PROGRAM INSTRUCTION

 AOA-PI-02-04

TO: STATE AGENCIES ON AGING 

ADMINISTERING PLANS UNDER TITLE III OF THE 

OLDER AMERICANS ACT OF 1965, AS AMENDED

SUBJECT: Procedures for Reporting the Transfer of

 Title III Formula Grant Funds

LEGAL AND RELATED

REFERENCES: Older Americans Act, as Amended - Sections

 308(b)(4)(A), 308(b)(4)(B), 308(b)(5)(A),

 and 308 (b)(4)(C)

This Program Instruction (PI) provides procedures for reporting the transfer of funds within 

certain Title III allotments. This PI also explains how the Administration on Aging will reflect 

these reported transfers on grant award amendments.

The Older Americans Act (OAA) provides authority for states to transfer funds, within statutory 

limits, among their allotments for Supportive Services and Senior Centers (III-B), Congregate 

Meals (III-C1), and Home-Delivered Meals (III-C2). There is, however, no authority for states 

to transfer funds in or out of the allotments for Preventive Health Services/Disease Prevention, 

Ombudsman Program or the National Family Caregiver Support Program.

Transfers between Congregate Meals (Title III-C1) and Home-Delivered Meals (Title IIIC2): States may transfer up to 40% of their allotment for Title III-C1 to Title III-C2, or vice 

versa. By statute, the election to transfer funds is a state decision that may be disapproved by the 

Assistant Secretary, AoA, only if she determines that the transfer is not consistent with the 

objectives of the OAA. A state may effect such a transfer at any point during the fiscal year.

AoA requires states to notify the appropriate Regional Administrator whenever they transfer 

funds so that any potential issues may be resolved timely. However, AoA policy is to require 

states to notify it of transfers at the end of the year.

The OAA provides that the Assistant Secretary may grant a waiver to permit a state to transfer an 

additional 10%, i.e., up to a total of 50%, of funds between Titles III-C1 and III-C2. The 

granting of such a waiver is contingent upon the state=s demonstrating to the satisfaction of the 

Assistant Secretary that the funds available under Titles III-C1 or III-C2, including transfers, are 

insufficient to satisfy needs. The contents of the waiver request are specified in section 

308(B)(4)(C). 

Transfers between Title III-B and the Nutrition Programs under Title III-C: The OAA 

permits a state to transfer up to 30% of an allotment between Titles III-B and the Nutrition 
Programs under Title III-C. This transfer may be made at the discretion of the state and requires 

only that the state notify AoA.

Section 316(b)(4) permits the Assistant Secretary to grant a waiver of the 30% transfer 

limit. However, in order to receive such a waiver, a state must comply with all the requirements 

in section 316. The section 316 waiver provision is more involved than the waiver provision in 

section 308(relating to transfers between Titles III-C1 and III-C2). States are cautioned not to 

wait until the end of the fiscal year to request a waiver under section 316. If needed, a section 

316 waiver should be initiated as early as possible in the fiscal year.

Instructions for Reflecting a Transfer on the SF-269: Whenever a state makes a transfer 

during the fiscal year, the state should reflect that transfer on its next SF-269. The state should 

reflect the transfer on the supplemental sheet to the Financial Status Report(SF-269), detailing 

how the funds in line 10.o are allocated. 

Funds taken from any part of Title III for use as State Plan Administration do not constitute a 

transfer in the context of this Program Instruction, and therefore should not be reported as a 

transfer. 

When submitting its transfer information, a state should follow these procedures: 

1. transfers are made only from the last grant award for FY 2002 for Title III;

2. show only the total transfer effected during the fiscal

year, in III-B, III-C1 and/or III-C2 (not the series of 

individual transfers that might have been made during

the fiscal year); and,

3. show the state=s computation of its final allotment in each affected Title, as shown in 

the state=s records, so that AoA can verify the transfer grant

award against the state=s figures.

Notification of amounts transferred this fiscal year, as well as requests for a waiver must be 

received on or before September 27, 2002. AoA will issue a revised grant award reflecting the 

transfer. This will ensure that states may draw down funds from the appropriate allotment.

State agencies will be notified by letter of the Assistant Secretary for Aging=s approval or 

disapproval of requests for waiver of the limits on the amount of funds that a state may transfer.

Any transfers reflected on the SF-269 after the close of the fiscal year must be supported by 

documentation which indicates that the transfers were approved or made prior to the close of the 

fiscal year.

AoA will not accept requests for waivers submitted after the end of the fiscal year.
DUE DATE: September 27, 2002 for submission to 

Regional Administrators on Aging.

INQUIRIES: Inquiries should be addressed to the appropriate 

Regional Administrator on Aging.

 

 

 

Josefina G. Carbonell

Assistant Secretary for Aging