The
Aging Network
Program Instructions
AoA-PI-03-03
Listing of State Plan Assurances
Older Americans Act, As Amended in 2000
ASSURANCES
Sec. 305, ORGANIZATION
(1) The State agency shall, except as provided in subsection
(b)(5), designate for each such area (planning and service area)
after consideration of the views offered by the unit or units
of general purpose local government in such area, a public or
private nonprofit agency or organization as the area agency on
aging for such area. ((a)(2)(A))
(2) The State agency shall provide assurances, satisfactory to
the Assistant Secretary, that the State agency will take into
account, in connection with matters of general policy arising
in the development and administration of the State plan for any
fiscal year, the views of recipients of supportive services or
nutrition services, or individuals using multipurpose senior centers
provided under such plan. ((a)(2)(B))
(3) The State agency shall provide assurance that 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 minority individuals
and older individuals residing in rural areas and include proposed
methods of carrying out the preference in the State plan. ((a)(2)(E))
(4) The State agency shall provide assurances that the State
agency will require use of outreach efforts described in section
307(a)(16). ((a)(2)(F))
(5) The State agency shall provide an assurance that the State
agency will undertake specific program development, advocacy,
and outreach efforts focused on the needs of low?income minority
older individuals and older individuals residing in rural areas.
((a)(2)(G)(ii))
(6) In the case of a State specified in subsection (b)(5), the
State agency and area agencies shall provide assurance, determined
adequate by the State agency, that the area agency on aging will
have the ability to develop an area plan and to carry out, directly
or through contractual or other arrangements, a program in accordance
with the plan within the planning and service area. ((c)(5))
Sec. 306, AREA PLANS
(1) Each area agency on aging shall provide assurances that
an adequate proportion, as required under section 307(a)(2), of
the amount allotted for part B to the planning and service area
will be expended for the delivery of each of the following categories
of services?
(A) services associated with access to services (transportation,
outreach,
information and assistance, and case management services);
(B) in?home services, including supportive services for families
of older individuals who are victims of Alzheimer's disease and
related disorders with neurological and organic brain dysfunction;
and
(C) legal assistance;
and assurances that the area agency on aging will report annually
to the State agency in detail the amount of funds expended for
each such category during the fiscal year most recently concluded.
((a)(2))
(2) Each area agency on aging shall provide assurances that the
area agency on aging will set specific objectives for providing
services to older individuals with greatest economic need and
older individuals with greatest social need, include specific
objectives for providing services to low?income minority individuals
and older individuals residing in rural areas, and include proposed
methods of carrying out the preference in the area plan. ((a)(4)(A)(i))
(3) Each area agency on aging shall provide assurances that the
area agency on aging will include in each agreement made with
a provider of any service under this title, a requirement that
such provider will??
(A) specify how the provider intends to satisfy the service needs
of low?income minority individuals and older individuals residing
in rural areas in the area served by the provider;
(B) to the maximum extent feasible, provide services to low?income
minority individuals and older individuals residing in rural areas
in accordance with their need for such services; and
(C) meet specific objectives established by the area agency on
aging, for providing services to low?income minority individuals
and older individuals residing in rural areas within the planning
and service area. ((a)(4)(A)(ii))
(4) With respect to the fiscal year preceding the fiscal year
for which such plan is prepared, each area agency on aging shall??
(A) identify the number of low?income minority older individuals
and older individuals residing in rural areas in the planning
and service area;
(B) describe the methods used to satisfy the service needs of
such minority older individuals; and
(C) provide information on the extent to which the area agency
on aging met the objectives described in clause (a)(4)(A)(i).
((a)(4)(A)(iii))
(5) Each area agency on aging shall provide assurances that
the area agency on aging will use outreach efforts that will identify
individuals eligible for assistance under this Act, with special
emphasis on??
(A) older individuals residing in rural areas;
(B) older individuals with greatest economic need (with particular
attention to low?income minority individuals and older individuals
residing in rural areas);
(C) older individuals with greatest social need (with particular
attention to low?income minority individuals and older individuals
residing in rural areas);
(D) older individuals with severe disabilities;
(E) older individuals with limited English?speaking ability; and
(F) older individuals with Alzheimer's disease or related disorders
with neurological and organic brain dysfunction (and the caretakers
of such individuals);
and inform the older individuals referred to in (A) through (F),
and the caretakers of such individuals, of the availability of
such assistance. ((a)(4)(B))
(6) Each area agency on agency shall provide assurance that
the area agency on aging will ensure that each activity undertaken
by the agency, including planning, advocacy, and systems development,
will include a focus on the needs of low?income minority older
individuals and older individuals residing in rural areas. ((a)(4)(C))
(7) Each area agency on aging shall provide assurances that
the area agency on aging will coordinate planning, identification,
assessment of needs, and provision of services for older individuals
with disabilities, with particular attention to individuals with
severe disabilities, with agencies that develop or provide services
for individuals with disabilities. ((a)(5))
(8) Each area agency on aging shall provide assurances that the
area agency on aging, in carrying out the State Long?Term Care
Ombudsman program under section 307(a)(9), will expend not less
than the total amount of funds appropriated under this Act and
expended by the agency in fiscal year 2000 in carrying out such
a program under this title. ((a)(9))
(9) Each area agency on aging shall provide information and assurances
concerning services to older individuals who are Native Americans
(referred to in this paragraph as "older Native Americans"),
including?
(A) information concerning whether there is a significant population
of older Native Americans in the planning and service area and
if so, an assurance that the area agency on aging will pursue
activities, including outreach, to increase access of those older
Native Americans to programs and benefits provided under this
title;
(B) an assurance that the area agency on aging will, to the maximum
extent practicable, coordinate the services the agency provides
under this title with services provided under title VI; and
(C) an assurance that the area agency on aging will make services
under the area plan available, to the same extent as such services
are available to older individuals within the planning and service
area, to older Native Americans. ((a)(11))
(10) Each area agency on aging shall provide assurances that
the area agency on aging will maintain the integrity and public
purpose of services provided, and service providers, under this
title in all contractual and commercial relationships. ((a)(13)(A))
(11) Each area agency on aging shall provide assurances that
the area agency on aging will disclose to the Assistant Secretary
and the State agency??
(A) the identity of each nongovernmental entity with which such
agency has a contract or commercial relationship relating to providing
any service to older individuals; and
(B) the nature of such contract or such relationship. ((a)(13)(B))
(12) Each area agency on aging shall provide assurances that
the area agency will demonstrate that a loss or diminution in
the quantity or quality of the services provided, or to be provided,
under this title by such agency has not resulted and will not
result from such non?governmental contracts or such commercial
relationships. ((a)(13)(C))
(13) Each area agency on aging shall provide assurances that
the area agency will demonstrate that the quantity or quality
of the services to be provided under this title by such agency
will be enhanced as a result of such non?governmental contracts
or commercial relationships. ((a)(13)(D))
(14) Each area agency on aging shall provide assurances that
the area agency will, on the request of the Assistant Secretary
or the State, for the purpose of monitoring compliance with this
Act (including conducting an audit), disclose all sources and
expenditures of funds such agency receives or expends to provide
services to older individuals. ((a)(13)(E))
(15) Each area agency on aging shall provide assurances that
funds received under this title will not be used to pay any part
of a cost (including an administrative cost) incurred by the area
agency on aging to carry out a contract or commercial relationship
that is not carried out to implement this title. ((a)(14))
(16) Each area agency on aging shall provide assurances that
preference in receiving services under this title will not be
given by the area agency on aging to particular older individuals
as a result of a contract or commercial relationship that is not
carried out to implement this title. ((a)(15))
Sec. 307, STATE PLANS
(1) The plan describes the methods used to meet the need for
services to older persons residing in rural areas in the fiscal
year preceding the first year to which this plan applies. The
description is found on page(s) ____ of this plan. ((a)(3)(B)(iii))
(2) The plan shall provide satisfactory assurance that such fiscal
control and fund accounting procedures will be adopted as may
be necessary to assure proper disbursement of, and accounting
for, Federal funds paid under this title to the State, including
any such funds paid to the recipients of a grant or contract.
((a)(7)(A))
(3) The plan shall provide assurances that??
(A) no individual (appointed or otherwise) involved in the designation
of the State agency or an area agency on aging, or in the designation
of the head of any subdivision of the State agency or of an area
agency on aging, is subject to a conflict of interest prohibited
under this Act;
(B) no offcer, employee, or other representative of the State
agency or an area agency on aging is subject to a conflict of
interest prohibited under this Act; and
(C) mechanisms are in place to identify and remove conflicts of
interest prohibited under this Act. ((a)(7)(B))
(4) The plan shall provide assurances that the State agency will
carry out, through the Office of the State Long?Term Care Ombudsman,
a State Long?Term Care Ombudsman program in accordance with section
712 and this title, and will expend for such purpose an amount
that is not less than an amount expended by the State agency with
funds received under this title for fiscal year 2000, and an amount
that is not less than the amount expended by the State agency
with funds received under title VII for fiscal year 2000. ((a)(9))
(5) The plan shall provide assurance that the special needs of
older individuals residing in rural areas will be taken into consideration
and shall describe how those needs have been met and describe
how funds have been allocated to meet those needs. ((a)(10))
(6) The plan shall provide assurances that area agencies on aging
will--
(A) enter into contracts with providers of legal assistance which
can demonstrate the experience or capacity to deliver legal assistance;
(B) include in any such contract provisions to assure that any
recipient of funds under division (A) will be subject to specific
restrictions and regulations promulgated under the Legal Services
Corporation Act (other than restrictions and regulations governing
eligibility for legal assistance under such Act and governing
membership of local governing boards) as determined appropriate
by the Assistant Secretary; and
(C) attempt to involve the private bar in legal assistance activities
authorized under this title, including groups within the private
bar furnishing services to older individuals on a pro bono and
reduced fee basis. ((a)(11)(A))
(7) The plan contains assurances that no legal assistance will
be furnished unless the grantee administers a program designed
to provide legal assistance to older individuals with social or
economic need and has agreed, if the grantee is not a Legal Services
Corporation project grantee, to coordinate its services with existing
Legal Services Corporation projects in the planning and service
area in order to concentrate the use of funds provided under this
title on individuals with the greatest such need; and the area
agency on aging makes a finding, after assessment, pursuant to
standards for service promulgated by the Assistant Secretary,
that any grantee selected is the entity best able to provide the
particular services. ((a)(11)(B))
(8) The plan contains assurances, to the extent practicable,
that legal assistance furnished under the plan will be in addition
to any legal assistance for older individuals being furnished
with funds from sources other than this Act and that reasonable
efforts will be made to maintain existing levels of legal assistance
for older individuals; ((a)(11)(D))
.
(9) The plan contains assurances that area agencies on aging will
give priority to legal assistance related to income, health care,
long?term care, nutrition, housing, utilities, protective services,
defense of guardianship, abuse, neglect, and age discrimination.
((a)(11)(E))
(10) The plan shall provide, whenever the State desires to provide
for a fiscal year for services for the prevention of abuse of
older individuals, the plan contains assurances that any area
agency on aging carrying out such services will conduct a program
consistent with relevant State law and coordinated with existing
State adult protective service activities for?-
(A) public education to identify and prevent abuse of older individuals;
(B) receipt of reports of abuse of older individuals;
(C) active participation of older individuals participating in
programs under this Act through outreach, conferences, and referral
of such individuals to other social service agencies or sources
of assistance where appropriate and consented to by the parties
to be referred; and
(D) referral of complaints to law enforcement or public protective
service agencies where appropriate. ((a)(12))
(11) The plan shall provide assurances that each State will
assign personnel (one of whom shall be known as a legal assistance
developer) to provide State leadership in developing legal assistance
programs for older individuals throughout the State. ((a)(13))
(12) The plan shall provide assurances that, if a substantial
number of the older individuals residing in any planning and service
area in the State are of limited English?speaking ability, then
the State will require the area agency on aging for each such
planning and service area—
(A) to utilize in the delivery of outreach services under section
306(a)(2)(A), the services of workers who are fluent in the language
spoken by a predominant number of such older individuals who are
of limited English?speaking ability; and
(B) to designate an individual employed by the area agency on
aging, or available to such area agency on aging on a full?time
basis, whose responsibilities will include??
(i) taking such action as may be appropriate to assure that counseling
assistance is made available to such older individuals who are
of limited English?speaking ability in order to assist such older
individuals in participating in programs and receiving assistance
under this Act; and
(ii) providing guidance to individuals engaged in the delivery
of supportive services under the area plan involved to enable
such individuals to be aware of cultural sensitivities and to
take into account effectively linguistic and cultural differences.
((a)(14))
(13) The plan shall provide assurances that the State agency
will require outreach efforts that will identify individuals eligible
for assistance under this Act, with special emphasis on--
(A) older individuals residing in rural areas;
(B) older individuals with greatest economic need (with particular
attention to low?income minority individuals and older individuals
residing in rural areas);
(C) older individuals with greatest social need (with particular
attention to low?income minority individuals and older individuals
residing in rural areas);
(D) older individuals with severe disabilities;
(E) older individuals with limited English?speaking ability; and
(F) older individuals with Alzheimer's disease or related disorders
with neurological and organic brain dysfunction (and the caretakers
of such individuals); and inform the older individuals referred
to in clauses (A) through (F) and the caretakers of such individuals,
of the availability of such assistance. ((a)(16))
(14) The plan shall provide, with respect to the needs of older
individuals with severe disabilities, assurances that the State
will coordinate planning, identification, assessment of needs,
and service for older individuals with disabilities with particular
attention to individuals with severe disabilities with the State
agencies with primary responsibility for individuals with disabilities,
including severe disabilities, to enhance services and develop
collaborative programs, where appropriate, to meet the needs of
older individuals with disabilities. ((a)(17))
(15) The plan shall provide assurances that area agencies on
aging will conduct efforts to facilitate the coordination of community?based,
long?term care services, pursuant to section 306(a)(7), for older
individuals who?-
(A) reside at home and are at risk of institutionalization because
of limitations on their ability to function independently;
(B) are patients in hospitals and are at risk of prolonged institutionalization;
or
(C) are patients in long?term care facilities, but who can return
to their homes if community?based services are provided to them.
((a)(18))
(16) The plan shall include the assurances and description required
by section 705(a). ((a)(19))
(17) The plan shall provide assurances that special efforts
will be made to provide technical assistance to minority providers
of services. ((a)(20))
(18) The plan shall
(A) provide an assurance that the State agency will coordinate
programs under this title and programs under title VI, if applicable;
and
(B) provide an assurance that the State agency will pursue activities
to increase access by older individuals who are Native Americans
to all aging programs and benefits provided by the agency, including
programs and benefits provided under this title, if applicable,
and specify the ways in which the State agency intends to implement
the activities. ((a)(21))
(19) If case management services are offered to provide access
to supportive services, the plan shall provide that the State
agency shall ensure compliance with the requirements specified
in section 306(a)(8). ((a)(22))
(20) The plan shall provide assurances that demonstrable efforts
will be made?-
(A) to coordinate services provided under this Act with other
State services that benefit older individuals; and
(B) to provide multigenerational activities, such as opportunities
for older individuals to serve as mentors or advisers in child
care, youth day care, educational assistance, at?risk youth intervention,
juvenile delinquency treatment, and family support programs.
((a)(23))
(21) The plan shall provide assurances that the State will coordinate
public services within the State to assist older individuals to
obtain transportation services associated with access to services
provided under this title, to services under title VI, to comprehensive
counseling services, and to legal assistance. ((a)(24))
(22) The plan shall include assurances that the State has in
effect a mechanism to provide for quality in the provision of
in?home services under this title. ((a)(25))
(23) The plan shall provide assurances that funds received under
this title will not be used to pay any part of a cost (including
an administrative cost) incurred by the State agency or an area
agency on aging to carry out a contract or commercial relationship
that is not carried out to implement this title. ((a)(26))
Sec. 308, PLANNING, COORDINATION, EVALUATION, AND ADMINISTRATION
OF STATE PLANS
(1) No application by a State under subparagraph (b)(3)(A) shall
be approved unless it contains assurances that no amounts received
by the State under this paragraph will be used to hire any individual
to fill a job opening created by the action of the State in laying
off or terminating the employment of any regular employee not
supported under this Act in anticipation of filling the vacancy
so created by hiring an employee to be supported through use of
amounts received under this paragraph. ((b)(3)(E))
Sec. 705, ADDITIONAL STATE PLAN REQUIREMENTS (as numbered in statute)
(1) The State plan shall provide an assurance that the State,
in carrying out any chapter of this subtitle for which the State
receives funding under this subtitle, will establish programs
in accordance with the requirements of the chapter and this chapter.
(2) The State plan shall provide an assurance that the State
will hold public hearings, and use other means, to obtain the
views of older individuals, area agencies on aging, recipients
of grants under title VI, and other interested persons and entities
regarding programs carried out under this subtitle.
(3) The State plan shall provide an assurance that the State,
in consultation with area agencies on aging, will identify and
prioritize statewide activities aimed at ensuring that older individuals
have access to, and assistance in securing and maintaining, benefits
and rights.
(4) The State plan shall provide an assurance that the State
will use funds made available under this subtitle for a chapter
in addition to, and will not supplant, any funds that are expended
under any Federal or State law in existence on the day before
the date of the enactment of this subtitle, to carry out each
of the vulnerable elder rights protection activities described
in the chapter.
(5) The State plan shall provide an assurance that the State
will place no restrictions, other than the requirements referred
to in clauses (i) through (iv) of section 712(a)(5)(C), on the
eligibility of entities for designation as local Ombudsman entities
under section 712(a)(5).
(6) The State plan shall provide an assurance that, with respect
to programs for the prevention of elder abuse, neglect, and exploitation
under chapter 3—
(A) in carrying out such programs the State agency will conduct
a program of services consistent with relevant State law and coordinated
with existing State adult protective service activities for??
(i) public education to identify and prevent elder abuse;
(ii) receipt of reports of elder abuse;
(iii) active participation of older individuals participating
in programs under this Act through outreach, conferences, and
referral of such individuals to other social service agencies
or sources of assistance if appropriate and if the individuals
to be referred consent; and
(iv) referral of complaints to law enforcement or public protective
service agencies if appropriate;
(B) the State will not permit involuntary or coerced participation
in the program of services described in subparagraph (A) by alleged
victims, abusers, or their households; and
(C) all information gathered in the course of receiving reports
and making referrals shall remain confidential except??
(i) if all parties to such complaint consent in writing to the
release of such information;
(ii) if the release of such information is to a law enforcement
agency, public protective service agency, licensing or certification
agency, ombudsman program, or protection or advocacy system; or
(iii) upon court order.
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