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FY 2015 State Plan Guidance

Attachment A

STATE PLAN ASSURANCES AND REQUIRED ACTIVITIES

Older Americans Act, As Amended in 2006

By signing this document, the authorized official commits the State Agency on Aging to 

performing all listed assurances and activities as stipulated in the Older Americans Act, as 

amended in 2006.

ASSURANCES

Sec. 305(a) - (c), ORGANIZATION

(a)(2)(A) 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)(B) 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)(E) 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 older individuals, including low-income 

minority older individuals, older individuals with limited English proficiency, and older 

individuals residing in rural areas) and include proposed methods of carrying out the preference 

in the State plan;

(a)(2)(F) The State agency shall provide assurances that the State agency will require use of 

outreach efforts described in section 307(a)(16). 

(a)(2)(G)(ii) 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.

(c)(5) 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.
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States must assure that the following assurances (Section 306) will be met by its designated 

area agencies on agencies, or by the State in the case of single planning and service area 

states.

Sec. 306(a), AREA PLANS

(2) 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, health services (including 

mental health services), outreach, information and assistance (which may include 

information and assistance to consumers on availability of services under part B and how to 

receive benefits under and participate in publicly supported programs for which the 

consumer may be eligible), 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. 

(4)(A)(i)(I) provide assurances that the area agency on aging will—

(aa) set specific objectives, consistent with State policy, for providing services to older 

individuals with greatest economic need, older individuals with greatest social need, and older 

individuals at risk for institutional placement;

(bb) include specific objectives for providing services to low-income minority older 

individuals, older individuals with limited English proficiency, and older individuals residing 

in rural areas; and

(II) include proposed methods to achieve the objectives described in items (aa) and (bb) of 

subclause (I);

(ii) 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—

(I) specify how the provider intends to satisfy the service needs of low-income minority 

individuals, older individuals with limited English proficiency, and older individuals residing 

in rural areas in the area served by the provider;

(II) to the maximum extent feasible, provide services to low-income minority individuals, 

older individuals with limited English proficiency, and older individuals residing in rural areas 

in accordance with their need for such services; and

(III) meet specific objectives established by the area agency on aging, for providing services to 

low-income minority individuals, older individuals with limited English proficiency, and older 

individuals residing in rural areas within the planning and service area; and

(4)(A)(iii) With respect to the fiscal year preceding the fiscal year for which such plan is 

prepared, each area agency on aging shall--

(I) identify the number of low-income minority older individuals and older individuals

residing in rural areas in the planning and service area;
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(II) describe the methods used to satisfy the service needs of such minority older 

individuals; and

(III) provide information on the extent to which the area agency on aging met the 

objectives described in clause (a)(4)(A)(i). 

(4)(B)(i) 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--

(I) older individuals residing in rural areas;

(II) older individuals with greatest economic need (with particular attention to low-income 

minority individuals and older individuals residing in rural areas);

(III) older individuals with greatest social need (with particular attention to low-income minority 

individuals and older individuals residing in rural areas);

(IV) older individuals with severe disabilities;

(V) older individuals with limited English proficiency; 

(VI) older individuals with Alzheimer’s disease and related disorders with neurological and 

organic brain dysfunction (and the caretakers of such individuals); and

(VII) older individuals at risk for institutional placement; and

(4)(C) 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. 

(5) 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, and 

individuals at risk for institutional placement, with agencies that develop or provide services for 

individuals with disabilities. 

(6)(F) Each area agency will:

in coordination with the State agency and with the State agency responsible for mental health 

services, increase public awareness of mental health disorders, remove barriers to diagnosis and 

treatment, and coordinate mental health services (including mental health screenings) provided 

with funds expended by the area agency on aging with mental health services provided by 

community health centers and by other public agencies and nonprofit private organizations;

(9) 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. 

(11) 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 
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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. 

(13)(A) 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. 

(13)(B) Each area agency on aging shall provide assurances that the area agency on aging 

will disclose to the Assistant Secretary and the State agency--

(i) 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

(ii) the nature of such contract or such relationship. 

(13)(C) 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. 

(13)(D) 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. 

(13)(E) 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. 

(14) 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. 

(15) provide assurances that funds received under this title will be used-

(A) to provide benefits and services to older individuals, giving priority to older 

individuals identified in paragraph (4)(A)(i); and

(B) in compliance with the assurances specified in paragraph (13) and the limitations 

specified in section 212;

(17)Each Area Plan will include information detailing how the Area Agency will coordinate 

activities and develop long-range emergency preparedness plans with local and State emergency 
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response agencies, relief organizations, local and State governments and other institutions that 

have responsibility for disaster relief service delivery.

Sec. 307, STATE PLANS

(7)(A) 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. 

(7)(B) The plan shall provide assurances that--

(i) 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;

(ii) no officer, 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 

(iii) mechanisms are in place to identify and remove conflicts of interest prohibited under this 

Act.

(9) 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. 

(10) 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. 

(11)(A) The plan shall provide assurances that area agencies on aging will--

(i) enter into contracts with providers of legal assistance which can demonstrate the experience 

or capacity to deliver legal assistance; 

(ii) 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 

(iii) 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. 

(11)(B) 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 
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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. 

(11)(D) 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; 

(11)(E) 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.

(12) 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. 

(13) 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. 

(15) 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.

(16) The plan shall provide assurances that the State agency will require outreach efforts that 

will—
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(A) identify individuals eligible for assistance under this Act, with special emphasis on—

(i) older individuals residing in rural areas;

(ii) older individuals with greatest economic 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;

(iii) 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;

(iv) older individuals with severe disabilities;

(v) older individuals with limited English-speaking ability; and

(vi) older individuals with Alzheimer’s disease and related disorders with neurological and 

organic brain dysfunction (and the caretakers of such individuals); and

(B) inform the older individuals referred to in clauses (i) through (vi) of subparagraph (A), and 

the caretakers of such individuals, of the availability of such assistance.

(17) 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. 

(18) 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. 

(19) The plan shall include the assurances and description required by section 705(a).

(20) The plan shall provide assurances that special efforts will be made to provide 

technical assistance to minority providers of services. 

(21) 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.

(22) 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).
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(23) 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.

(24) 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. 

(25) 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. 

(26) 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. 

(27) The plan shall provide assurances that area agencies on aging will provide, to the extent 

feasible, for the furnishing of services under this Act, consistent with self-directed care.

Sec. 308, PLANNING, COORDINATION, EVALUATION, AND 

ADMINISTRATION OF STATE PLANS

(b)(3)(E) 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. 

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.
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(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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FY 2015 State Plan Guidance

Attachment A (Continued)

REQUIRED ACTIVITIES 

Sec. 307(a) STATE PLANS

(1)(A)The State Agency requires each area agency on aging designated under section 

305(a)(2)(A) to develop and submit to the State agency for approval, in accordance with a 

uniform format developed by the State agency, an area plan meeting the requirements of section 

306; and

(B) The State plan is based on such area plans.

Note: THIS SUBSECTION OF STATUTE DOES NOT REQUIRE THAT AREA PLANS BE 

DEVELOPED PRIOR TO STATE PLANS AND/OR THAT STATE PLANS DEVELOP AS A 

COMPILATION OF AREA PLANS.

(2) The State agency:

(A) evaluates, using uniform procedures described in section 202(a)(26), the need for supportive 

services (including legal assistance pursuant to 307(a)(11), information and assistance, and 

transportation services), nutrition services, and multipurpose senior centers within the State;

(B) has developed a standardized process to determine the extent to which public or private 

programs and resources (including Department of Labor Senior Community Service 

Employment Program participants, and programs and services of voluntary organizations) have 

the capacity and actually meet such need; 

(4) The plan shall provide that the State agency will conduct periodic evaluations of, and public 

hearings on, activities and projects carried out in the State under this title and title VII, including 

evaluations of the effectiveness of services provided to individuals with greatest economic need, 

greatest social need, or disabilities (with particular attention to low-income minority older 

individuals, older individuals with limited English proficiency, and older individuals residing in 

rural areas). Note: “Periodic” (defined in 45CFR Part 1321.3) means, at a minimum, once each 

fiscal year.

(5) The State agency:

(A) affords an opportunity for a public hearing upon request, in accordance with published 

procedures, to any area agency on aging submitting a plan under this title, to any provider of (or 

applicant to provide) services;

(B) issues guidelines applicable to grievance procedures required by section 306(a)(10); and

(C) affords an opportunity for a public hearing, upon request, by an area agency on aging, by a 

provider of (or applicant to provide) services, or by any recipient of services under this title 

regarding any waiver request, including those under Section 316.
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(6) The State agency will make such reports, in such form, and containing such information, as 

the Assistant Secretary may require, and comply with such requirements as the Assistant 

Secretary may impose to insure the correctness of such reports. 

(8)(A) No supportive services, nutrition services, or in-home services are directly provided by 

the State agency or an area agency on aging in the State, unless, in the judgment of the State 

agency--

(i) provision of such services by the State agency or the area agency on aging is necessary to 

assure an adequate supply of such services;

(ii) such services are directly related to such State agency's or area agency on aging's 

administrative functions; or

(iii) such services can be provided more economically, and with comparable quality, by such 

State agency or area agency on aging.

___________________________________________ ____________________

Signature and Title of Authorized Official Date