3077 Request for Waiver from Program Guidelines and Requirements | ADMINISTRATION-5600-MANUAL
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Georgia Division of Aging Services |
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Chapter: |
3075 Compliance |
Effective Date: |
11/28/2022 |
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Section Title: |
Request for Waiver from Program Guidelines and Requirements |
Reviewed or Updated in: |
MT 2023-02 |
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Section Number: |
3077 |
Previous Update: |
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Summary Statement
The Georgia Department of Human Services (DHS), Division of Aging Services (DAS) may waive any provision specified within the DHS DAS, State of Georgia Administrative and Program guidelines, and requirements. These guidelines and requirements are designed to prohibit conflicts of interest, to maintain the integrity and public purpose of services provided and service providers, and to ensure compliance with program requirements statewide.
Basic Considerations
DAS Program Staff and the AAA’s assigned DAS Regional Coordinator are available to provide guidance and to assist with writing the request for waiver.
AAA Waiver Request Specifics
All requests for waivers must be submitted in writing via email attachment on agency letterhead “To” the DAS Division Director, “Copy” the Business Operations Section Manager and the AAA’s assigned Regional Coordinator. Signatory of the AAA’s waiver request is limited to the Contractor or the Contractor’s AAA Director.
As applicable to the waiver request, include the following:
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State what policy/requirement/service the waiver request is in variance of
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Describe the situation/justification necessitating the waiver request
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Describe the AAA’s plan of correction, i.e., strategies and efforts completed to prevent and/or mitigate the situation currently and to sustain these requirements beyond this waiver if approved
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The date/timeframe for which the waiver is needed
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The affect(s) of the current situation on consumers verses the approved waiver request
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The affect(s) of the current situation on contracted funds verses the approved waiver request
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Assurance that other program requirements/standards will be adhered to
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By whom and how the situation will be evaluated; and assurance of any anomalies will be reported back to the DAS during the waiver period.
If the service will be provided directly by the AAA and is not currently budgeted in the AAA Area Plan and/or staff training on the new service is not complete, the waiver will be denied. If the answer is yes to the above, the AAA must submit the request via the GA DHS DAS Waiver Request Form (Refer to Section 3013 and Appendix D in this manual). Individual service Wavier approvals are required before the provision of services can begin.
If the service will be contracted out and is not currently budgeted in the Area Plan within the DDS and staff training on the new service is not complete, the waiver will be denied.
Waiver from the DAS Taxonomy of Services for Evidence Based Programs
If the service is not included on the DAS Taxonomy of Services but is on the National Council on Aging (NCOA) list or Aging and Disability Evidence Based Program Listing, then DAS can provide a waiver to the Taxonomy of Services and will add the service to the Taxonomy and add into DDS as soon as possible.
If the service is not on one of the two lists, DAS must review the service to determine if it meets the ACL definition of an Evidence Based program:
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Demonstrated through evaluation to be effective for improving the health and well- being or reducing disease, disability and/or injury among older adults; and
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Proven effective with older adult populations, using Experimental or Quasi- experimental design; and
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Research results published in a peer-review journal; and
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Fully translated in one or more community site(s); and
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Includes developed dissemination products that are available to the public.
| Experimental designs use random assignment and a control group. Quasi- experimental designs do not use random assignment. |
For purposes of the Title III-D definitions, being “fully translated in one or more community sites” means that the evidence-based program in question has been carried out at the community level (with fidelity to the published research) at least once before.
The AAA is responsible for documenting and providing to DAS the above requirements. Once DAS is satisfied the service meets the Evidence Based criteria, a waiver may be approved, and the service added to the Taxonomy as soon as possible.
Waiver from the DAS Taxonomy of Service other than Evidence Based Programs
If a service is not listed in the Taxonomy, the waiver request must include enough information for DAS to determine allowable fund sources, allowable programs, etc. The waiver must specify if the Service will be provided directly (refer to Section 3076 of this manual) or will be contracted out.
Impact of Fund Sources on Waiver Requests
If the service is evidence based and funded by OAA Title III-D, the service must be on the approved Evidence Based Program Services list or the processes listed above followed. If the service is “wellness”, otherwise presents as an Evidence Based Program, but is not paid from III-D funds, then:
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If paid by OAA III-E funds, the service does not have to be on the EBP list, but the service must be linked to a caregiver in the DDS.
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If paid by OAA III-B, the service does not have to be on the EBP list, but must be linked to a client in the DDS.
If the service is not in the DAS Taxonomy, a waiver for provision of the service, regardless of fund source, is required.
Length of Waiver
Whether requested prior to or within the program year, waiver approvals are typically granted for the term of a specified program year. However, with justification based on the specifics of the waiver, the length of a waiver may span more than one program year.
The DAS or the Contractor/Contractor’s AAA Director may end the waiver for just cause based on a standard of reasonableness. Notification to cancel a waiver is required in writing on the agency’s letterhead and signed by the Contractor or the Contractor’s AAA Director and emailed to the same recipients receiving the initial waiver request.
DAS Issued Waivers
The Division may issue statewide waivers to policy in situations including but not limited to:
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Emergency situations (pandemic, natural disaster, etc.)
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Anticipation of policy or procedure change/updates to any Division Manual These waivers shall apply to all AAAs.
DAS Waiver Request Review and Approval Process
Once the AAA’s waiver request is received by the DAS, the DAS Regional Coordinators will convene the DAS Waiver Review Team to review the AAA’s waiver request.
| If the AAA’s waiver request is not approved upon it’s first review, Steps 2A, 2B and 3 below will be completed as many times as necessary to finalize (approve or deny) the AAA’s waiver request by the DAS Waiver Review Team. |
Step 1: Establish the Request Review Team: As applicable to each waiver request, the DAS Waiver Review Team shall include the following:
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DAS Division Director
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DAS Deputy Director(s)
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Business Operations Section Manager
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Access to Services Section Manager
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Livable Communities Section Manager
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Program Integrity Section Manager
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DAS Associate General Counsel
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Program representatives from Access to Services, Livable Communities and Program Integrity Sections as necessary
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DAS Regional Coordinators, and
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The AAA’s assigned DAS Contracts Administrator, if necessary
The Regional Coordinators will establish the Review Team and schedule any meeting(s) needed to complete the review.
Step 2A: DAS Approval or Denial: If the DAS Waiver Review Team approves or denies the AAA’s request, the DAS Regional Coordinators will draft the response to the AAA for the DAS Waiver Team’s review and comments. If warranted, the DAS Waiver Review Team will reconvene to review and discuss the draft response.
Step 2B: DAS Request for Additional Information: If the DAS Waiver Team requires additional information from the AAA before rendering a decision, the DAS Regional Coordinators will draft the response to the AAA for the DAS Waiver Review Team’s comments and approval. Additional information may include, but is not limited to, documentation that a service meets the EBP definition if not on an approved list.
If warranted, the DAS Waiver Review Team will reconvene to review and discuss the draft response.
Once the requested information is received from the AAA, the Regional Coordinators will reconvene the DAS Waiver Team to review the information/response received.
Step 3: DAS Response to the AAA: All responses to the AAA will be finalized for the DAS Division Director’s signature and emailed to the AAA Director, AAA Executive Director/Chief Executive Officer, and to the Regional Commission Executive Director as applicable to the AAA. The Division Director will determine who will email the responses to the AAA (ex: Division Director, Regional Coordinator, Executive Secretary, etc.). The Waiver Response Team shall be copied on the email.
Record Keeping
The DAS Regional Coordinators will file the AAA’s initial waiver request, any other correspondence with the AAA regarding the request, and the DAS approval or denial letter on the j-drive as follows: j-drive/AAA folder/Waiver folder.
The Regional Coordinators will also update the Waiver Excel Worksheet as necessary for each State Fiscal year. The worksheet includes:
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One tab per State Fiscal Year
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One row per request to include;
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AAA or DAS Issued (if waiver applies to all 12 AAAs)
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Requested Waiver, date of request, brief summary of the request
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Section Responsible
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DAS Response (approved or denied)
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DAS Response Letter Date
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Waiver end date.
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