The
Aging Network
Program Instructions
AoA-PI-03-03
TO: STATE AGENCIES ON AGING ADMINISTERING PLANS UNDER TITLE III
OF 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Program Instruction PI-02-02, dated 05-02-02, is superseded by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 the Administration on Aging
(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 (OAA), as amended
in 2000;
(2) the State plan provisions required in Sections 307 of the
OAA; and
(3) the State plan information requirements outlined in Sections
102 and 307 of the OAA.
An electronic version of the Plan requirements may be downloaded
from the AoA website. 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 Sections 305(a)(2)(C)
have been met, the criteria set forth in Sectionss 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 Sections
305(d) of the OAA, 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, 2003, 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: Listing of State plan Assurances,
State plan Provisions and Information Requirements
INQUIRIES: Address inquiries to Regional Administrators on Aging,
DHHS Regional Offices.
____________________________________
Josefina G. Carbonell
Assistant Secretary for Aging
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