
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 106-402 Section 401(a)]
[CITE: 42USC6022]

 
                 TITLE 42--THE PUBLIC HEALTH AND WELFARE
 
  CHAPTER 75--PROGRAMS FOR INDIVIDUALS WITH DEVELOPMENTAL DISABILITIES
 
 SUBCHAPTER II--FEDERAL ASSISTANCE TO STATE DEVELOPMENTAL DISABILITIES 
                                COUNCILS
 
Sec. 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;
                (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; and
                (viii) such funds will be used consistent with section 
            14403 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, Sec. 122, as added Pub. L. 98-527, Sec. 2, 
Oct. 19, 1984, 98 Stat. 2670; amended Pub. L. 99-91, Sec. 6(b), Aug. 15, 
1985, 99 Stat. 391; Pub. L. 100-146, title II, Sec. 202, Oct. 29, 1987, 
101 Stat. 845; Pub. L. 101-496, Sec. 11, Oct. 31, 1990, 104 Stat. 1195; 
Pub. L. 102-119, Sec. 26(b), Oct. 7, 1991, 105 Stat. 607; Pub. L. 103-
230, title II, Sec. 203, Apr. 6, 1994, 108 Stat. 297; Pub. L. 105-12, 
Sec. 9(l)(1), Apr. 30, 1997, 111 Stat. 28.)

                       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 (Sec. 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, Sec. 105, Oct. 4, 1975, 89 Stat. 487; amended Pub. L. 95-
602, title V, Sec. 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

    1997--Subsec. (c)(5)(A)(viii). Pub. L. 105-12 added cl. (viii).
    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, Sec. 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, Sec. 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, Sec. 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, Sec. 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, Sec. 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, Sec. 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, Sec. 11(7), added par. (5).
    Subsec. (f)(4). Pub. L. 101-496, Sec. 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, Sec. 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, Sec. 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, Sec. 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, Sec. 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, Sec. 202(b)(1)(A)(iii), 
substituted ``the'' for ``each'' before ``State agency''.
    Subsec. (b)(2)(A). Pub. L. 100-146, Sec. 202(b)(2)(A), inserted ``, 
activities,'' after ``programs''.
    Subsec. (b)(2)(C)(i). Pub. L. 100-146, Sec. 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, Sec. 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, Sec. 202(b)(3)(B), added par. (3). 
Former par. (3) redesignated (4).
    Subsec. (b)(4). Pub. L. 100-146, Sec. 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, Sec. 202(b)(3)(A), redesignated 
par. (4) as (5). Former par. (5) redesignated (6).
    Subsec. (b)(5)(A). Pub. L. 100-146, Sec. 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, Sec. 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, Sec. 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, Sec. 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, Sec. 202(b)(5)(D), 
redesignated subpar. (F) as (E). Former subpar. (E) redesignated (D).
    Subsec. (b)(6). Pub. L. 100-146, Sec. 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, Sec. 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, Sec. 202(b)(3)(A), redesignated 
par. (7) as (8).
    Subsec. (e). Pub. L. 100-146, Sec. 202(b)(1)(B), added subsec. (e).
    Subsec. (f). Pub. L. 100-146, Sec. 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 1997 Amendment

    Amendment by Pub. L. 105-12 effective Apr. 30, 1997, and applicable 
to Federal payments made pursuant to obligations incurred after Apr. 30, 
1997, for items and services provided on or after such date, subject to 
also being applicable with respect to contracts entered into, renewed, 
or extended after Apr. 30, 1997, as well as contracts entered into 
before Apr. 30, 1997, to the extent permitted under such contracts, see 
section 11 of Pub. L. 105-12, set out as an Effective Date note under 
section 14401 of this title.


                    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.
