58B-1.005. Monitoring and Sanctioning of Access Points

This rule applies only to access points that have a direct monetary funding agreement with the ARC.

(1) Monitoring:

(a) Monitoring Elements: As part of the monitoring process, the ARC shall ensure that, at a minimum, the areas referenced in subparagraphs 1. through 7. of this subsection are reviewed. Access points shall have this information available for the ARC’s review.

1. An appropriate grievance process is in place for a subcontracted entity, if the entity is eligible to file a grievance;

2. Professional staff has the minimum educational and experience requirements required in Rule 58B-1.003, F.A.C.

3. Functional screening and financial eligibility are timely and accurate;

4. Eligibility determinations and enrollment procedures are timely and accurate;

5. Information and referral services and long-term care options counseling provide accurate information that meet the individual’s needs;

6. Processes for receiving and acting on complaints and resolving client grievances and other persons who use ARC services are appropriate and effective; and

7. Training and technical assistance needs are identified.

(b) Monitoring Procedures. The ARC shall adhere to the following:

1. At a minimum, the ARC shall perform an annual on-site administrative, programmatic, quality assurance, and, if applicable, fiscal monitoring of access points to ensure compliance with ARC agreements.

2. The ARC executive director shall submit a written report by certified mail to the access point no later than 21 calendar days from the last date of the on-site monitoring visit. The report shall outline the monitoring findings, that a corrective action plan shall be submitted to the ARC within 21 calendar days from the date of the report, if deficiencies are identified, and other sanctions the ARC determines is warranted, if applicable. The report shall indicate that the access point has the right to request an informal review and/or file a grievance pursuant to its agreement with the ARC.

3. The access point’s failure to submit a corrective action plan within the 21 calendar day time frame shall result in sanction(s) pursuant to subparagraphs (2)(a)2. through 12. of this rule.

4. The ARC shall determine if the corrective action plan is acceptable and shall notify the access point if further action is required within 21 calendar days from receiving the report.

(2) Sanctioning: ARC access points that do not meet requirements of the ARC agreements shall be subject to sanctioning.

(a) Sanctions may include the following, depending upon the severity of the violation:

1. Development, submission, and implementation of an acceptable corrective action plan to address identified areas of concern, agreement breaches, and noncompliance issues;

2. Submission of additional and/or more detailed financial and/or performance reports;

3. Designation as a high-risk access point, requiring additional monitoring visits;

4. Repayment of disallowed costs;

5. Amendments to the current ARC agreement;

6. Restrictions on ability to draw down programmatic and administrative funding;

7. Imposition of required technical assistance;

8. Limitation or prohibition of direct service provision;

9. Limitation or prohibition of use of specific service providers;

10. Financial penalties not to exceed $5,000 per agreement violation;

11. Suspension of the entity’s ability to function as an access point; and

12. Termination of the entity’s ability to function as an access point.

(b) Sanctioning procedures: The ARC shall follow the procedures below to sanction access points:

1. The ARC executive director shall submit a written notification by certified mail to the access point.

2. The notification shall outline the sanction(s) to be implemented and the reason(s) the ARC is levying the sanctions against the access point.

3. The notification shall include language that the access point has the right to request an informal review and/or file a grievance pursuant to its agreement with the ARC and the method by which to do so.

Rulemaking Authority 430.08, 430.2053(10) FS. Law Implemented 430.2053 FS. History–New 4-16-07.