PROGRAM INSTRUCTION

AoA-PI-07-02

TO: STATE AGENCIES ON AGING ADMINISTERING PLANS UNDER 

TITLE III OF THE OLDER AMERICAN ACT, AS AMENDED

SUBJECT: Certification on Maintenance of Effort for the Title III and Certification 

of Long-Term Care Ombudsman Program Expenditures - Fiscal Year 

2006

LEGAL AND 

RELATED 

REFERENCES: 45 CFR 1321.49 and Section 309(c) of the Older Americans Act, as 

Amended; and Sections 304 (d) (1), 30 (a) (9), 307 (a) (9), and 705 (a) (4) 

of the Older Americans Act, as Amended.

This program instruction requests the authorized official in each State agency on aging to submit 

a certification on maintenance of effort for Title III and certification of Long-Term Ombudsman 

Program expenditure under Title III of the Older Americans Act (OAA) for fiscal year 2006. As 

required in the OAA, the State agency maintenance of effort level is to be determined annually. 

 In compliance with 45 CFR 1321.49: To avoid a penalty, each fiscal year the State 

agency, to meet the required non-Federal share applicable to its allotments under this 

part, shall spend under the State plan for both services and administration at least the 

average amount of State funds it spent under the plan for the three previous fiscal 

years. If the State agency spends less than this amount, the Assistant Secretary reduces 

the State’s allotments for supportive and nutrition services under this part by a percentage 

equal to the percentage by which the State reduces its expenditures.

 In reporting the amount of State expenditures for the maintenance of effort requirement, 

States may include expenditures incurred under the approved cost allocation plan for the 

State agency. 

 In compliance with the Section 307 (a) (9): States must expend on their Statewide 

Ombudsman Programs no less than they expended in Title III-B and Title VII funds for 

FY 2000. This amount must be expended annually on
 ombudsman service to residents of long-term care facilities. In addition, a State may not 

use ombudsman Title VII funds to supplant, replace, or in substitution for any other 

Federal or State funding. All of the Title VII ombudsman funding appropriated by 

Congress and allotted to a State for a specific year must be expended on direct costs of 

the Ombudsman Program.

 In compliance with Section 306 (a) (9): Each area agency must expend on activities of 

the Ombudsman Program not less than the amount of Title III funds expended by the areas 

agency in FY 2000.

The authorized official in each State agency is requested to certify to the Administration on 

Aging that the fiscal year 2006 expenditure requirements have been met. 

Attached are two certification forms which have been approved by the Office of Management 

and Budget (OMB). The certification forms must be signed by the authorized State agency 

official and submitted to the Regional Administrators, Administration on Aging, no later than 

July 9, 2007.

DUE DATE: Due July 9, 2007 to Regional Administrators, Administration on 

Aging.

ATTACHMENT: Certification of Maintenance of Effort Form OMB-0985-0009

 Certification of Long-Term Care Ombudsman Program Expenditures 

Form OMB-0985-0009

INQUIRIES: State agencies should address inquiries to Regional Administrators on 

Aging, HHS Regional Offices.

 ______________________________

Josefina G. Carbonell

 Assistant Secretary for Aging