; confidentiality forms, training logs, criminal background checks and volunteer agreements;

Criminal background checks shall be completed on all volunteers that volunteer for the AAAIL and service providers

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 48

REPORTING ABUSE AND NEGLECT

Policy:

It is mandatory that Lake Cumberland Area Agency on Aging and Independent Living staff and or LCAAAIL Providers make a report to the Department for Community Based Services Division of Protection and Permanency whenever they believe that an adult has been abused, neglected or exploited.

Procedure:

When a worker suspects that an individual is being abused, neglected or exploited, that worker is required to

Make a report to the DCBS Protection and Permanency office or the Adult Protective Service worker;

Request the central intake or local office of P&P or APS provides follow up to the worker reporting the abuse;

Document the report in the individual’s case file;

In an emergency situation the BT

AAAIL worker should call 911 or local law enforcement.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 49

INTRA AGENCY CASE TRANSFERS

Policy:

Lake Cumberland Area Agency on Aging and Independent Living will provide continuous case management services to clients receiving services through the AAAIL. Appropriate procedures will be followed in the instance that the client receives a new case manager.

Procedure:

1. The client is informed of the transfer by written correspondence;

2. The current case manager or if unavailable, the Director of Aging & Independent Living or new case manager will call or visit the client to inform them of the change.

3. SAMS Client Tracking System will be updated to reflect the change in case management.

4. The current case manager will document in the case note the case transfer.

5. The current case manager will continue providing assistance to the client during the transition from one case manager to another.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 50

CLIENT INTAKE PROCESS

Lake Cumberland Area Agency on Aging and Independent Living (LCAAAIL) strives to meet the needs of clients in the most expedient manner possible. The procedures listed below ensure that information, assistance, referrals, and services are provided to clients in a timely manner.

1) LCAAAIL ADRC Coordinator will take calls from outside line # 270-866-7092 and from the LCADD Receptionist switchboard and when she if off backup staff will man phone. Information obtained during this contact is used to determine the needs of the consumer. The worker enters data directly into SAMS I&R or records hand-written information on the intake tool. Information is based on the statements and willingness of the caller to provide information.

2) The call is given a priority rating for call back by a LCAAAIL employee. The priority ratings are as follows: Emergency, Urgent, and Non-urgent. Workers provide information, assistance, referrals, and/or services immediately for calls rated as an emergency. Workers provide information, assistance, referrals, and/or services immediately for calls rated as urgent, but no less than within 48 hours of the initial call. Workers provide information, assistance, referrals, and/or services immediately for calls rated as Non-urgent, but no less than within 72 hours of the initial call.

3) The LCAAAIL attending to the call screens the consumer for eligibility and assigns a priority rating utilizing the LCAAAIL Priority Rating Tool.

4) If the consumer receives Medicaid Benefits, the consumer is given the option to contact the Medicaid Waiver Service Provider of his/her choice or is provided with information on PDS (upon request). The provider will determine eligibility for Medicaid Waiver Services. Eligibility for PDS will be determined in accordance with PDS policies. The referral is then processed for service.

5) Provided there is no waiting list for services and funding is available, an assessment is conducted within a two-week period of the initial phone call. After the case manager completes the assessment, the work order and plan of care is sent to the service provider within two working days. SAMS information is completed within two working days after the assessment is complete. All other documentation is completed within one week of the date the assessment tool is complete, unless good cause exists. If good cause is met, step five shall be completed within two weeks.

6) If a waiting list exists, staff will inform the consumer and ask if he/she would like to be added to the waiting list for services and provide other resources that may be able to assist the individual.

7) The ICC/Case Managers/Coordinator or Service Assistant Advisor or other designated staff will review the waiting list at least semi-annually to update the priority rating or when the desired service becomes available. Consumers will be contacted to update their information.

8) Should consumers decide they are not in need of services when the service becomes available, the consumer is notified that their name will be removed from the waiting list and they are responsible for calling LCAAAIL to request services when they decide they need assistance.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 51

9) Consumers who are unable to be contacted shall remain on the waiting list and the following procedure should be utilized:

a) Phone the consumer, contact person, family member, or emergency contact. Attempts are made to reach the previous-mentioned persons for 20 working days.

b) If no contact is made within 20 working days, the case manager shall send a letter which states the following:

i) Contact cannot be made

ii) Request the person/consumer to contact the LCAAAIL within thirty days regarding their need for services, and

iii) Inform the person in writing if no response is received within thirty working days; the consumer’s name will be removed from the waiting list.

c) After 30 working days, if no response is received, the consumer’s name is removed from the waiting list.

Good Cause

The following circumstances shall prove good cause: sickness, family matters, training, unusual cases that cause a great amount of the case manager’s time to be spent on a specific area or concern, or other circumstances approved by the Director of Aging Services. In this case, the case manager will have two weeks to complete all documentation.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 52

WAITING LIST

Policy:

In the event that funding is not available to meet all the needs of eligible older adults needing Aging Services in the LCADD, a waiting list will be maintained by the Lake Cumberland ICC/Case Managers, Coordinator, other designated staff.

Procedure:

The LCADD waiting list shall be maintained and reported to DAIL on a monthly basis. The Lake Cumberland Aging and Disability Resource Center Coordinator or Specialist taking the call shall complete the DAIL – GA-01 Priority Screening Tool. Clients will be prioritized by need utilizing the DAIL – GA-01 Priority Screening Tool. The ADRC Coordinator will provide the potential clients of any other services or resources that may be available to them while they await services. Clients will be placed on services as they become available according to their priority rating. Clients will be notified that they have been placed on the waiting list for services with a packet of program brochures and other information being mailed.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 53

BED BUG INFESTATION

A bedbug infestation does not pose a health and safety issue and is therefore not a reason to stop service delivery. Lake Cumberland AAAIL continues to be responsible for ensuring service delivery to clients according to the assessed needs and plan of care even in the event of a bedbug infestation.

Policy:

Lake Cumberland AAAIL shall ensure service delivery to clients according to the assessed needs and plan of care during the event of a bedbug infestation.

Policy:

Lake Cumberland AAAIL shall ensure that case management staff and provider agency staff take appropriate precautions to prevent carrying bedbugs to other homes

Policy:

Lake Cumberland AAAIL shall ensure service continuity for the protection of the health, safety and welfare of the clients receiving services.

Policy:

When a contracted service provider declines to provide services to the in home services client, the AAAIL shall offer service delivery to another agency provider of the client’s choice.

Policy:

Should termination of a contract be necessary , the AAAIL shall contact DAIL immediately and an emergency plan of action be submitted for DAIL approval within ten (10) days of action, with a temporary plan submitted within (90) days.

Procedures:

1. When a bedbug infestation is first discovered in a client’s home, the HC aide or Case Manager shall report this to their agency supervisor immediately as well as any other agency involved with the client.

2. The following precautions are recommended for any staff that goes into the client’s home to offer services:

a. Wear Paper shoes, suit, gloves and hair protection;

b. Remove all protective wear upon exit from the home and seal in a plastic bag for disposal immediately after the home visit so as not to contaminate any further areas.

c. Insect Sprays

3. Case Managers shall assist clients in informing apartment managers, landlords or extermination services.

4. LCAAAIL staff and service providers shall maintain confidentiality and the dignity of clients being served.

5. Clients are responsible for determining how to combat pest infestation within their own residence. Providers are not allowed to spray any type of chemical for pest infestation in a client’s home. However, providing education to the client and the community is a proactive step toward safety, proper management and the elimination of the problem.

6. Combating pest infestation is the responsibility of the client or landlord subrogation.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 54

7. The use of mattress covers, steam cleaning and pest control are all items that are at the discretion of the client and he cost of such would be incurred by client/family. The provider agency can suggest these measures to the clients but cannot require them to follow with the purchase or use. The providers should make available to their staff the protective garments to assist in reducing the spread of the infestation.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 55

LCAAAIL STAFFING

Policy:

Lake Cumberland Area Agency on Aging and Independent Living shall provide for adequate and qualified staff to perform its functions as prescribed in 45 CFR 1321, or by state regulation.

Lake Cumberland Area Agency on Aging and Independent Living shall:

1. Function organizationally as prescribed under designation provision of Section 305(b)(5)(C) of the Older Americans Act;

2. Have on file for review a staffing plan that identifies the number and types of staff assigned to carry out Lake Cumberland Area Agency on Aging and Independent Living’s responsibilities and functions;

3. Assign administrative and direct service staff either as required by Federal or state and program staff in proportion to funding allocated to Lake Cumberland Area Agency on Aging and Independent Living to administer such program.

4. Indicate in the Lake Cumberland Area Agency on Aging Area Plan staffing patterns and relationships when the housed under an umbrella "organization;" such as Lake Cumberland Area Development District and

5. Respond to corrective action initiatives and general information requests of the Department for Aging and Independent Living when issues arise concerning staffing practices.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 56

LCAAAIL STAFFING DURING STAFF ABSENCES OR VACANCIES

Policy:

Lake Cumberland Area Agency on Aging and Independent Living assures that it will maintain and continue services to consumers during a staff absence and or vacancy.

Procedure:

Lake Cumberland Area Agency on Aging and Independent Living ensures that AAAIL staff has been cross trained in several program areas. This cross training allows staff to fill in during a vacancy or absence to ensure that all consumers are being served.

The LCAAAIL ICC/Case Manager Coordinator has also been trained and certified in most positions in the instance that a vacancy/absence occurs. The Ombudsman Program will have at least two backups.

LCAAAIL will make every effort to ensure that there is no lapse or disruption in service.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 57

LCAAAIL TRANSITIONS POLICY

This policy applies to vendors where a transition is made in program service contracts.

The following shall be utilized during the transition phase:

1. Current contracts must continue services until the end of the contract period, June 30 unless other special agreements between LCADD and services providers.

2. New contractor agency will be provided an orientation to the service program and its requirements, including standard operating procedures, service definitions, financial and program reporting and standard needs assessment criteria.

3. New Agency must provide assurance of sufficient staff to service the needs of LCAAAIL clients.

4. Current Contractor shall make available to the new contractor, as required by contract, a copy of the current ongoing records of all transferred clients.

5. New contractor will be responsible for developing and maintaining new files for each transferred client.

6. The current agency must keep a complete case record on all clients in order to comply with Federal and State records retention requirements for a period of five years.

7. All HIPAA policies pertaining to Aging Programs must be followed at all times during the transition phase.

Client Participation in the Transition

The transition of service providers can be very traumatic to the clients. Therefore, the Area Agency on Aging, along with the incoming and outgoing provider agencies will develop and implement a mechanism to assure that the potential for trauma upon clients is reduced.

1. Lake Cumberland Area Agency on Aging and Independent Living will send a letter to each client explaining the upcoming changes in the program. The letter will specify a contact person for each client.

2. Joint meetings between the current provider, new provider, consumer and Area Agency on Aging Staff will be arranged as needed.

Client Confidentiality

1. Client confidentially must be maintained in accordance with Federal and State legislation and regulations.

2. Release of information on each client will be maintained according to the Department for Aging and Independent Living Standard Operating Procedures.

3. Authorization to use/share/request client protected health information on each client will be maintained according to the LCADD and DAIL Standard Operating Procedures.

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 58

LCAAAIL ANTI-BULLYING

POLICY:

Lake Cumberland Area Agency on Aging and Independent Living is committed to all services being provided in a safe and civil environment. Lake Cumberland Area Agency on Aging and Independent Living and its service providers strive to create an atmosphere where all individuals, regardless of circumstance, feel emotionally and physically safe and comfortable. The expected outcome of this policy is to emphasize positive reinforcement, cooperation, nonviolent appropriate conflict resolution and to protect seniors; employees and volunteers form harassment, intimidation or bullying.

Harassment, intimidation, or bullying means any intentional written, verbal or physical act, when act:

o Physically harms a person or damages the person’s property;

o Has the effect of substantially interfering with a person’s ability to obtain services or perform their job duties.

o Is severe, persistent or pervasive that it creates an intimidating or threatening environment ; or

o Has the effect of substantially disrupting the orderly operation of the facility.

Harassment, intimidation or bullying can take many forms including: slurs, rumors, jokes, innuendos, demeaning comments, cartoons, pranks, gestures, physical attacks, threats or other written, oral or physical actions.

"Intentional acts" refer to the individual’s choice to engage in the act rather than the ultimate impact of the actions(s).

This policy is not intended to prohibit expression of religious, philosophical or political views, provided that the expression does not substantially disrupt the environment. Many behaviors that do not rise to the level of harassment, intimidation or bullying may still be prohibited by other agency policies.

(1) Program staff, volunteers, and program participants are expected to use self-discipline and to routinely conduct themselves as responsible, mature adults. Lake Cumberland maintains a zero-tolerance bullying policy for any instance of intentional bullying or harassment in any form.

(a) Behaviors, activities and actions that are prohibited.

The Lake Cumberland AAAIL considers the following types of behavior to constitute workplace bullying. Please note, this list is not meant to be exhaustive and is only offered by way of example: A person is guilty of bullying and harassment when, with intent to intimidate, harass, annoy, or alarm another person, he or she:

 Physical pushing, kicking, hitting, or any use of violence

 Attempts or threatens to strike, shove, kick, or otherwise subject the person to physical contact;

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 59

in a public place, makes an offensively coarse utterance, gesture, or display, or addresses abusive language to any person present;

follows a person in or about a public place or places;

 Engages in a course of conduct or repeatedly commits acts which alarm or seriously annoy such other person and which serve no legitimate purpose

 Damages or commits a theft of the property of another

substantially disrupts the operation of the facility

 Creates a hostile environment by means of any gestures, written communications, oral statements, or physical acts that a reasonable person under the circumstances should know would cause another to suffer fear of physical harm, intimidation, humiliation, or embarrassment

 Verbal name calling, sarcasm, rumors and teasing

blocking off seats for cliques at mealtimes and events

 Cyber Bullying: including all areas of the internet such as email, chat rooms, and mobile threats by text messaging and calls. Misuse of associated technology, i.e. camera and video.

b. Evaluation through Satisfaction Surveys

 Annual satisfaction surveys will address harassment and bullying to determine if situations have occurred and if so, ensure proper reporting and management of the circumstances surrounding the incident. Reporting is encouraged at any time the behavior is observed.

c. Methods for Enforcement

Bullying and Harassment of any kind will not be tolerated. Any instance of bullying/harassment if witnessed or reported will be investigated and documented thoroughly. Disciplinary procedures for bullying/harassment are up to the professional discretion of the AAAIL Director, Senior Center Director or Case Manager. They can include but are not limited to:

addressing the behavior with the individual privately the first time it is observed

learning appropriate methods of conflict resolution

 Counseling sessions

 Conferences with the parties involved

a behavior contract signed by the offender

 Suspension of services

 Expulsion from activities

 Non–admittance to facilities, referring to law enforcement when appropriate

Lake Cumberland Area Agency on Aging & Independent Living Policies and Procedure Manual

Section I General Administration Page 60

LCADD Contact Info

Lake Cumberland Area Development District
P.O. Box 1570
(mailing address)
2384 Lakeway Dr.
(street address)
Russell Springs, KY 42642
Phone: 270-866-4200
Toll Free: 800-264-7093
TDD: 800-648-6056
Fax: 270-866-2044
info@lcadd.org

LCADD Calendar

May 2017
S M T W T F S
1 2 3 4 5 6
7 8 9 10 11 12 13
14 15 16 17 18 19 20
21 22 23 24 25 26 27
28 29 30 31