
From the U.S. Code Online via GPO Access
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[Laws in effect as of January 23, 2000]
[Document affected by Public Law 106-501 Section 307]
[CITE: 42USC3028]

 
                 TITLE 42--THE PUBLIC HEALTH AND WELFARE
 
                CHAPTER 35--PROGRAMS FOR OLDER AMERICANS
 
    SUBCHAPTER III--GRANTS FOR STATE AND COMMUNITY PROGRAMS ON AGING
 
                       Part A--General Provisions
 
Sec. 3028. Cost of administration of State plans


(a) Activities constituting administration; use of excess funds to 
        supplement cost of administration of area plans; election to pay 
        costs from sums received for administration of area plans

    (1) Amounts available to States under subsection (b)(1) of this 
section may be used to make grants to States for paying such percentages 
as each State agency determines, but not more than 75 percent, of the 
cost of the administration of its State plan, including the preparation 
of the State plan, the evaluation of activities carried out under such 
plan, the collection of data and the carrying out of analyses related to 
the need for supportive services, nutrition services, and multipurpose 
senior centers within the State, and dissemination of information so 
obtained, the provision of short-term training to personnel of public or 
nonprofit private agencies and organizations engaged in the operation of 
programs authorized by this chapter, and the carrying out of 
demonstration projects of statewide significance relating to the 
initiation, expansion, or improvement of services assisted under this 
subchapter.
    (2) Any sums available to a State under subsection (b)(1) of this 
section for part of the cost of the administration of its State plan 
which the State determines is not needed for such purpose may be used by 
the State to supplement the amount available under section 3024(d)(1)(A) 
of this title to cover part of the cost of the administration of area 
plans.
    (3) Any State which has been designated a single planning and 
service area under section 3025(a)(1)(E) of this title covering all, or 
substantially all, of the older individuals in such State, as determined 
by the Assistant Secretary, may elect to pay part of the costs of the 
administration of State and area plans either out of sums received under 
this section of out of sums made available for the administration of 
area plans under section 3024(d)(1)(A) of this title, but shall not pay 
such costs out of sums received or allotted under both such sections.

(b) Formula for computation of allotment; application for additional 
        funds; approval of application by Assistant Secretary; 
        limitation on amount of additional funds; transfer of funds

    (1) If for any fiscal year the aggregate amount appropriated under 
section 3023 of this title does not exceed $800,000,000, then--
        (A) except as provided in clause (ii), the greater of 5 percent 
    of the allotment to a State under section 3024(a)(1) of this title 
    or $300,000; and
        (B) in the case of Guam, American Samoa, the United States 
    Virgin Islands, the Trust Territory of the Pacific Islands, and the 
    Commonwealth of the Northern Mariana Islands, the greater of 5 
    percent of such allotment or $75,000;

shall be available to such State to carry out the purposes of this 
section.
    (2) If for any fiscal year the aggregate amount appropriated under 
section 3023 of this title exceeds $800,000,000, then--
        (A) except as provided in clause (ii), the greater of 5 percent 
    of the allotment to a State under section 3024(a)(1) of this title 
    or $500,000; and
        (B) in the case of Guam, American Samoa, the United States 
    Virgin Islands, the Trust Territory of the Pacific Islands, and the 
    Commonwealth of the Northern Mariana Islands, the greater of 5 
    percent of such allotment or $100,000;

shall be available to such State to carry out the purposes of this 
section.
    (3)(A) If the aggregate amount appropriated under section 3023 of 
this title for a fiscal year does not exceed $800,000,000, then any 
State which desires to receive amounts, in addition to amounts allotted 
to such State under paragraph (1), to be used in the administration of 
its State plan in accordance with subsection (a) of this section may 
transmit an application to the Assistant Secretary in accordance with 
this paragraph. Any such application shall be transmitted in such form, 
and according to such procedures, as the Assistant Secretary may 
require, except that such application may not be made as part of, or as 
an amendment to, the State plan.
    (B) The Assistant Secretary may approve any application transmitted 
by a State under subparagraph (A) if the Assistant Secretary determines, 
based upon a particularized showing of need, that--
        (i) the State will be unable to fully and effectively administer 
    its State plan and to carry out programs and projects authorized by 
    this subchapter unless such additional amounts are made available by 
    the Assistant Secretary;
        (ii) the State is making full and effective use of its allotment 
    under paragraph (1) and of the personnel of the State agency and 
    area agencies designated under section 3025(a)(2)(A) of this title 
    in the administration of its State plan in accordance with 
    subsection (a) of this section; and
        (iii) the State agency and area agencies on aging of such State 
    are carrying out, on a full-time basis, programs and activities 
    which are in furtherance of the objectives of this chapter.

    (C) The Assistant Secretary may approve that portion of the amount 
requested by a State in its application under subparagraph (A) which the 
Assistant Secretary determines has been justified in such application.
    (D) Amounts which any State may receive in any fiscal year under 
this paragraph may not exceed three-fourths of 1 percent of the sum of 
the amounts allotted under section 3024(a) of this title to such State 
to carry out the State plan for such fiscal year.
    (E) No application by a State under subparagraph (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 chapter in anticipation of filling the vacancy so created by hiring 
an employee to be supported through use of amounts received under this 
paragraph.
    (4)(A) Notwithstanding any other provision of this subchapter and 
except as provided in subparagraph (B), with respect to funds received 
by a State and attributable to funds appropriated under paragraph (1) or 
(2) of section 3023(b) of this title, the State may elect in its plan 
under section 3027(a)(13) regarding part C of this subchapter, to 
transfer not more than 30 percent of the funds so received between 
subpart I and subpart II of part C of this subchapter, for use as the 
State considers appropriate to meet the needs of the area served. The 
Assistant Secretary shall approve any such transfer unless the Assistant 
Secretary determines that such transfer is not consistent with the 
objectives of this chapter.
    (B) If a State demonstrates, to the satisfaction of the Assistant 
Secretary, that funds received by the State and attributable to funds 
appropriated under paragraph (1) or (2) of section 3023(b) of this 
title, including funds transferred under subparagraph (A) without regard 
to this subparagraph, for fiscal year 1993, 1994, 1995, or 1996 are 
insufficient to satisfy the need for services under subpart I or subpart 
II of part C of this subchapter, then the Assistant Secretary may grant 
a waiver that permits the State to transfer under subparagraph (A) to 
satisfy such need--
        (i) an additional 18 percent of the funds so received for fiscal 
    year 1993;
        (ii) an additional 15 percent of the funds so received for each 
    of the fiscal years 1994 and 1995; and
        (iii) an additional 10 percent of the funds so received for 
    fiscal year 1996.

    (5)(A) Notwithstanding any other provision of this subchapter and 
except as provided in subparagraph (B), of the funds received by a State 
attributable to funds appropriated under subsection (a)(1), and 
paragraphs (1) and (2) of subsection (b), of section 3023 of this title, 
the State may elect to transfer not more than 30 percent for fiscal year 
1993, not more than 25 percent for fiscal year 1994, not more than 25 
percent for fiscal year 1995, and not more than 20 percent for fiscal 
year 1996, between programs under part B of this subchapter and part C 
of this subchapter, for use as the State considers appropriate. The 
State shall notify the Assistant Secretary of any such election.
    (B)(i) If a State demonstrates, to the satisfaction of the Assistant 
Secretary, that funds received by the State and attributable to funds 
appropriated under part B of this subchapter or part C of this 
subchapter (including funds transferred under subparagraph (A) without 
regard to this subparagraph) for fiscal year 1994 or 1995 are 
insufficient to satisfy the need for services under such part, then the 
Assistant Secretary may grant a waiver that permits the State to 
transfer under subparagraph (A) to satisfy such need an additional 5 
percent of the funds so received for such fiscal year.
    (ii) If a State demonstrates, to the satisfaction of the Assistant 
Secretary, that funds received by the State and attributable to funds 
appropriated under part B of this subchapter or part C of this 
subchapter (including funds transferred under subparagraph (A) without 
regard to this subparagraph) for fiscal year 1996 are insufficient to 
satisfy the need for services under such part, then the Assistant 
Secretary may grant a waiver that permits the State to transfer under 
subparagraph (A) to satisfy such need an additional 8 percent of the 
funds so received for such fiscal year.
    (C) At a minimum, the application described in subparagraph (A) 
shall include a description of the amount to be transferred, the 
purposes of the transfer, the need for the transfer, and the impact of 
the transfer on the provision of services from which the funding will be 
transferred. The Assistant Secretary shall approve or deny the 
application in writing.
    (6) A State agency may not delegate to an area agency on aging or 
any other entity the authority to make a transfer under paragraph (4)(A) 
or (5)(A).
    (7) The Assistant Secretary shall annually collect, and include in 
the report required by section 3018(a) of this title, data regarding the 
transfers described in paragraphs (4)(A) and (5)(A), including--
        (A) the amount of funds involved in the transfers, analyzed by 
    State;
        (B) the rationales for the transfers;
        (C) in the case of transfers described in paragraphs (4)(A) and 
    (5)(A), the effect of the transfers of the provision of services, 
    including the effect on the number of meals served, under--
            (i) subpart I of part C of this subchapter; and
            (ii) subpart II of part C of this subchapter; and

        (D) in the case of transfers described in paragraph (5)(A)--
            (i) in the case of transfers to part B of this subchapter, 
        information on the supportive services, or services provided 
        through senior centers, for which the transfers were used; and
            (ii) the effect of the transfers on the provision of 
        services provided under--
                (I) part B of this subchapter; and
                (II) part C of this subchapter, including the effect on 
            the number of meals served.

(c) Availability of funds under this section to provide services under 
        parts B and C

    The amounts of any State's allotment under subsection (b) of this 
section for any fiscal year which the Assistant Secretary determines 
will not be required for that year for the purposes described in 
subsection (a)(1) of this section shall be available to provide services 
under part B of this subchapter or part C of this subchapter, or both, 
in the State.

(Pub. L. 89-73, title III, Sec. 308, as added Pub. L. 95-478, title I, 
Sec. 103(b), Oct. 18, 1978, 92 Stat. 1530; amended Pub. L. 97-115, 
Secs. 3(d), 8, Dec. 29, 1981, 95 Stat. 1597, 1600; Pub. L. 98-459, title 
III, Sec. 308, Oct. 9, 1984, 98 Stat. 1777; Pub. L. 100-175, title I, 
Secs. 129(c)(2), 182(l), Nov. 29, 1987, 101 Stat. 935, 966; Pub. L. 102-
375, title I, Sec. 102(b)(9)(C), (10)(A), title III, Sec. 308, title IX, 
Sec. 904(a)(14), Sept. 30, 1992, 106 Stat. 1202, 1234, 1308; Pub. L. 
103-171, Sec. 3(a)(13), Dec. 2, 1993, 107 Stat. 1990.)


                            Prior Provisions

    A prior section 3028, Pub. L. 89-73, title III, Sec. 308, as added 
Pub. L. 93-29, title III, Sec. 301, May 3, 1973, 87 Stat. 44; Pub. L. 
94-135, title I, Secs. 108, 112(c), Nov. 28, 1975, 89 Stat. 717, 719, 
related to model projects, prior to the general amendment of this 
subchapter by Pub. L. 95-478.
    Provisions similar to those comprising this section were contained 
in Pub. L. 89-73, title III, Sec. 306, as added Pub. L. 93-29, title 
III, Sec. 301, May 3, 1973, 87 Stat. 43; Pub. L. 94-135, title I, 
Sec. 107, Nov. 28, 1975, 89 Stat. 716, which was classified to section 
3026 of this title prior to repeal by Pub. L. 95-478.


                               Amendments

    1993--Pub. L. 103-171 substituted ``Assistant Secretary'' for 
``Commissioner'' wherever appearing.
    1992--Subsec. (a)(3). Pub. L. 102-375, Sec. 308(1), inserted 
``been'' after ``Any State which has''.
    Subsec. (b)(1)(B), (2)(B). Pub. L. 102-375, Sec. 904(a)(14)(A), 
inserted ``United States'' before ``Virgin Islands''.
    Subsec. (b)(3)(B)(iii). Pub. L. 102-375, Secs. 102(b)(9)(C), 
(10)(A), 904(a)(14)(B), inserted ``on aging'' after ``area agencies'', 
struck out ``designated under section 3025 of this title'' after ``such 
State'', and substituted ``objectives'' for ``purposes''.
    Subsec. (b)(4). Pub. L. 102-375, Secs. 308(2)(A), 904(a)(14)(B), 
designated existing provisions as subpar. (A), inserted ``and except as 
provided in subparagraph (B)'' after ``provision of this subchapter'', 
substituted ``received by a State and attributable to funds appropriated 
under paragraph (1) or (2) of section 3023(b) of this title, the'' for 
``received under section 3023(b)(1) and (2) of this title, a'', ``not 
more than 30 percent of the funds so received'' for ``a portion of the 
funds appropriated'', and ``objectives'' for ``purposes'', and added 
subpar. (B).
    Subsec. (b)(5) to (7). Pub. L. 102-375, Sec. 308(2)(B), added pars. 
(5) to (7) and struck out former par. (5) which read as follows:
    ``(A) Notwithstanding any other provisions of this subchapter and 
except as provided in subparagraph (B), with respect to funds received 
under subsection (a)(1) and subsection (b) of section 3023 of this 
title, a State may elect to transfer not more than 20 per centum of the 
funds allotted for any fiscal year between programs under part B and 
part C of this subchapter, for use as the State considers appropriate. 
The State shall notify the Commissioner of any such election.
    ``(B) Of the funds received under subsections (a)(1) and (b) of 
section 3023 of this title, a State may elect to transfer under 
subparagraph (A) not more than 30 percent of the funds allotted for any 
fiscal year.''
    1987--Subsec. (b)(1). Pub. L. 100-175, Sec. 182(l)(1), (2), struck 
designation ``(A)'' after ``(1)'' and redesignated former cls. (i) and 
(ii) as subpars. (A) and (B), respectively.
    Subsec. (b)(2). Pub. L. 100-175, Sec. 182(l)(3), struck designation 
``(A)'' after ``(1)'' and redesignated former cls. (i) and (ii) as 
subpars. (A) and (B), respectively.
    Subsec. (b)(3)(C). Pub. L. 100-175, Sec. 182(l)(4), substituted 
``the Commissioner'' for ``he''.
    Subsec. (b)(5)(A). Pub. L. 100-175, Sec. 182(l)(5), substituted 
``allotted'' for ``appropriated''.
    Pub. L. 100-175, Sec. 129(c)(2)(A), substituted ``received under 
subsection (a)(1)'' for ``received under subsection (a)''.
    Subsec. (b)(5)(B). Pub. L. 100-175, Sec. 182(l)(6), substituted 
provision that State may elect to transfer not more than 30 percent of 
funds allotted for any fiscal year for provision that State may elect to 
transfer not more than 27 percent of funds allotted for fiscal year 
1985, not more than 29 percent of funds allotted for fiscal year 1986, 
and not more than 30 percent of funds allotted for fiscal year 1987.
    Pub. L. 100-175, Sec. 182(l)(5), substituted ``allotted'' for 
``appropriated''.
    Pub. L. 100-175, Sec. 129(c)(2)(B), inserted ``subsections (a)(1) 
and (b) of'' after first reference to ``under''.
    1984--Subsec. (a)(1). Pub. L. 98-459, Sec. 308(a)(1), substituted 
``Amounts available to States under subsection (b)(1) of this section'' 
for ``Amounts appropriated under section 3023 of this title''.
    Subsec. (a)(2). Pub. L. 98-459, Sec. 308(a)(2), substituted 
``available to a State under subsection (b)(1) of this section'' for 
``received by a State under this section''.
    Subsec. (b)(1). Pub. L. 98-459, Sec. 308(b)(6), added par. (1). 
Former par. (1), which contained provisions, with respect to allotments 
to States for State planning, coordination, evaluation, and 
administration of State plans, that each State had to be allotted funds 
on the basis of its population aged 60 or older as compared to all 
States, and specifying minimum amounts for each State of no less than 
one-half of 1 percent of appropriations or $300,000, whichever was 
greater, and for territories of no less than one-fourth of 1 percent of 
appropriations or $75,000, whichever was greater, was struck out.
    Subsec. (b)(2). Pub. L. 98-459, Sec. 308(b)(6), added par. (2). 
Former par. (2) redesignated (3).
    Subsec. (b)(3). Pub. L. 98-459, Sec. 308(b)(4), (5), redesignated 
former par. (2) as (3) and struck out former par. (3) which had provided 
that each State would be entitled to an allotment under this section for 
any fiscal year in an amount which is not less than the amount of the 
allotment to which such State was entitled under former par. (1) for the 
fiscal year ending June 30, 1975.
    Subsec. (b)(3)(A). Pub. L. 98-459, Sec. 308(b)(1), substituted ``If 
the aggregate amount appropriated under section 3023 of this title for a 
fiscal year does not exceed $800,000,000, then any'' for ``Any''.
    Subsec. (b)(4). Pub. L. 98-459, Sec. 308(b)(2), (4), (5), 
redesignated par. (5) as (4), and substituted ``unless the Commissioner 
determines'' for ``unless he determines'', and struck out former par. 
(4) which had provided that the number of individuals aged 60 or older 
in any State and in all States had to be determined by the Commissioner 
on the basis of the most recent satisfactory data available to him.
    Subsec. (b)(5), (6). Pub. L. 98-459, Sec. 308(b)(3), (5), 
redesignated par. (6) as (5), inserted ``(A)'' after paragraph 
designation and ``and except as provided in subparagraph (B)'', and 
added subpar. (B). Former par. (5) redesignated (4).
    1981--Subsec. (a)(1). Pub. L. 97-115, Sec. 3(d), substituted 
``supportive services'' for ``social services''.
    Subsec. (b)(6). Pub. L. 97-115, Sec. 8, added par. (6).


                    Effective Date of 1987 Amendment

    Amendment by Pub. L. 100-175 effective Oct. 1, 1987, except not 
applicable with respect to any area plan submitted under section 3026(a) 
of this title or any State plan submitted under section 3027(a) of this 
title and approved for any fiscal year beginning before Nov. 29, 1987, 
see section 701(a), (b) of Pub. L. 100-175, set out as a note under 
section 3001 of this title.


                    Effective Date of 1984 Amendment

    Amendment by Pub. L. 98-459 effective Oct. 9, 1984, see section 
803(a) of Pub. L. 98-459, set out as a note under section 3001 of this 
title.

          Termination of Trust Territory of the Pacific Islands

    For termination of Trust Territory of the Pacific Islands, see note 
set out preceding section 1681 of Title 48, Territories and Insular 
Possessions.

                  Section Referred to in Other Sections

    This section is referred to in sections 3017, 3024, 3027, 3029 of 
this title.
