§ 1437. — State application and assurances.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 20USC1437]
TITLE 20--EDUCATION
CHAPTER 33--EDUCATION OF INDIVIDUALS WITH DISABILITIES
SUBCHAPTER III--INFANTS AND TODDLERS WITH DISABILITIES
Sec. 1437. State application and assurances
(a) Application
A State desiring to receive a grant under section 1433 of this title
shall submit an application to the Secretary at such time and in such
manner as the Secretary may reasonably require. The application shall
contain--
(1) a designation of the lead agency in the State that will be
responsible for the administration of funds provided under section
1433 of this title;
(2) a designation of an individual or entity responsible for
assigning financial responsibility among appropriate agencies;
(3) information demonstrating eligibility of the State under
section 1434 of this title, including--
(A) information demonstrating to the Secretary's
satisfaction that the State has in effect the statewide system
required by section 1433 of this title; and
(B) a description of services to be provided to infants and
toddlers with disabilities and their families through the
system;
(4) if the State provides services to at-risk infants and
toddlers through the system, a description of such services;
(5) a description of the uses for which funds will be expended
in accordance with this subchapter;
(6) a description of the procedure used to ensure that resources
are made available under this subchapter for all geographic areas
within the State;
(7) a description of State policies and procedures that ensure
that, prior to the adoption by the State of any other policy or
procedure necessary to meet the requirements of this subchapter,
there are public hearings, adequate notice of the hearings, and an
opportunity for comment available to the general public, including
individuals with disabilities and parents of infants and toddlers
with disabilities;
(8) a description of the policies and procedures to be used--
(A) to ensure a smooth transition for toddlers receiving
early intervention services under this subchapter to preschool
or other appropriate services, including a description of how--
(i) the families of such toddlers will be included in
the transition plans required by subparagraph (C); and
(ii) the lead agency designated or established under
section 1435(a)(10) of this title will--
(I) notify the local educational agency for the area
in which such a child resides that the child will
shortly reach the age of eligibility for preschool
services under subchapter II of this chapter, as
determined in accordance with State law;
(II) in the case of a child who may be eligible for
such preschool services, with the approval of the family
of the child, convene a conference among the lead
agency, the family, and the local educational agency at
least 90 days (and at the discretion of all such
parties, up to 6 months) before the child is eligible
for the preschool services, to discuss any such services
that the child may receive; and
(III) in the case of a child who may not be eligible
for such preschool services, with the approval of the
family, make reasonable efforts to convene a conference
among the lead agency, the family, and providers of
other appropriate services for children who are not
eligible for preschool services under subchapter II of
this chapter, to discuss the appropriate services that
the child may receive;
(B) to review the child's program options for the period
from the child's third birthday through the remainder of the
school year; and
(C) to establish a transition plan; and
(9) such other information and assurances as the Secretary may
reasonably require.
(b) Assurances
The application described in subsection (a) of this section--
(1) shall provide satisfactory assurance that Federal funds made
available under section 1443 of this title to the State will be
expended in accordance with this subchapter;
(2) shall contain an assurance that the State will comply with
the requirements of section 1440 of this title;
(3) shall provide satisfactory assurance that the control of
funds provided under section 1443 of this title, and title to
property derived from those funds, will be in a public agency for
the uses and purposes provided in this subchapter and that a public
agency will administer such funds and property;
(4) shall provide for--
(A) making such reports in such form and containing such
information as the Secretary may require to carry out the
Secretary's functions under this subchapter; and
(B) keeping such records and affording such access to them
as the Secretary may find necessary to ensure the correctness
and verification of those reports and proper disbursement of
Federal funds under this subchapter;
(5) provide satisfactory assurance that Federal funds made
available under section 1443 of this title to the State--
(A) will not be commingled with State funds; and
(B) will be used so as to supplement the level of State and
local funds expended for infants and toddlers with disabilities
and their families and in no case to supplant those State and
local funds;
(6) shall provide satisfactory assurance that such fiscal
control and fund accounting procedures will be adopted as may be
necessary to ensure proper disbursement of, and accounting for,
Federal funds paid under section 1443 of this title to the State;
(7) shall provide satisfactory assurance that policies and
procedures have been adopted to ensure meaningful involvement of
underserved groups, including minority, low-income, and rural
families, in the planning and implementation of all the requirements
of this subchapter; and
(8) shall contain such other information and assurances as the
Secretary may reasonably require by regulation.
(c) Standard for disapproval of application
The Secretary may not disapprove such an application unless the
Secretary determines, after notice and opportunity for a hearing, that
the application fails to comply with the requirements of this section.
(d) Subsequent State application
If a State has on file with the Secretary a policy, procedure, or
assurance that demonstrates that the State meets a requirement of this
section, including any policy or procedure filed under part H (as in
effect before July 1, 1998), the Secretary shall consider the State to
have met the requirement for purposes of receiving a grant under this
subchapter.
(e) Modification of application
An application submitted by a State in accordance with this section
shall remain in effect until the State submits to the Secretary such
modifications as the State determines necessary. This section shall
apply to a modification of an application to the same extent and in the
same manner as this section applies to the original application.
(f) Modifications required by Secretary
The Secretary may require a State to modify its application under
this section, but only to the extent necessary to ensure the State's
compliance with this subchapter, if--
(1) an amendment is made to this chapter, or a Federal
regulation issued under this chapter;
(2) a new interpretation of this chapter is made by a Federal
court or the State's highest court; or
(3) an official finding of noncompliance with Federal law or
regulations is made with respect to the State.
(Pub. L. 91-230, title VI, Sec. 637, as added Pub. L. 105-17, title I,
Sec. 101, June 4, 1997, 111 Stat. 112.)
References in Text
Part H (as in effect before July 1, 1998), referred to in subsec.
(d), means part H of Pub. L. 91-230, title VI, as added by Pub. L. 99-
457, title I, Sec. 101(a), Oct. 8, 1986, 100 Stat. 1145, which was
classified generally to subchapter VIII (Sec. 1471 et seq.) of this
chapter prior to repeal by Pub. L. 105-17, title II, Sec. 203(b), June
4, 1997, 111 Stat. 157, effective July 1, 1998.
Section Referred to in Other Sections
This section is referred to in sections 1412, 1435, 1438 of this
title.
