Program Instructions

AOA-PI-01-05

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, 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 Program Instruction PI-96-06, dated 7/31/96, is superseded by 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, 

http://www.aoa.gov.

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 States 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 States 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 
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