Program Instructions

AoA-PI-02-02 - Attachment 2

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 lowincome 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 lowincome minority older 

individuals and older individuals residing in rural areas. ((a)(2)(G)(H)) 

(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) inhome 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 lowincome 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 lowincome 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 lowincome 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 

lowincome minority individuals and older individuals residing in rural areas within the planning and 

service area. ((a)(4)(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 lowincome 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 lowincome minority 

individuals and older individuals residing in rural areas); 

(C) older individuals with greatest social need (with particular attention to lowincome minority 

individuals and older individuals residing in rural areas); 

(D) older individuals with severe disabilities; 

(E) older individuals with limited Englishspeaking 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 lowincome 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 LongTerm 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 nongovernmental 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 nongovernmental 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 LongTerm Care Ombudsman, a State LongTerm 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, longterm 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 Englishspeaking 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 Englishspeaking ability; and 

(B) to designate an individual employed by the area agency on aging, or available to such area agency 

on aging on a fulltime 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 Englishspeaking 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 lowincome minority 

individuals and older individuals residing in rural areas); 

(C) older individuals with greatest social need (with particular attention to lowincome minority 

individuals and older individuals residing in rural areas); 

(D) older individuals with severe disabilities; 

(E) older individuals with limited Englishspeaking 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 communitybased, longterm 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 longterm care facilities, but who can return to their homes if communitybased 

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, atrisk 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 inhome 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.