§6022. State plan

(a) In general

Any State desiring to take advantage of this subchapter shall have a State plan submitted to, and approved by, the Secretary under this section.

(b) Planning cycle

The plan under subsection (a) of this section shall be reviewed annually and revised at least once every 3 years.

(c) State plan requirements

In order to be approved by the Secretary under this section, a State plan shall meet the requirements in paragraphs (1) through (5).

(1) State Council

The plan shall provide for the establishment and maintenance of a State Developmental Disabilities Council in accordance with section 6024 of this title and describe the membership of such Council.

(2) Designated State agency

The plan shall identify the agency or office within the State designated to support the State Developmental Disabilities Council in accordance with this section and section 6024(d) of this title.

(3) Comprehensive review and analysis

The plan shall contain a comprehensive review and analysis of the extent to which services and supports are available to, and the need for services and supports for, individuals with developmental disabilities and their families. Such review and analysis shall include-

(A) a description of the services, supports and other assistance being provided to, or to be provided to, individuals with developmental disabilities and their families under other federally assisted State programs, plans, and policies that the State conducts and in which individuals with developmental disabilities are or may be eligible to participate, including programs relating to education, job training, vocational rehabilitation, public assistance, medical assistance, social services, child welfare, maternal and child health, aging, programs for children with special health care needs, children's mental health, housing, transportation, technology, comprehensive health and mental health, and such other programs as the Secretary may specify;

(B) a description of the extent to which agencies operating such other federally assisted State programs pursue interagency initiatives to improve and enhance services, supports, and other assistance for individuals with developmental disabilities; and

(C) an examination of the provision, and the need for the provision, in the State of the four Federal priority areas and an optional State priority area, including-

(i) an analysis of such Federal and State priority areas in relation to the degree of support for individuals with developmental disabilities attributable to either physical impairment, mental impairment, or a combination of physical and mental impairments;

(ii) an analysis of criteria for eligibility for services, including specialized services and special adaptation of generic services provided by agencies within the State, that may exclude individuals with developmental disabilities from receiving such services;

(iii) an analysis of the barriers that impede full participation of members of unserved and underserved groups;

(iv) consideration of the report conducted pursuant to section 6024(e) of this title;

(v) consideration of the data collected by the State educational agency under section 1418 of title 20;

(vi) an analysis of services, assistive technology, or knowledge that may be unavailable to assist individuals with developmental disabilities;

(vii) an analysis of existing and projected fiscal resources;

(viii) an analysis of any other issues identified by the State Developmental Disabilities Council; and

(ix) the formulation of objectives in systemic change, capacity building, and advocacy to address the issues described in clauses (i) through (vi) for all subpopulations of individuals with developmental disabilities that may be identified by the State Developmental Disabilities Council.

(4) Plan objectives

The plan shall-

(A) specify employment, and at the discretion of the State, any or all of the three other Federal priority areas and an optional State priority area that are selected by the State Developmental Disabilities Council for such Council's major systemic change, capacity building, and advocacy activities to be addressed during the plan period and describe the extent and scope of the Federal and State priority areas that will be addressed under the plan in the fiscal year;

(B) describe the specific 1-year and 3-year objectives to be achieved and include a listing of the programs, activities, and resources by which the State Developmental Disabilities Council will implement its systemic change, capacity building, and advocacy activities in selected priority areas, and set forth the non-Federal share required to carry out each objective; and

(C) establish a method for the periodic evaluation of the plan's effectiveness in meeting the objectives described in subparagraph (B).

(5) Assurances

The plan shall contain or be supported by the assurances described in subparagraphs (A) through (N), which are satisfactory to the Secretary.

(A) Use of funds

With respect to the funds paid to the State under section 6025 of this title, the plan shall provide assurances that-

(i) such funds will be used to make a significant contribution toward enhancing the independence, productivity, and integration and inclusion into the community of individuals with developmental disabilities in various political subdivisions of the State;

(ii) such funds will be used to supplement and to increase the level of funds that would otherwise be made available for the purposes for which Federal funds are provided and not to supplant non-Federal funds;

(iii) such funds will be used to complement and augment rather than duplicate or replace services for individuals with developmental disabilities and their families who are eligible for Federal assistance under other State programs;

(iv) part of such funds will be made available by the State to public or private entities;

(v) not more than 25 percent of such funds will be allocated to the agency designated under section 6024(d) of this title for service demonstration by such agency and that such funds and demonstration services have been explicitly authorized by the State Developmental Disabilities Council;

(vi) not less than 65 percent of the amount available to the State under section 6025 of this title shall be expended for activities in the Federal priority area of employment activities, and, at the discretion of the State, activities in any or all of the three other Federal priority areas and an optional State priority area; and

(vii) the remainder of the amount available to the State from allotments under section 6025 of this title (after making expenditures required by clause (vi)) shall be used for the planning, coordination, administration, and implementation of priority area activities, and other activities relating to systemic change, capacity building, and advocacy to implement the responsibilities of the State Developmental Disabilities Council pursuant to section 6024(c) of this title.

(B) State financial participation

The plan shall provide assurances that there will be reasonable State financial participation in the cost of carrying out the State plan.

(C) Conflict of interest

The plan shall provide assurances that the State Developmental Disabilities Council has approved conflict of interest policies as of October 1, 1994, to ensure that no member of such Council shall cast a vote on any matter that would provide direct financial benefit to the member or otherwise give the appearance of a conflict of interest.

(D) Urban and rural poverty areas

The plan shall provide assurances that special financial and technical assistance shall be given to organizations that provide services, supports, and other assistance to individuals with developmental disabilities who live in areas designated as urban or rural poverty areas.

(E) Program standards

The plan shall provide assurances that programs, projects, and activities assisted under the plan, and the buildings in which such programs, projects, and activities are operated, will meet standards prescribed by the Secretary in regulation and all applicable Federal and State accessibility standards.

(F) Individualized services

The plan shall provide assurances that any direct services provided to individuals with developmental disabilities and funded under this plan will be provided in an individualized manner, consistent with unique strengths, resources, priorities, concerns, abilities, and capabilities of an individual.

(G) Human rights

The plan shall provide assurances that the human rights of all individuals with developmental disabilities (especially those individuals without familial protection) who are receiving services under programs assisted under this subchapter will be protected consistent with section 6009 of this title (relating to rights of individuals with developmental disabilities).

(H) Minority participation

The plan shall provide assurances that the State has taken affirmative steps to assure that participation in programs under this subchapter is geographically representative of the State, and reflects the diversity of the State with respect to race and ethnicity.

(I) Intermediate care facility for the mentally retarded survey reports

The plan shall provide assurances that the State will provide the State Developmental Disabilities Council with a copy of each annual survey report and plan of corrections for cited deficiencies prepared pursuant to section 1396a(a)(31) of this title with respect to any intermediate care facility for the mentally retarded in such State not less than 30 days after the completion of each such report or plan.

(J) Volunteers

The plan shall provide assurances that the maximum utilization of all available community resources including volunteers serving under the Domestic Volunteer Service Act of 1973 [42 U.S.C. 4950 et seq.] and other appropriate voluntary organizations will be provided for, except that such volunteer services shall supplement, and shall not be in lieu of, services of paid employees.

(K) Employee protections

The plan shall provide assurances that fair and equitable arrangements (as determined by the Secretary after consultation with the Secretary of Labor) will be provided to protect the interests of employees affected by actions under the plan to provide community living activities, including arrangements designed to preserve employee rights and benefits and to provide training and retraining of such employees where necessary and arrangements under which maximum efforts will be made to guarantee the employment of such employees.

(L) Staff assignments

The plan shall provide assurances that the staff and other personnel of the State Developmental Disabilities Council, while working for the Council, are responsible solely for assisting the Council in carrying out its duties under this subchapter and are not assigned duties by the designated State agency or any other agency or office of the State.

(M) Noninterference

The plan shall provide assurances that the designated State agency or other office of the State will not interfere with systemic change, capacity building, and advocacy activities, budget, personnel, State plan development, or plan implementation of the State Developmental Disabilities Council, except that the designated State agency shall have the authority necessary to carry out the responsibilities described in section 6024(d)(3) of this title.

(N) Other assurances

The plan shall contain such additional information and assurances as the Secretary may find necessary to carry out the provisions and purposes of this subchapter.

(d) Public review, submission, and approval

(1) Public review

The plan shall be made available for public review and comment with appropriate and sufficient notice in accessible formats and take into account and respond to significant suggestions, as prescribed by the Secretary in regulation.

(2) Consultation with the designated State agency

Before the plan is submitted to the Secretary, the State Developmental Disabilities Council shall consult with the designated State agency to ensure that the State plan is consistent with State law and to obtain appropriate State plan assurances.

(3) Plan approval

The Secretary shall approve any State plan and annual updates of such plan that comply with the provisions of subsections (a), (b), and (c) of this section. The Secretary may not finally disapprove a State plan except after providing reasonable notice and an opportunity for a hearing to the State.

(Pub. L. 88–164, title I, §122, as added Pub. L. 98–527, §2, Oct. 19, 1984, 98 Stat. 2670 ; amended Pub. L. 99–91, §6(b), Aug. 15, 1985, 99 Stat. 391 ; Pub. L. 100–146, title II, §202, Oct. 29, 1987, 101 Stat. 845 ; Pub. L. 101–496, §11, Oct. 31, 1990, 104 Stat. 1195 ; Pub. L. 102–119, §26(b), Oct. 7, 1991, 105 Stat. 607 ; Pub. L. 103–230, title II, §203, Apr. 6, 1994, 108 Stat. 297 .)

References in Text

The Domestic Volunteer Service Act of 1973, referred to in subsec. (c)(5)(J), is Pub. L. 93–113, Oct. 1, 1973, 87 Stat. 394 , as amended, which is classified principally to chapter 66 (§4950 et seq.) of this title. For complete classification of this Act to the Code, see Short Title note set out under section 4950 of this title and Tables.

Prior Provisions

A prior section 122 of Pub. L. 88–164, title I, as added Pub. L. 94–103, title I, §105, Oct. 4, 1975, 89 Stat. 487 ; amended Pub. L. 95–602, title V, §509, Nov. 6, 1978, 92 Stat. 3009 , set forth administrative provisions relating to demonstration and training grants and was classified to section 6032 of this title, prior to the general amendment of this chapter by Pub. L. 98–527.

Amendments

1994-Pub. L. 103–230 substituted "State plan" for "State plans" in section catchline and amended text generally, substituting, in subsec. (a), provisions relating to submission of plan to Secretary of Health and Human Services for similar provisions, in subsec. (b), provisions relating to planning cycle for provisions relating to plan requirements and contents, in subsec. (c), provisions relating to plan requirements for provisions relating to approval or final disapproval of plan and to notice and hearing requirements, in subsec. (d), provisions relating to public review, submission, and approval of plan for provisions relating to administration of plan and treatment of expenditures arising therefrom, and struck out former subsecs. (e) and (f), relating, respectively, to continued designation of previously designated State agency and to comprehensive review and analysis of services by State Planning Council and reports of such review.

1991-Subsec. (b)(5)(C). Pub. L. 102–119 substituted reference to the Individuals with Disabilities Education Act for reference to the Education of the Handicapped Act in the original, which for purposes of codification was translated as section 1418 of title 20, thus requiring no change in text.

1990-Subsec. (b)(1)(B). Pub. L. 101–496, §11(1), amended first sentence generally. Prior to amendment, first sentence read as follows: "The plan must designate the State agency which shall administer or supervise the administration of the State plan (hereafter in this subchapter referred to as the 'designated State agency')."

Subsec. (b)(2)(C). Pub. L. 101–496, §11(2), (3)(B), inserted ", supports and other assistance" after "scope of services", ", or policies affecting," before "federally", "or may be" before "eligible to", "child welfare," after "social services,", and "transportation, technology," after "housing,", substituted "other programs" for "other plans", added cl. (ii), and redesignated former cl. (ii) as (iii) and inserted "and their families" after "disabilities".

Subsec. (b)(2)(D) to (F). Pub. L. 101–496, §11(3)(A), (C), added subpar. (D) and redesignated former subpars. (D) and (E) as (E) and (F), respectively.

Subsec. (b)(5)(B)(iii) to (viii). Pub. L. 101–496, §11(4), added cls. (iii) and (iv) and redesignated former cls. (iii) to (vi) as (v) to (viii), respectively.

Subsec. (b)(5)(D)(i). Pub. L. 101–496, §11(5), substituted "the implementation" for "and the implementation" and inserted before period at end ", and activities which address the implementation of recommendations made in the report described in subsection (f) of this section, including recommendations which address unserved and underserved populations".

Subsec. (d)(1). Pub. L. 101–496, §11(6), substituted "exercise of the functions of the State designated agency" for "administration of the State Plan approved under this section" and "the State agency designated under subsection (b)(1)(B) of this section" for "all of the State agencies designated under subsection (b)(1)(B) of this section for the administration or supervision of the administration of the State plan" and inserted provision at end that State contributions may be counted as part of such State's non-Federal share of allotments under this subchapter.

Subsec. (e)(5). Pub. L. 101–496, §11(7), added par. (5).

Subsec. (f)(4). Pub. L. 101–496, §11(8), added par. (4) and struck out former par. (4) which required that by Jan. 1, 1990, each State Planning Council prepare and submit to State Governor and legislature a final written report on the review and analyses conducted under pars. (1) and (2), including specific recommendations.

Subsec. (f)(5). Pub. L. 101–496, §11(8), struck out par. (5) which read as follows: "By January 15, 1990, the Governor of each State shall submit to the Secretary a copy of the report required by paragraph (4). By April 1, 1990, the Secretary shall transmit a summary of such reports to the appropriate committees of the Congress."

1987-Subsec. (b). Pub. L. 100–146, §202(a), struck out "for the provision of services for persons with developmental disabilities" after "a State plan" in introductory provisions.

Subsec. (b)(1)(A). Pub. L. 100–146, §202(b)(1)(A)(i), added subpar. (A) and struck out former subpar. (A) which read as follows: "The plan must provide for the establishment of a State Planning Council, in accordance with section 6024 of this title, for the assignment to the Council of personnel in such numbers and with such qualifications as the Secretary determines to be adequate to enable the Council to carry out its duties under this chapter, and for the identification of the personnel so assigned."

Subsec. (b)(1)(B). Pub. L. 100–146, §202(b)(1)(A)(ii), added subpar. (B) and struck out former subpar. (B) which read as follows: "The plan must designate the State agency or agencies which shall administer or supervise the administration of the State plan and, if there is more than one such agency, the portion of such plan which each will administer (or the portion the administration of which each will supervise)."

Subsec. (b)(1)(C). Pub. L. 100–146, §202(b)(1)(A)(iii), substituted "the" for "each" before "State agency".

Subsec. (b)(2)(A). Pub. L. 100–146, §202(b)(2)(A), inserted ", activities," after "programs".

Subsec. (b)(2)(C)(i). Pub. L. 100–146, §202(b)(2)(B), inserted cl. (i) and struck out former cl. (i) which read as follows: "the extent and scope of services being provided, or to be provided, to persons with developmental disabilities under such other State plans for federally assisted State programs as the State conducts relating to education for the handicapped, vocational rehabilitation, public assistance, medical assistance, social services, maternal and child health, crippled children's services, and comprehensive health and mental health, and under such other plans as the Secretary may specify, and".

Subsec. (b)(2)(D). Pub. L. 100–146, §202(b)(2)(C), substituted "Federal and State priority areas which are addressed or which will be addressed" for "priority services being or to be provided".

Subsec. (b)(3). Pub. L. 100–146, §202(b)(3)(B), added par. (3). Former par. (3) redesignated (4).

Subsec. (b)(4). Pub. L. 100–146, §202(b)(3)(A), (4), redesignated par. (3) as (4), in subpar. (A), substituted "enhancing the independence, productivity, and integration into the community of" for "strengthening services for", and in subpar. (C), struck out "or agencies" after "agency" in two places. Former par. (4) redesignated (5).

Subsec. (b)(5). Pub. L. 100–146, §202(b)(3)(A), redesignated par. (4) as (5). Former par. (5) redesignated (6).

Subsec. (b)(5)(A). Pub. L. 100–146, §202(b)(5)(A), inserted subpar. (A) and struck out former subpar. (A) which read as follows: "The plan must provide for the examination not less often than once every three years of the provision, and the need for the provision, in the State of the four priority services."

Subsec. (b)(5)(B). Pub. L. 100–146, §202(b)(5)(B), added subpar. (B) and struck out former subpar. (B) which contained cls. (i) to (iii) relating to development, review, and revision of a comprehensive statewide plan.

Subsec. (b)(5)(C). Pub. L. 100–146, §202(b)(5)(C), (D), redesignated subpar. (D) as (C) and struck out former subpar. (C) which allowed expenditure during fiscal years 1985, 1986, and 1987 of funds for additional special services.

Subsec. (b)(5)(D). Pub. L. 100–146, §202(b)(5)(D)–(H), redesignated subpar. (E) as (D), in cl. (i), substituted "activities in the Federal priority area of employment activities, and, at the discretion of the State, activities in any or all of the three other Federal priority areas and a State priority area, the conduct of the analyses specified in clauses (i) through (v) of subparagraph (B), and the implementation of paragraph (3) and subsection (f) of this section" for "service activities in the priority services", and in cl. (ii), struck out "service activities for persons with developmental disabilities, and" after "be used for", inserted "priority area activities for", and substituted "persons with developmental disabilities" for "the provision of such services". Former subpar. (D) redesignated (C).

Subsec. (b)(5)(E), (F). Pub. L. 100–146, §202(b)(5)(D), redesignated subpar. (F) as (E). Former subpar. (E) redesignated (D).

Subsec. (b)(6). Pub. L. 100–146, §202(b)(3)(A), (6), redesignated par. (5) as (6), and in subpar. (A), substituted "programs" for "services furnished" and "operated" for "furnished" in cl. (i) and "programs" for "delivery of services" in cl. (ii). Former par. (6) redesignated (7).

Subsec. (b)(7). Pub. L. 100–146, §202(b)(3)(A), (7), redesignated par. (6) as (7), and in subpar. (B), substituted "community living activities" for "alternative community living arrangement services". Former par. (7) redesignated (8).

Subsec. (b)(8). Pub. L. 100–146, §202(b)(3)(A), redesignated par. (7) as (8).

Subsec. (e). Pub. L. 100–146, §202(b)(1)(B), added subsec. (e).

Subsec. (f). Pub. L. 100–146, §202(b)(3)(C), added subsec. (f).

1985-Subsec. (b)(4)(C). Pub. L. 99–91 amended subpar. (C) generally. Prior to amendment, subpar. (C) read as follows: "Notwithstanding the requirements of subparagraph (B), upon the application of a State, the Secretary, pursuant to regulations which the Secretary shall prescribe, may permit the portion of the funds which must otherwise be expended under the State plan for service activities in a limited number of services to be expended for service activities in additional services if the Secretary determines that the expenditures of the State on service activities in the initially specified services has reasonably met the need for those services in the State in comparison to the extent to which the need for such additional services has been met in such State. Such additional areas shall, to the maximum extent feasible, be areas within the priority services."

Effective Date of 1987 Amendment

Amendment by Pub. L. 100–146 effective Oct. 1, 1987, see section 601 of Pub. L. 100–146, set out as a note under section 6000 of this title.

Effective Date of 1985 Amendment

Amendment by Pub. L. 99–91 effective Oct. 19, 1984, see section 8(b) of Pub. L. 99–91, set out as a note under section 360aa of Title 21, Food and Drugs.

Section Referred to in Other Sections

This section is referred to in sections 6024, 6025, 6025a, 6027, 6029, 6063, 6082 of this title.