,.\..a\'f.!lt_ c:·4- DEPARTMENT OF HEALTH & HUMAN SERVICES 	 Administration for Community Living 

Washington, D.C. 20201 

~ MAY 14 2014 

PROGRAM INSTRUCTION 


ACL-PI-14-03 


TO: 	 STATE AGENCIES ON AGING ADMINISTERING PLANS 


UNDER TITLE III OF THE OLDER AMERICANS ACT (OAA) 


OF 1965, AS AMENDED 


SUBJECT: 	 Procedures for Reporting the Transfer of Federal Fiscal Year 


(FY) 2014 Title III Mandatory Grant Funds 


LEGAL AND 

RELATED 

REFERENCES: 	 Older Americans Act, Sections 308 (b)(4)(A), 

308 (b)(4)(B), 308 (b)(4)(C), 308 (b)(5)(A), and 316 

As Amended 

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

statutory limits, among their allotments for Home and Community Based Supportive Services (III-B), 

Congregate Nutrition Services (III-Cl), and Home-Delivered Nutrition Services (III-C2). There is, 

however, no authority for states to transfer funds in or out ofthe allotments for Preventive Health 

Services Disease Prevention or the National Family Caregiver Support Program. This Program 

Instruction (PI) provides procedures for reporting the transfer of funds among Title III allotments, as 

permitted in the Older Americans Act. 

Transfers between Congregate Nutrition Services (Title 111-Cl) and Home-Delivered Nutrition 

Services (Title ill-C2): 

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 U.S. Assistant 

Secretary for Aging (ASA), only if the ASA determines that the transfer is not consistent with the 

objectives ofthe OAA, as amended. 

The OAA, as amended provides that the ASA may grant a waiver to permit a state to transfer an 

additional10%, i.e., up to a total of 50%, offunds between Titles III-C1 and III-C2. The approval of 

such a waiver by the ASA is contingent upon the state's demonstration that the funds available under 

Titles III-C1 or III-C2, including transfers, are insufficient to satisfy needs. The content requirements 

ofthe waiver request are specified in section 308 (b)(4)(C). Such a waiver request should be submitted 

to the Regional Administrator as soon as possible during the fiscal year, and approved by the ASA 

prior to the State's submittal ofthe SF-425. 

Transfers between Home and Community Based Supportive Services (Title III-B) and the 

Nutrition Service Programs under Title 111-C: 

The OAA, as amended permits a state to transfer up to 30% of an allotment between Titles III-B and 

the Nutrition Programs under Title III-C. Section 316 (b)(4) permits the ASAto 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 ofthe 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. 

Waiver Requests: 

The ASA reserves the right to approve or disapprove a state's request for a waiver ofthe limits on the 

amount of funds that a state may transfer. States will be notified in writing ofthe ASA's decision. 

Requests for a waiver of transfer limits will not be accepted after August 15, 2014. 

Instructions for Transfer Requests: 

Starting in FY 2014, ACL issued Title III awards with a unique grant number for each part/chapter; 

therefore transfers need to be submitted and recorded in a timely fashion in order for states to correctly 

report the Federal Funding Accountability Transparency Act (FF AT A) sub-award activities and draw 

funds from Payment Management System (PMS) sub-accounts. Notwithstanding the different award· 

numbers identified on the award letters issued by ACL, the aggregate state plan and area plan 

administration costs do not constitute a transfer in the context ofthis PI, and therefore should not be 

reported as a transfer. However, accounting for administration costs is still necessary in order to 

properly track and report those expenses. 

FY 2014 transfer requests must be submitted to the ACL Regional Administrator on or before 

August 15, 2014. The transfer request must include the cumulative grant award for each part/chapter 

before and after the requested transfer. ACL will issue an amended notice of award reflecting the 

transfer request. Funds will not be available for drawdown from PMS until ACL issues the amended 

notice of award. 

lnstructions for Reflecting a Transfer on the Federal Financial Report (SF-425): 

Transfers should be reported on the SF-425 after ACL issues the amended notice of award. Report all 

transfers made between III-B, III-C1, and III-C2 on a cumulative basis using the most recent notice of 

award, as ofthe end ofthe semi-annual reporting period. 

DUE DATE FOR SUBMISSSION TO REGIONAL ADMINISTRATORS, ACL: 

August 15,2014 

INQUIRIES: 	 Inquiries should be addressed to the appropriate 

Regional Administrators, Administration for Community Living 

Edwin Walker Rimas Liogys 

Deputy Assistant Secretary 	 Director 

Administration on Aging 	 Office ofGrants Management 

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