Department of Health and
Human Services
Administration on Aging
The Aging Network
Program Instructions |
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TO: STATE AND AREA AGENCIES ON AGING ADMINISTERING PLANS UNDER THE OLDER AMERICANS ACT OF 1965, AS AMENDED
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
The primary purpose of this Program Instruction (PI) is to provide States with the guidelines they must use in developing and submitting State plans and amendments including assurances, provisions, information requirements, and intrastate funding formulas (IFFs) requirements. Program Instruction PI-01-05, dated 07/13/01, is superseded by this PI and is no longer effective in full or in part.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. State plans should be submitted to the appropriate Regional Office of AoA for initial review and comment. Final approval or disapproval is determined by the Assistant Secretary.
Plan Requirements
Included in this guidance are:
(1) the state plan assurances currently required by sections 305, 306, 307, 308, and 705 of the Older Americans Act, as amended in 2000, and section 1321.17(f) beginning at (f)(1);
(2) the state plan provisions required in section 307 of the Act; and
(3) the state plan information requirements outlined in sections 102 and 307 of the Act.
An electronic version of the Plan requirements may be downloaded from
the AoA website,
http://www.aoa.gov/pi/pi-02-02-att.html - When using the electronic version,
delete the note lines and fill in text as needed.
Deadline for State Plan Submission
State plan and plan amendments must be received 60 days before their effective dates in order to receive approval in a timely manner.
Criteria for Intrastate Funding Formula (IFF) Approval
In reviewing a State’s IFF, only the amended Act 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 June 3, 2002, 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.
EFFECTIVE DATE: Immediately
ATTACHMENTS:
INQUIRIES: Address inquiries to Regional Administrators on Aging, DHHS Regional Offices.
Josefina G. Carbonell,
Assistant Secretary for Aging