45 C.F.R. Subpart B—State Agency Responsibilities
Title 45 - Public Welfare
(a) The Older Americans Act intends that the State agency on aging shall be the leader relative to all aging issues on behalf of all older persons in the State. This means that the State agency shall proactively carry out a wide range of functions related to advocacy, planning, coordination, interagency linkages, information sharing, brokering, monitoring and evaluation, designed to lead to the development or enhancement of comprehensive and coordinated community based systems in, or serving, communities throughout the State. These systems shall be designed to assist older persons in leading independent, meaningful and dignified lives in their own homes and communities as long as possible. (b) The State agency shall designate area agencies on aging for the purpose of carrying out the mission described above for the State agency at the sub-State level. The State agency shall designate as its area agencies on aging only those sub-state agencies having the capacity and making the commitment to fully carry out the mission described for area agencies in §1321.53 below. (c) The State agency shall assure that the resources made available to area agencies on aging under the Older Americans Act are used to carry out the mission described for area agencies in §1321.53 below. (a) The State shall designate a sole State agency to develop and administer the State plan required under this part and serve as the effective visible advocate for the elderly within the State. (b) The State agency shall have an adequate number of qualified staff to carry out the functions prescribed in this part. (c) The State agency shall have within the State agency, or shall contract or otherwise arrange with another agency or organization, as permitted by section 307(a)(12)(A), an Office of the State Long-Term Care Ombudsman, with a full-time State ombudsman and such other staff as are appropriate. (d) If a State statute establishes a State ombudsman program which will perform the functions of section 307(a)(12) of the Act, the State agency continues to be responsible to assure that all of the requirements of the Act for this program are met regardless of the State legislation or source of funds. In such cases, the Governor shall confirm this through an assurance in the State plan. (a) The State agency on aging shall develop policies governing all aspects of programs operated under this part, including the ombudsman program whether operated directly by the State agency or under contract. These policies shall be developed in consultation with other appropriate parties in the State. The State agency is responsible for enforcement of these policies. (b) The policies developed by the State agency shall address the manner in which the State agency will monitor the performance of all programs and activities initiated under this part for quality and effectiveness. In monitoring the ombudsman program, access to files, minus the identity of any complainant or resident of a long-term care facility, shall be available only to the director of the State agency on aging and one other senior manager of the State agency designated by the State director for this purpose. In the conduct of the monitoring of the ombudsman program, the confidentiality protections concerning any complainant or resident of a long term care facility as prescribed in section 307(a)(12) of the Act shall be strictly adhered to. (a) The State agency shall: (1) Review, monitor, evaluate and comment on Federal, State and local plans, budgets, regulations, programs, laws, levies, hearings, policies, and actions which affect or may affect older individuals and recommend any changes in these which the State agency considers to be appropriate; (2) Provide technical assistance to agencies, organizations, associations, or individuals representing older persons; and (3) Review and comment, upon request, on applications to State and Federal agencies for assistance relating to meeting the needs of older persons. (b) No requirement in this section shall be deemed to supersede a prohibition contained in a Federal appropriation on the use of Federal funds to lobby the Congress. (a) A State may use its own judgment as to the format to use for the plan, how to collect information for the plan, and whether the plan will remain in effect for two, three or four years. (b) An approved State plan or amendment, as indentified in §1321.17, becomes effective on the date designated by the Commissioner. (c) A State agency may not make expenditures under a new plan or amendment requiring approval, as identified in §1321.17 and §1321.19, until it is approved. To receive a grant under this part, a State shall have an approved State plan as prescribed in section 307 of the Act. In addition to meeting the requirements of section 307, a State plan shall include: (a) Identification by the State of the sole State agency that has been designated to develop and administer the plan. (b) Statewide program objectives to implement the requirements under Title III of the Act and any objectives established by the Commissioner through the rulemaking process. (c) A resource allocation plan indicating the proposed use of all title III funds administered by a State agency, and the distribution of title III funds to each planning and service area. (d) Identification of the geographic boundaries of each planning and service area and of area agencies on aging designated for each planning and service area, if appropriate. (e) Provision of prior Federal fiscal year information related to low income minority and rural older individuals as required by sections 307(a) (23) and (29) of the Act. (f) Each of the assurances and provisions required in sections 305 and 307 of the Act, and provisions that the State meets each of the requirements under §§1321.5 through 1321.75 of this part, and the following assurances as prescribed by the Commissioner: (1) Each area agency engages only in activities which are consistent with its statutory mission as prescribed in the Act and as specified in State policies under §1321.11; (2) Preference is given to older persons in greatest social or economic need in the provision of services under the plan; (3) Procedures exist to ensure that all services under this part are provided without use of any means tests; (4) All services provided under title III meet any existing State and local licensing, health and safety requirements for the provision of those services; (5) Older persons are provided opportunities to voluntarily contribute to the cost of services; (6) Area plans shall specify as submitted, or be amended annually to include, details of the amount of funds expended for each priority service during the past fiscal year; (7) The State agency on aging shall develop policies governing all aspects of programs operated under this part, including the manner in which the ombudsman program operates at the State level and the relation of the ombudsman program to area agencies where area agencies have been designated; (8) The State agency will require area agencies on aging to arrange for outreach at the community level that identifies individuals eligible for assistance under this Act and other programs, both public and private, and informs them of the availability of assistance. The outreach efforts shall place special emphasis on reaching older individuals with the greatest economic or social needs with particular attention to low income minority individuals, including outreach to identify older Indians in the planning and service area and inform such older Indians of the availability of assistance under the Act. (9) The State agency shall have and employ appropriate procedures for data collection from area agencies on aging to permit the State to compile and transmit to the Commissioner accurate and timely statewide data requested by the Commissioner in such form as the Commissioner directs; and (10) If the State agency proposes to use funds received under section 303(f) of the Act for services other than those for preventive health specified in section 361, the State plan shall demonstrate the unmet need for the services and explain how the services are appropriate to improve the quality of life of older individuals, particularly those with the greatest economic or social need, with special attention to low-income minorities. (11) Area agencies shall compile available information, with necessary supplementation, on courses of post-secondary education offered to older individuals with little or no tuition. The assurance shall include a commitment by the area agencies to make a summary of the information available to older individuals at multipurpose senior centers, congregate nutrition sites, and in other appropriate places. (12) Individuals with disabilities who reside in a non-institutional household with and accompany a person eligible for congregate meals under this part shall be provided a meal on the same basis that meals are provided to volunteers pursuant to section 307(a)(13)(I) of the Act. (13) The services provided under this part will be coordinated, where appropriate, with the services provided under title VI of the Act. (14)(i) The State agency will not fund program development and coordinated activities as a cost of supportive services for the administration of area plans until it has first spent 10 percent of the total of its combined allotments under Title III on the administration of area plans; (ii) State and area agencies on aging will, consistent with budgeting cycles (annually, biannually, or otherwise), submit the details of proposals to pay for program development and coordination as a cost of supportive services, to the general public for review and comment; and (iii) The State agency certifies that any such expenditure by an area agency will have a direct and positive impact on the enhancement of services for older persons in the planning and service area. (15) The State agency will assure that where there is a significant population of older Indians in any planning and service area that the area agency will provide for outreach as required by section 306(a)(6)(N) of the Act. (a) A State shall amend the State plan whenever necessary to reflect: (1) New or revised Federal statutes or regulations, (2) A material change in any law, organization, policy or State agency operation, or (3) Information required annually by sections 307(a) (23) and (29) of the Act. (b) Information required by paragraph (a)(3) of this section shall be submitted according to guidelines prescribed by the Commissioner. (c) If a State intends to amend provisions of its plan required under §§1321.17 (a) or (f), it shall submit its proposed amendment to the Commissioner for approval. If the State changes any of the provisions of its plan required under §1321.17 (b) through (d), it shall amend the plan and notify the Commissioner. A State need only submit the amended portions of the plan. Each State plan, or plan amendment which requires approval of the Commissioner, shall be signed by the Governor or the Governor's designee and submitted to the Commissioner to be considered for approval at least 45 calendar days before the proposed effective date of the plan or plan amendment. (a) The Commissioner approves a State plan or State plan amendment by notifying the Governor or the Governor's designee in writing. (b) When the Commissioner proposes to disapprove a State plan or amendment, the Commissioner notifies the Governor in writing, giving the reasons for the proposed disapproval, and informs the State agency that it has 60 days to request a hearing on the proposed disapproval following the procedures specified in subpart E of this part. A State or area agency may not delegate to another agency the authority to award or administer funds under this part. The State agency shall have a mechanism to obtain and shall consider the views of older persons and the public in developing and administering the State plan. (a) Any unit of general purpose local government, region within a State recognized for area wide planning, metropolitan area, or Indian reservation may make application to the State agency to be designated as a planning and service area, in accordance with State agency procedures. (b) A State agency shall approve or disapprove any application submitted under paragraph (a) of this section. (c) Any applicant under paragraph (a) of this section whose application for designation as a planning and service area is denied by a State agency may appeal the denial to the State agency, under procedures specified by the State agency. (d) If the State denies an applicant for designation as a planning and service area under paragraph (a) of this section, the State shall provide a hearing on the denial of the application, if requested by the applicant, as well as issue a written decision. This section sets forth the procedures the Commissioner follows for providing hearings to applicants for designation as a planning and service area, under §1321.29(a), whose application is denied by the State agency. (a) Any applicant for designation as a planning and service area under §1321.29(a) whose application is denied, and who has been provided a hearing and a written decision by the State agency, may appeal the denial to the Commissioner in writing within 30 days following receipt of a State's hearing decision. (b) The Commissioner, or the Commissioner's designee, holds a hearing, and issues a written decision, within 60 days following receipt of an applicant's written request to appeal the State agency hearing decision to deny the applicant's request under §1321.29(a). (c) When the Commissioner receives an appeal, the Commissioner requests the State Agency to submit: (1) A copy of the applicant's application for designation as a planning and service area; (2) A copy of the written decision of the State; and (3) Any other relevant information the Commissioner may require. (d) The procedures for the appeal consist of: (1) Prior written notice to the applicant and the State agency of the date, time and location of the hearing; (2) The required attendance of the head of the State agency or designated representatives; (3) An opportunity for the applicant to be represented by counsel or other representative; and (4) An opportunity for the applicant to be heard in person and to present documentary evidence. (e) The Commissioner may: (1) Deny the appeal and uphold the decision of a State agency; (2) Uphold the appeal and require a State agency to designate the applicant as a planning and service area; or (3) Take other appropriate action, including negotiating between the parties or remanding the appeal to the State agency after initial findings. (f) The Commissioner will uphold the decision of the State agency if it followed the procedures specified in §1321.29, and the hearing decision is not manifestly inconsistent with the purpose of this part. (g) The Commissioner's decision to uphold the decision of a State agency does not extend beyond the period of the approved State plan. An area agency may be any of the types of agencies under section 305(c) of the Act. A State may not designate any regional or local office of the State as an area agency. However, when a new area agency on aging is designated, the State shall give right of first refusal to a unit of general purpose local government as required in section 305(b)(5)(B) of the Act. If the unit of general purpose local government chooses not to exercise this right, the State shall then give preference to an established office on aging as required in section 305(c)(5) of the Act. (a) In carrying out section 305 of the Act, the State agency shall withdraw the area agency designation whenever it, after reasonable notice and opportunity for a hearing, finds that: (1) An area agency does not meet the requirements of this part; (2) An area plan or plan amendment is not approved; (3) There is substantial failure in the provisions or administration of an approved area plan to comply with any provision of the Act or of this part or policies and procedures established and published by the State agency on aging; or (4) Activities of the area agency are inconsistent with the statutory mission prescribed in the Act or in conflict with the requirement of the Act that it function only as an area agency on aging. (b) If a State agency withdraws an area agency's designation under paragraph (a) of this section it shall: (1) Provide a plan for the continuity of area agency functions and services in the affected planning and service area; and (2) Designate a new area agency in the planning and service area in a timely manner. (c) If necessary to ensure continuity of services in a planning and service area, the State agency may, for a period of up to 180 days after its final decision to withdraw designation of an area agency: (1) Perform the responsibilities of the area agency; or (2) Assign the responsibilities of the area agency to another agency in the planning and service area. (d) The Commissioner may extend the 180-day period if a State agency: (1) Notifies the Commissioner in writing of its action under paragraph (c) of this section; (2) Requests an extension; and (3) Demonstrates to the satisfaction of the Commissioner a need for the extension. (a) The State agency, after consultation with all area agencies in the State, shall develop and use an intrastate funding formula for the allocation of funds to area agencies under this part. The State agency shall publish the formula for review and comment by older persons, other appropriate agencies and organizations and the general public. The formula shall reflect the proportion among the planning and service areas of persons age 60 and over in greatest economic or social need with particular attention to low-income minority individuals. The State agency shall review and update its formula as often as a new State plan is submitted for approval. (b) The intrastate funding formula shall provide for a separate allocation of funds received under section 303(f) for preventive health services. In the award of such funds to selected planning and service areas, the State agency shall give priority to areas of the State: (1) Which are medically underserved; and (2) In which there are large numbers of individuals who have the greatest economic and social need for such services. (c) The State agency shall submit its intrastate formula to the Commissioner for review and comment. The intrastate formula shall be submitted separately from the State plan. (a) The Commissioner will approve the application of a State which was, on or before October 1, 1980, a single planning and service area, to continue as a single planning and service area if the State agency demonstrates that: (1) The State is not already divided for purposes of planning and administering human services; or (2) The State is so small or rural that the purposes of this part would be impeded if the State were divided into planning and services areas; and (3) The State agency has the capacity to carry out the responsibilities of an area agency, as specified in the Act. (b) Prior to the Commissioner's approval for a State to continue as a single planning and service area, all the requirements and procedures in §1321.29 shall be met. (c) If the Commissioner approves a State's application under paragraph (a) this section: (1) The Commissioner notifies the State agency to develop a single State planning and service area plan which meets the requirements of section 306 and 307 of the Act. (2) A State agency shall meet all the State and area agency function requirements specified in the Act. (d) If the Commissioner denies the application because a State fails to meet the criteria or requirements set forth in paragraphs (a) or (b) of this section, the Commissioner notifies the State that it shall follow procedures in section 305(A)(1)(E) of the Act to divide the State into planning and service areas. (a) Before requesting permission of the Commissioner to designate an interstate planning and service area, the Governor of each State shall execute a written agreement that specifies the State agency proposed to have lead responsibility for administering the programs within the interstate planning and service area and lists the conditions, agreed upon by each State, governing the administration of the interstate planning and service area. (b) The lead State shall request permission of the Commissioner to designate an interstate planning and service area. (c) The lead State shall submit the request together with a copy of the agreement as part of its State plan or as an amendment to its State plan. (d) Prior to the Commissioner's approval for States to designate an interstate planning and service area, the Commissioner shall determine that all applicable requirements and procedures in §1321.29 and §1321.33 of this part, shall be met. (e) If the request is approved, the Commissioner, based on the agreement between the States, increases the allotment of the State with lead responsibility for administering the programs within the interstate area and reduces the allotment(s) of the State(s) without lead responsibility by one of these methods: (1) Reallotment of funds in proportion to the number of individuals age 60 and over for that portion of the interstate planning and service area located in the State without lead responsibility; or (2) Reallotment of funds based on the intrastate funding formula of the State(s) without lead responsibility. (a) A State agency, without the approval of the Commissioner, may transfer between allotments up to 30 percent of a State's separate allotments for congregate and home-delivered nutrition services. (b) A State agency may apply to the Commissioner to transfer from one allotment to the other a portion exceeding 30 percent of a State's separate allotments for congregate and home-delivered nutrition services. A State agency desiring such a transfer of allotment shall: (1) Specify the percent which it proposes to transfer from one allotment to the other; (2) Specify whether the proposed transfer is for the entire period of a State plan or a protion of a plan period; and (3) Specify the purpose of the proposed transfer. The statewide non-Federal share for State or area plan administration shall not be less than 25 percent of the funds usesd under this part. All services statewide, including ombudsman services and services funded under Title III-B, C, D, E and F, shall be funded on a statewide basis with a non-Federal share of not less than 15 percent. Matching requirements for individual area agencies are determined by the State agency. In order to avoid a penalty, each fiscal year the State agency, to meet the required non-federal share applicable to its allotments under this part, shall spend under the State plan for both services and administration at least the average amount of State funds it spent under the plan for the three previous fiscal years. If the State agency spends less than this amount, the Commissioner reduces the State's allotments for supportive and nutrition services under this part by a percentage equal to the percentage by which the State reduced its expenditures. (a) A State agency shall have procedures to protect the confidentiality of information about older persons collected in the conduct of its responsibilities. The procedures shall ensure that no information about an order person, or obtained from an older person by a service provider or the State or area agencies, is disclosed by the provider or agency in a form that identifies the person without the informed consent of the person or of his or her legal representative, unless the disclosure is required by court order, or for program monitoring by authorized Federal, State, or local monitoring agencies. (b) A State agency is not required to disclose those types of information or documents that are exempt from disclosure by a Federal agency under the Federal Freedom of Information Act, 5 U.S.C. 552. (c) A State or area agency on aging may not require a provider of legal assistance under this part to reveal any information that is protected by attorney client privilege. Each State shall submit objectively collected and statistically valid data with evaluative conclusions concerning the unmet need for supportive services, nutrition services, and multipurpose senior centers gathered pursuant to section 307(a)(3)(A) of the Act to the Commissioner. The evaluations for each State shall consider all services in these categories regardless of the source of funding for the services. This information shall be submitted not later than June 30, 1989 and shall conform to guidance issued by the Commissioner.
Title 45: Public Welfare
PART 1321—GRANTS TO STATE AND COMMUNITY PROGRAMS ON AGING
Subpart B—State Agency Responsibilities
§ 1321.7 Mission of the State agency.
§ 1321.9 Organization and staffing of the State agency.
§ 1321.11 State agency policies.
§ 1321.13 Advocacy responsibilities.
§ 1321.15 Duration, format and effective date of the State plan.
§ 1321.17 Content of State plan.
§ 1321.19 Amendments to the State plan.
§ 1321.21 Submission of the State plan or plan amendment to the Commissioner for approval.
§ 1321.23 Notification of State plan or State plan amendment approval.
§ 1321.25 Restriction of delegation of authority to other agencies.
§ 1321.27 Public participation.
§ 1321.29 Designation of planning and service areas.
§ 1321.31 Appeal to Commissioner.
§ 1321.33 Designation of area agencies.
§ 1321.35 Withdrawal of area agency designation.
§ 1321.37 Intrastate funding formula.
§ 1321.41 Single State planning and service area.
§ 1321.43 Interstate planning and service area.
§ 1321.45 Transfer between congregate and home-delivered nutrition service allotments.
§ 1321.47 Statewide non-Federal share requirements.
§ 1321.49 State agency maintenance of effort.
§ 1321.51 Confidentiality and disclosure of information.
§ 1321.52 Evaluation of unmet need.
