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The Aging Network

Program Instructions



SUBJECT: Guidance on the Development and Submission of State Plans and Intrastate Funding Formulas

LEGAL AND RELATED REFERENCES: Sections 305, 306, 307, 308, 373, and 705, of the Older Americans Act of 1965, As Amended, and 45 CFR Part 1321, Grants for State and Community Programs on Aging

The primary purpose of this Program Instruction (PI) is to provide States with the guidelines they must use in developing and submitting State plans (including assurances), plan amendments, and intrastate funding formulas (IFFs). Program Instruction PI-96-06, dated 7/31/96, is superseded by this PI and is no longer effective in full or in part. These guidelines are effective immediately and will remain so until replaced. In addition, guidelines are included for development of objectives related to the National Family Caregiver Support Program (NFCSP).

State Plan Submission and Approval

States that have plans for two or three years and are approaching the expiration of their original approval must either: (1) submit amended plans for two years or one year, respectively; or (2) submit new plans. States with four-year plans that are expiring must submit new plans because there is no statutory authority to extend beyond a four-year period.

Plan Requirements – Assurances

Included in this guidance are the state plan assurances currently required by the Older Americans Act of 1965, as amended in 2000 (P.L. 106-501), and section 1321.17(f) beginning at (f)(1). These provisions have major implications for the development and submission of State and area plans required by the Act. We recommend that each State

carefully review and incorporate these assurances into their plans and submit them to the appropriate Regional Office for approval. The provisions pertain to:

· Section 305, Organization;

· Section 306, Area Plans;

· Section 307, State Plans;

· Section 308, Administration of Plans; and

· Section 705, Additional State Plan Requirements

An electronic version of the assurances may be downloaded from the AoA website,

Deadline for State Plan Submission

State plan and plan amendments must be received 45 days before their effective dates in order to receive approval in a timely manner.

Criteria for Intrastate Funding Formula (IFF) Approval

Each State plan or plan amendment must comply with the Act as amended in 2000 and Part 1321 of the regulations. In reviewing a State’s IFF, only the amended Act and the current regulations will be used as criteria for approval or disapproval. Each State will be expected to demonstrate that the requirements in Section 305(a)(2)(C) have been met, the criteria set forth in Sections 305(a)(2)(C)(i) and 305(a)(2)(C)(ii) have been taken into account, and the factors and weights in its formula are based upon the best available data. Finally, each state must also submit a copy of its IFF to the respective AoA Regional Office including, as required by Section 305(d) of the Act, a descriptive statement, a numerical statement, and a list of the data used (by planning and service area). If you are submitting a new IFF for approval it must be sent to the appropriate Regional Office for review by September 14, 2001, along with all supporting documentation.

NFCSP Plan Objectives

States are instructed to develop and include in their new State plans (or in Plan amendments), objectives for implementation of the NFCSP. The objectives shall describe how the State is implementing the five service categories into a multi-faceted program, and how the NFCSP is being integrated into the existing OAA systems of services for older individuals. Specifically, States shall include objectives in their plans/amendments that:

1) Describe how the NFCSP will be implemented in the State including: (A) the categories of services that will be provided/expanded, (B) funding allocated to the service categories; and (C) the projected number of caregivers who will benefit from the services during the plan period; and

2) Outline steps for integrating the NFCSP into the State’s existing comprehensive system of services for older individuals including: (A) how an emphasis on serving “caregivers” (in addition to “care recipients”) will be implemented; and (B) how the NFCSP will be integrated into existing caregiver programs.


ATTACHMENT: Listing of State Plan Assurances [PDF version]

INQUIRIES: Address inquiries to Regional Administrators on Aging, DHHS Regional Offices.

Norman L. Thompson
Acting Principal Deputy Assistant Secretary for Aging

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