**OMB Control Number: XXXX-XXXX**

**Expiration Date: XX/XX/XXXX**

**UNITED STATES DEPARTMENT OF HEALTH & HUMAN SERVICES**

**ADMINISTRATION FOR COMMUNITY LIVING (ACL)**

**ADMINISTRATION ON AGING (AOA)**

**STATE PROGRAM PERFORMANCE REPORT**

**For**

**STATE UNITS ON AGING**

**(Older Americans Act Titles III and VII (Chapters 3 and 4)[footnoteRef:1]** [1:  Note: OAA Title VII, Chapter 2, Ombudsman expenditures are reported separately in the National Ombudsman Reporting System (NORS).] 

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 33.5 hours per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to respond to this collection is required to obtain or retain benefit (P.L. 114-144 Older Americans Act of 1965 (OAA), Section 307 (a) (6)). Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Administration for Community Living (ACL), Attention: Jennifer Klocinski, Social Science Analyst, Room 1234A, U.S. Department of Health & Human Services, 330 C Street SW, Washington, DC 20201 or email SPRredesign.comments@acl.hhs.gov. 

# **Overview of Older Americans Act (AoA) Titles III and VII State Program Performance Report (SPR) Requirements**

**Purpose:**

The purpose of this data collection is to fulfill requirements of the Older Americans Act (OAA) and the Government Performance and Results Modernization Act (GPRA Modernization Act) of 2010 and related program performance activities.  Section 202(a)(16) of the OAA  requires the collection of statistical data regarding the programs and activities carried out with funds provided under the OAA and Section 207(a) directs the Assistant Secretary on Aging to prepare and submit a report to the President and Congress based on those data.  Section 202(f) directs the Assistant Secretary to develop a set of performance outcome measures for planning, managing, and evaluating activities performed and services provided under the OAA.  Requirements pertaining to the measurement and evaluation of the impact of all programs authorized by the OAA are described in section 206(a).  The State Performance Report is one source of data used to develop and report performance outcome measures and measure program effectiveness in achieving the stated goals of the OAA.

**Revision:**

These reporting requirements are a revision of those currently in effect (2016-2019).  The factors that influenced the revision of the SPR, include: 1) the need to modernize the data structure to allow for more efficient reporting and the ability to use current technology for reporting and analysis; 2) the interest in aligning data elements within and across data collections; 3) the need to consider alternative data elements that reflect the current Aging Network and long-term care services and supports; and 4) the need to reduce reporting burden while enhancing data quality. The revised SPR reduces the number of data elements reported by 70% compared to the 2016-2019 SPR.

**Data structure and Content:**

This document summarizes the requirements for the State Performance Report for Titles III and VII (Chapters 3 and 4) for federal fiscal year 2019 (FFY 2019) starting 10/01/2018 and subsequent years by all State Units on Aging.  The proposed data collection is aggregate data at the state-level which is consistent with the current data collection.  The data collection structure is based on components and sub-components that are reflected in the **Data Model** found on page 3.  SPR data are multi-dimensional, that is, data regarding the number of people served, the characteristics of those people served, amount of service and expenditures are reported by service and groups of services.  The **Service Lists by Demographic Data Requirements**(see pages 4 and 5)****are representations of services to be reported by program and population (older adults (Title III-B, C, and D); caregivers of older adults (Title III-E); and older relative caregivers of children and adults under age 60 with disabilities (Title III-E).****Many consumer demographic and characteristic categories cross to form data elements (e.g. age and poverty status). The **Data Element Categories and Intersections** tables (see pages 6-9) represent which data categories intersect to form data elements.  The **Data Elements** tables display the data to be collected and the data attributes (e.g. data codes and values).  The table displays all data elements along with their attributes by component and sub-component. Full data definitions are provided in the accompanying document Data Element Definitions.  The tables are for presentation purposes only.  ACL/AoA will continue to require electronic transmission of the annual State Performance Report (SPR) data.

**Document Layout:**

Section 1:  Data Model

Section 2:  Service Lists by Demographic Data Requirements

Section 3:  Data Element Categories and Intersections

Section 4:  Data Elements

**Section 1:****Data Model**

The **Data Model** below is a representation of the****two main components (Aging Network and Service) within the proposed revised SPR and the corresponding sub-components.

**Data Model**
**State**

**Service Component**

**Aging Network Component**

**Expenditures**

**(Title III B/C/D/E)**

**Title VII Expenditures**

**(Ch. 3 & 4)**

**Legal Assistance**

**(Title III-B)**

**(Title III B)**

**Other Services**

**(Title III B/C/D)**

**Supplemental Services for caregivers of older adults (Title III-E)**

**Nutrition Services Incentive Program (NSIP)**

**Demographics/Characteristics for older adult services**

**(Title III B/C/D)**

**Demographics/Characteristics for caregivers of older adult services**

**(Title III-E)**

**Demographics/Characteristics for older relative caregivers**

**(Title III-E)**

**Service Units**

**(Title III B/C/D/E)**

**Network Staff/Volunteers**

**Self-Direction (Title III B/E)**

**Respite Vouchers**

**(Title III-E)**

**Service Providers**

**Senior Centers/Focal Points**

**Supplemental Services for older relative caregivers (Title III-E)**

****

## Section 2: Service Lists by Demographic Data Requirement

The **Service Lists by Demographic Data Requirement**on the following pages are representations of services for older adults, caregivers of older adults, and older relative caregivers of children and adults under age 60 with disabilities. The goal of the diagram is to display services to be reported and which require submission of aggregate demographic information. Areas of note include: (1) Legal assistance is a restricted service for which demographic information is reported in aggregate, but no PII is associated; (2) Health promotion includes two service categories – evidence based and non-evidence based; (3) Caregiver program services counseling, support groups and training are reported separately; (4) Caregiver program service respite is reported in total and by four subcategories of respite service (in-home day; out-of-home day; out-of-home overnight; and type other); and (5) Caregiver program service assistance includes two service categories - case management and information and assistance. 

**Service List by Demographic Data Requirement – Title III B/C/D**

****
· Demographic data are required for services 1-9 and 16.

· Data on Activities of Daily Living (ADLs) and Instrumental Activities of Daily Living (IADLs) are required for services 1-6.

· Nutrition Risk Scores are required for services 4, 8, and 9.

****

**Service List by Demographic Data Requirement - Title III-E**

****
· Aggregated unduplicated demographic data are required for services 1-5 combined. Note that respite services are broken down by type for reporting of people served, units of service and expenditures.

****

## Section 3:  Data Element Intersections

Many SPR demographic categories cross to form data elements (e.g. age and poverty status). The **Data Element Intersections** tables represent which data categories intersect to form data elements.  The revised SPR limits those intersections thereby greatly reducing the total data elements for older adult services by 74%.  The revised SPR for caregiver services reduces the total demographic data elements by 20%. Table 3.1 provides details of the data sub-categories for older adult services (Title III B, C, and D) and intersections between data elements.  Table 3.2 provides details of the data sub-categories for all caregiver services (Title III-E) and intersections between data elements.

**Table 3.1 Detail Data Element Intersections for Older Adults Services, Title III (B/C/D)**

Table 3.2 represents the data intersection with poverty status (at or below poverty) for both populations of caregivers (caregivers of older adults and older relative caregivers caring for children and adults age 18-59 with disabilities).  

**Table 3.2 Detail Data Element Intersections for Caregiver Services, Title III (E)**

1

## Section 4: Data Element Tables

The**Data Element Tables**display the data to be collected and the data attributes (e.g. data codes and values).  The goal of the table is to display all data elements along with their attributes by component and sub-component. Full data definitions are provided in the accompanying document **Data Element Definitions**.  

Each data element can be described by a series of eight metadata attributes which are listed below. If the data attribute is the same for all data elements within a component or subcomponent, it will be noted at the beginning of the component table.  The attribute column will not be included as to provide additional space for other attribute descriptions. 

The Data Attributes are as follows:

1. **MD – Metadata**

2. **Data Element –**Data element is a name, title, or short descriptor for a specific data element.

3. **Element Description –**Briefly summarizes a data element and its purpose.

4. **Required –**Indicates whether reporting of the data element by states is mandatory 

5. **Quantifier –**Identifies whether there can be just one value reported for a data element, or if more than one value can be provided. 

6. **Services –**Identifies that the data element is collected for specific services or combination of services. For example, the Nutritional Risk Scores are collected for Home Delivered Nutrition, Congregate Nutrition, and Nutrition Counseling services only. Services attribute does not apply to all sub-components.

7. **Type –**Indicates the data type for a given data element, e.g., whether it corresponds to a date, a coded value, or a string.

8. **Codes & Values –**For data elements with coded values, specifies the specific codes used and their associated values.

9. **Business Rules & Notes –**Details specific business rules, such as how many characters may be included in a string element, or the format of a date.****

Each data element is identified by a unique combination of element number and data component abbreviation.

**Element Number:**The element number provides a way to refer to data elements.  Element numbers are sequential within a data component/sub-component.

**Data Component:** Each taxonomic component or subcomponent is prefixed as follows to facilitate grouping and categorization:

**NC – Network Component**

· SV – Staff/Volunteers subcomponent

· SP – Service Providers subcomponent

· SF – Senior Centers/Focal Points subcomponent

· SD – Self-Directed (Title III B/E) subcomponent

· RV – Respite Vouchers (Title III-E) subcomponent

**SC-Service Component**

· CD – Consumer Demographics/Characteristics for Select Services (Title III B/C/D) subcomponent

· CG – Caregiver of Older Adults Demographics/Characteristics for Select Services 

(Title III-E) subcomponent

· OR – Older Relative Caregivers (of Children and Adults with Disabilities) Demographics/Characteristics for Select Services (Title III-E) subcomponent

· SU – Service Units (Title III B/C/D/E) subcomponent

· EX – Expenditures (Title III B/C/D/E) subcomponent

· VII – Title VII Expenditures (Chapters 3 & 4) subcomponent

· LA – Legal Assistance (Title III B) subcomponent

· OS – Other Services (Title III B/C/D) subcomponent 

· SCG – Supplemental Services (Title III-E) subcomponent for caregivers of older adults

· SOR - Supplemental Services (Title III-E) subcomponent for older relative caregivers of children and adults under age 60 with disabilities

· NS – Nutrition Services Incentive Program (NSIP) subcomponent

# **Transmission Metadata Component**

States will submit elements identifying and contextualizing their reported data.

# **Network Component**

The Network component includes data regarding the state network.  

## Network Staff and Volunteers Subcomponent

The Network subcomponent includes data regarding staffing and volunteers and the state and Area Agency on Aging level of the network. 

· All data elements are single quantifier.

· All data elements are numeric (integer) and not a coded element.  

## Network Service Providers Subcomponent

The Network subcomponent includes data regarding local service providers in the state network.  

· All data elements are required and single quantifier.

· All data elements are numeric (integer) and not a coded element. 

## Network Senior Centers and Focal Points Subcomponent

The Network subcomponent includes data regarding senior centers and focal points in the state network.  

· All data elements are required and single quantifier.

· All data elements are numeric (integer) and not a coded element. 

## Self-Direction (Title III B/E) Subcomponent

The Network subcomponent includes data regarding the number of older adult consumers and caregivers that used the Self-Directed approach for services delivery.   Self-Direction is an approach to service delivery.  Actual service information will be collected within the appropriate service area.

· All data elements are required and single quantifier.

· All data elements are numeric (integer) and not a coded element. 

## Respite Voucher (Title III-E) Subcomponent

The Network subcomponent includes data regarding caregivers that used Respite Vouchers to receive respite services.   The use of vouchers is an approach to service delivery.  Actual respite service information will be collected within the appropriate respite service area.

· All data elements are required and single quantifier.

# **Service Component**

The Service component includes data regarding unduplicated consumers across all services.  

· All data elements are required and single quantifier.

· All data elements are numeric (integer) and not a coded element. 

## Consumer Demographics/Characteristics for Select Services (Title III B/C/D)  Subcomponent

The Service subcomponent includes data regarding specific demographics and characteristics of older adult consumers.  Data elements are submitted for each service and combination of services identified in the “services” column.

· All data elements are single quantifier.  

· All data elements are numeric (integer) and not a coded element.  

## Caregiver of Older Adults for Select Services (Title III-E) Subcomponent 

The Service subcomponent includes data regarding specific demographics and characteristics of caregivers of older adults.  

· All data elements are single quantifier.  Note some variables are not required for the first 3-years of data collection

· All data elements are numeric (integer) and not a coded element.  

## Older Relative Caregivers of Children and Adults with Disabilities for Select Services (Title III-E) Subcomponent

The Service subcomponent includes data regarding specific demographics and characteristics of older relative caregivers (caring for children or adults under age 60 with disabilities).  

· All data elements are single quantifier.  Note some variables are not required for the first 3-years of data collection

· All data elements are numeric (integer) and not a coded element.  

## Service Units (Title III B/C/D/E) Subcomponent

The Service subcomponent includes the number of service units provided for each service.  

· All data elements are required and single quantifier.

· All data elements are numeric (integer) and not a coded element. 

## Expenditures (Title III B/C/D/E) Subcomponent

The Service subcomponent includes data regarding service expenditures (federal and non-federal) for all OAA Title III services.  

· All data elements are required and single quantifier.

· All data elements are numeric dollar amount (2 decimal) and not a coded element. 

## Title VII Expenditures (Chapters 3 & 4) Subcomponent

The Service subcomponent includes data regarding expenditures (federal and non-federal) on Title VII Chapter 3 – Elder Abuse Prevention and Chapter 4 – Legal Assistance Development.  

· All data elements are single quantifier.

· All data elements are numeric dollar amount (2 decimal) and not a coded element. 

## Legal Assistance (Title III B) Subcomponent

The Service subcomponent includes data regarding the state’s provision of legal assistance services by level of service and case type.  

· All data elements are a single quantifier.

· All data elements are numeric (integer) and not a coded element. 

## Other Services (Title III-B) Subcomponent

The Service subcomponent includes data regarding state’s provision of a service for older adults using OAA funds (Title III-B) that are not included the defined service categories.  

· All data elements are required and single quantifier.

· All data elements are repeated for each unique service provided by the state.

## Supplemental Services (Title III-E) for Caregivers of Older Adults Subcomponent

The Service subcomponent includes data regarding State’s provision of a supplemental service for caregivers of older adults using OAA funds (Title III-E). Supplemental services are services not included in the defined service categories which are provided on a limited basis, to complement the care provided by caregivers.  

· All data elements are required and single quantifier.

## Supplemental Services (Title III-E) for Older Relative Caregivers of Children and Adults under age 60 with Disabilities Subcomponent

The Service subcomponent includes data regarding State’s provision of a supplemental service for older relative caregivers of children and adults under age 60 with disabilities using OAA funds (Title III-E). Supplemental services are services not included in the defined service categories which are provided on a limited basis, to complement the care provided by caregivers.  

· All data elements are required and single quantifier.

## Nutrition Services Incentive Program (NSIP) Subcomponent

The Service subcomponent includes data regarding the number of meals served by states that were Nutrition Services Incentive Program (NSIP) compliant (meet all criteria for a meal to be supported with Title III-C funding).  These data are used to calculate the Title III-A NSIP grant award allocation to states and tribal grantees. 

· All data elements are required and single quantifier.

· All data elements are numeric (integer) type and not a coded element.