PROGRAM INSTRUCTION

AoA-PI-04-02

TO: 	STATE AGENCIES ON AGING ADMINISTERING PLANS UNDER TITLE III OF 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

The primary purpose of this Program Instruction (PI) is to provide States with the guidelines they must use in developing and submitting State plans and amendments including assurances, provisions, information requirements, and intrastate funding formulas (IFFs) requirements.  Program Instruction PI-03-03, dated 03-11-03, is superseded by this PI and is no longer effective in full or in part.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.  

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.  An original and two copies of the State plan should be submitted to the appropriate Regional Office of the Administration on Aging (AoA) for initial review and comment.  Final approval or disapproval is determined by the Assistant Secretary.

States that submit amendment/extension requests need only outline the reason(s) for the specific request in letter format, and attach the resource allocation plan to area agencies for 2005.  Any other changes the State is making to the Plan, such as revisions to objectives or major activities, should also be included in the amendment request.

State Plan Content

We are asking States to address each of the four program goals included in the Administration on Aging Strategic Action Plan (Attachment C), and to develop implementing objectives for inclusion in State plans.  The Strategic Plan program goals are:

1.	Increase the number of older people who have access to an integrated array of health and social supports.	

2.	Increase the number of older people who stay active and healthy.

3.	Increase the number of families who are supported in their efforts to care 

for their loved ones at home and in the community.  

4.	Increase the number of older people who benefit from programs that protect their rights and prevent elder abuse, neglect and exploitation.

Implementing objectives include any major program or policy initiative a State will undertake that would further any of the above goals, e.g., establishing a Disability and Aging Resource Center; developing a joint Medicaid/OAA programs assessment/intake process; establishing or expanding community based service options (e.g. assisted living, adult day care, respite); implementing specific evidence-based health promotion/disease prevention programs; forming partnerships to establish public guardianship programs, etc.

Please note that although AoA is not requiring States to submit plan objectives for specific programs areas, this office will be conducting national evaluations of the Title III nutrition and supportive services programs during the next two years.  States are encouraged to outline in new plans and amendments, their planned activities/objectives in these two areas.  More specific information on the national evaluations will be issued at a later date.

In addition, if your State will be undertaking planning efforts related to transportation services for older adults and other populations, we strongly encourage you to coordinate those efforts with your State department of transportation and their local counterparts.  AoA, in partnership with the Federal Transit Administration, will be providing guidance on coordinated planning for transportation services for older adults later this year.

Additional Plan Requirements 

The format of the State Plan is determined by each State.  The Older Americans Act Amendments of 2000 does stipulate that all State Plans must address specific assurances and informational requirements.

The requirements listed in this program instruction (PI), along with Attachment A, State Plan Assurances and Required Activities, Attachment B, State Plan Provisions and Information Requirements, and Attachment C, US Administration on Aging Strategic Action Plan, make up the package of instructions for development of State Plans.

Attachment A – Listing of State Plan Assurances and Required Activities delineates all of the assurances outlined in the Older Americans Act.  States are expected to sign and include this Attachment in the State Plan submission.

Attachment B – State Plan Provisions and Information Requirements delineates all of the provisions and information requirements that must be included and discussed in the State Plan.  Attachment B is not to be submitted as part of a State Plan submission.  It is provided for the State’s review to ensure that the State Plan addresses those specific provisions and information requirements.   

Attachment C – US Administration on Aging Strategic Action Plan outlines AoA’s plan of action through FY 2008.  The goals and objectives listed in this document should be reviewed for possible inclusion in new State Plans and/or amendments to current State Plans.

An electronic version of the Plan requirements may be downloaded from the AoA website. 

Deadline for State plan Submission

State plan and plan amendments must be received 60 days before their effective dates in order to receive approval in a timely manner.  

Criteria for Intrastate Funding Formula (IFF) Approval

If you are submitting a new IFF for approval along with a new plan or amendment, it must also be sent to the appropriate Regional Office for review no later than 60 days before the effective date.    Please note a State may submit an IFF revision at any time during the State plan period.  It is not necessary to wait for submittal of a new plan or other amendment.

In reviewing a State’s IFF, the amended Act will be used as criteria for approval or disapproval.  Each State will be expected to demonstrate that the requirements in Sections 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 (generally the latest census data).  As required by Section 305(d) of the OAA, the IFF revision request must include a descriptive statement, a numerical statement, and a list of the data used (by planning and service area). The request must also include information on how the proposed formula will affect funding to each planning and service area.

EFFECTIVE

   DATE:		Immediately

ATTACHMENTS:	Listing of State plan Assurances, 

State Plan Provisions and Information Requirements

INQUIRIES:		Address inquiries to Regional Administrators on Aging,

			DHHS Regional Offices.

						 ________________________________

Josefina G. Carbonell 

Assistant Secretary for Aging		 				

ATTACHMENT A

Listing of State Plan Assurances and Required Activities	

Older Americans Act, As Amended in 2000

By signing this document, the authorized official commits the State Agency on Aging to performing all listed assurances and required activities.  

This attachment, along with requirements listed in the State Plan Guidance Program Instruction (PI) and attachment B State Plan Provisions and Information Requirements, make up the package of instructions for development of State Plans.

ASSURANCES

Sec. 305(a)- (c), ORGANIZATION

(a)(2)(A) The State agency shall, except as provided in subsection (b)(5), designate for each such area (planning and service area) after consideration of the views offered by the unit or units of general purpose local government in such area, a public or private nonprofit agency or organization as the area agency on aging for such area. 

(a)(2)(B) The State agency shall provide assurances, satisfactory to the Assistant Secretary, that the State agency will take into account, in connection with matters of general policy arising in the development and administration of the State plan for any fiscal year, the views of recipients of supportive services or nutrition services, or individuals using multipurpose senior centers provided under such plan. 

(a)(2)(E) The State agency shall provide assurance that preference will be given to providing services to older individuals with greatest economic need and older individuals with greatest social need, with particular attention to low-income minority individuals and older individuals residing in rural areas and include proposed methods of carrying out the preference in the State plan. 

(a)(2)(F) The State agency shall provide assurances that the State agency will require use of outreach efforts described in section 307(a)(16). 

(a)(2)(G)(ii) The State agency shall provide an assurance that the State agency will undertake specific program development, advocacy, and outreach efforts focused on the needs of low-income minority older individuals and older individuals residing in rural areas.  

(c)(5) In the case of a State specified in subsection (b)(5), the State agency and area agencies shall provide assurance, determined adequate by the State agency, that the area agency on aging will have the ability to develop an area plan and to carry out, directly or through contractual or other arrangements, a program in accordance with the plan within the planning and service area. 

States must assure that the following assurances (Section 306) will be met by its designated area agencies on agencies, or by the State in the case of single planning and service area states.

Sec. 306(a), AREA PLANS

(2) Each area agency on aging shall provide assurances that an adequate proportion, as required under section 307(a)(2), of the amount allotted for part B to the planning and service area will be expended for the delivery of each of the following categories of services-

(A) services associated with access to services (transportation, outreach,

information and assistance, and case management services);

(B) in-home services, including supportive services for families of older individuals who are victims of Alzheimer's disease and related disorders with neurological and organic brain dysfunction; and

(C) legal assistance;  

and assurances that  the area agency on aging will report annually to the           State agency in detail the amount of funds expended for each such category during the fiscal year most recently concluded. 

(4)(A)(i) Each area agency on aging shall provide assurances that the area agency on aging will set specific objectives for providing services to older individuals with greatest economic need and older individuals with greatest social need, include specific objectives for providing services to low-income minority individuals and older individuals residing in rural areas, and include proposed methods of carrying out the preference in the area plan. 

(4)(A)(ii) Each area agency on aging shall provide assurances that the area agency on aging will include in each agreement made with a provider of any service under this title, a requirement that such provider will--

(I) specify how the provider intends to satisfy the service needs of low-income minority individuals and older individuals residing in rural areas in the area served by the provider;

(II) to the maximum extent feasible, provide services to low-income minority individuals and older individuals residing in rural areas in accordance with their need for such services; and

(III) meet specific objectives established by the area agency on aging, for providing services to low-income minority individuals and older individuals residing in rural areas within the planning and service area. 

(4)(A)(iii) With respect to the fiscal year preceding the fiscal year for which such plan is prepared, each area agency on aging shall--

(I) identify the number of low-income minority older individuals and older individuals    residing in rural  areas in the planning and service area;

(II) describe the methods used to satisfy the service needs of such minority older individuals; and

(III) provide information on the extent to which the area agency on aging met the objectives described in clause (a)(4)(A)(i). 

(4)(B)(i) Each area agency on aging shall provide assurances that the area agency on aging will use outreach efforts that will identify individuals eligible for assistance under this Act, with special emphasis on--

(I) older individuals residing in rural areas;

(II) older individuals with greatest economic need (with particular attention to low-income minority individuals and older individuals residing in rural areas);

(III) older individuals with greatest social need (with particular attention to low-income minority individuals and older individuals residing in rural areas); 

(IV) older individuals with severe disabilities; 

(V) older individuals with limited English-speaking ability; and 

(VI) older individuals with Alzheimer's disease or related disorders with neurological and organic brain dysfunction (and the caretakers of such individuals); 

and inform the older individuals referred to in (A) through (F), and the caretakers of such individuals, of the availability of such assistance. 

(4)(C) Each area agency on agency shall provide assurance that the area agency on aging will ensure that each activity undertaken by the agency, including planning, advocacy, and systems development, will include a focus on the needs of low-income minority older individuals and older individuals residing in rural areas. 

(5) Each area agency on aging shall provide assurances that the area agency on aging will coordinate planning, identification, assessment of needs, and provision of services for older individuals with disabilities, with particular attention to individuals with severe disabilities, with agencies that develop or provide services for individuals with disabilities. 

(9) Each area agency on aging shall provide assurances that the area agency on aging, in carrying out the State Long-Term Care Ombudsman program under section 307(a)(9), will expend not less than the total amount of funds appropriated under this Act and expended by the agency in fiscal year 2000 in carrying out such a program under this title. 

(11) Each area agency on aging shall provide information and assurances concerning services to older individuals who are Native Americans (referred to in this paragraph as "older Native Americans"), including-

(A) information concerning whether there is a significant population of older Native Americans in the planning and service area and if so, an assurance that the area agency on aging will pursue activities, including outreach, to increase access of those older Native Americans to programs and benefits provided under this title; 

(B) an assurance that the area agency on aging will, to the maximum extent practicable, coordinate the services the agency provides under this title with services provided under title VI; and 

(C) an assurance that the area agency on aging will make services under the area plan available, to the same extent as such services are available to older individuals within the planning and service area, to older Native Americans. 

(13)(A) Each area agency on aging shall provide assurances that the area agency on aging will maintain the integrity and public purpose of services provided, and service providers, under this title in all contractual and commercial relationships. 

(13)(B) Each area agency on aging shall provide assurances that the area agency on aging will disclose to the Assistant Secretary and the State agency--

(i) the identity of each nongovernmental entity with which such agency has a contract or commercial relationship relating to providing any service to older individuals; and

(ii) the nature of such contract or such relationship. 

(13)(C) Each area agency on aging shall provide assurances that the area agency will demonstrate that a loss or diminution in the quantity or quality of the services provided, or to be provided, under this title by such agency has not resulted and will not result from such non-governmental contracts or such commercial relationships. 

(13)(D) Each area agency on aging shall provide assurances that the area agency will demonstrate that the quantity or quality of the services to be provided under this title by such agency will be enhanced as a result of such non-governmental contracts or commercial relationships. 

(13)(E) Each area agency on aging shall provide assurances that the area agency will, on the request of the Assistant Secretary or the State, for the purpose of monitoring compliance with this Act (including conducting an audit), disclose all sources and expenditures of funds such agency receives or expends to provide services to older individuals. 

(14) Each area agency on aging shall provide assurances that funds received under this title will not be used to pay any part of a cost (including an administrative cost) incurred by the area agency on aging to carry out a contract or commercial relationship that is not carried out to implement this title. 

(15) Each area agency on aging shall provide assurances that preference in receiving services under this title will not be given by the area agency on aging to particular older individuals as a result of a contract or commercial relationship that is not carried out to implement this title. 

Sec. 307, STATE PLANS

(7)(A) The plan shall provide satisfactory assurance that such fiscal control and fund accounting procedures will be adopted as may be necessary to assure proper disbursement of, and accounting for, Federal funds paid under this title to the State, including any such funds paid to the recipients of a grant or contract. 

(7)(B) The plan shall provide assurances that--

(i) no individual (appointed or otherwise) involved in the designation of the State agency or an area agency on aging, or in the designation of the head of any subdivision of the State agency or of an area agency on aging, is subject to a conflict of interest prohibited under this Act;

(ii) no officer, employee, or other representative of the State agency or an area agency on aging is subject to a conflict of interest prohibited under this Act; and 

(iii) mechanisms are in place to identify and remove conflicts of interest prohibited under this Act.  

(9) The plan shall provide assurances that the State agency will carry out, through the Office of the State Long-Term Care Ombudsman, a State Long-Term Care Ombudsman program in accordance with section 712 and this title, and will expend for such purpose an amount that is not less than an amount expended by the State agency with funds received under this title for fiscal year 2000, and an amount that is not less than the amount expended by the State agency with funds received under title VII for fiscal year 2000. 

(10) The plan shall provide assurance that the special needs of older individuals residing in rural areas will be taken into consideration and shall describe how those needs have been met and describe how funds have been allocated to meet those needs. 

(11)(A) The plan shall provide assurances that area agencies on aging will--

(i) enter into contracts with providers of legal assistance which can demonstrate the experience or capacity to deliver legal assistance; 

(ii) include in any such contract provisions to assure that any recipient of funds under division (A) will be subject to specific restrictions and regulations promulgated under the Legal Services Corporation Act (other than restrictions and regulations governing eligibility for legal assistance under such Act and governing membership of local governing boards) as determined appropriate by the Assistant Secretary; and 

(iii) attempt to involve the private bar in legal assistance activities authorized under this title, including groups within the private bar furnishing services to older individuals on a pro bono and reduced fee basis. 

(11)(B) The plan contains assurances that no legal assistance will be furnished unless the grantee administers a program designed to provide legal assistance to older individuals with social or economic need and has agreed, if the grantee is not a Legal Services Corporation project grantee, to coordinate its services with existing Legal Services Corporation projects in the planning and service area in order to concentrate the use of funds provided under this title on individuals with the greatest such need; and the area agency on aging makes a finding, after assessment, pursuant to standards for service promulgated by the Assistant Secretary, that any grantee selected is the entity best able to provide the particular services. 

(11)(D) The plan contains assurances, to the extent practicable, that legal assistance furnished under the plan will be in addition to any legal assistance for older individuals being furnished with funds from sources other than this Act and that reasonable efforts will be made to maintain existing levels of legal assistance for older individuals; 

(11)(E) The plan contains assurances that area agencies on aging will give priority to legal assistance related to income, health care, long-term care, nutrition, housing, utilities, protective services, defense of guardianship, abuse, neglect, and age discrimination.  

(12) The plan shall provide, whenever the State desires to provide for a fiscal year for services for the prevention of abuse of older individuals, the plan contains assurances that any area agency on aging carrying out such services will conduct a program consistent with relevant State law and coordinated with existing State adult protective service activities for--

 (A) public education to identify and prevent abuse of older individuals; 

2.	receipt of reports of abuse of older individuals; 

 (C) active participation of older individuals participating in programs under this Act through outreach, conferences, and referral of such individuals to other social service agencies or sources of assistance where appropriate and consented to by the parties to be referred; and 

 (D) referral of complaints to law enforcement or public protective service agencies where appropriate. 

(13) The plan shall provide assurances that each State will assign personnel (one of whom shall be known as a legal assistance developer) to provide State leadership in developing legal assistance programs for older individuals throughout the State. 

(14) The plan shall provide assurances that, if a substantial number of the older individuals residing in any planning and service area in the State are of limited English-speaking ability, then the State will require the area agency on aging for each such planning and service area—

 (A) to utilize in the delivery of outreach services under section 306(a)(2)(A), the services of workers who are fluent in the language spoken by a predominant number of such older individuals who are of limited English-speaking ability; and 

 (B) to designate an individual employed by the area agency on aging, or available to such area agency on aging on a full-time basis, whose responsibilities will include--

 (i) taking such action as may be appropriate to assure that counseling assistance is made available to such older individuals who are of limited English-speaking ability in order to assist such older individuals in participating in programs and receiving assistance under this Act; and 

 (ii) providing guidance to individuals engaged in the delivery of supportive services under the area plan involved to enable such individuals to be aware of cultural sensitivities and to take into account effectively linguistic and cultural differences.

(16) The plan shall provide assurances that the State agency will require outreach efforts that will identify individuals eligible for assistance under this Act, with special emphasis on--

(A) older individuals residing in rural areas; 

(B) older individuals with greatest economic need (with particular attention to low-income minority individuals and older individuals residing in rural areas);

(C) older individuals with greatest social need (with particular attention to low-income minority individuals and older individuals residing in rural areas); 

(D) older individuals with severe disabilities; 

(E) older individuals with limited English-speaking ability; and 

(F) older individuals with Alzheimer's disease or related disorders with neurological and organic brain dysfunction (and the caretakers of such individuals); and inform the older individuals referred to in clauses (A) through (F) and the caretakers of such individuals, of the availability of such assistance. 

(17) The plan shall provide, with respect to the needs of older individuals with severe disabilities, assurances that the State will coordinate planning, identification, assessment of needs, and service for older individuals with disabilities with particular attention to individuals with severe disabilities with the State agencies with primary responsibility for individuals with disabilities, including severe disabilities, to enhance services and develop collaborative programs, where appropriate, to meet the needs of older individuals with disabilities. 

(18) The plan shall provide assurances that area agencies on aging will conduct efforts to facilitate the coordination of community-based, long-term care services, pursuant to section 306(a)(7), for older individuals who--

(A) reside at home and are at risk of institutionalization because of limitations on their ability to function independently; 

 (B) are patients in hospitals and are at risk of prolonged institutionalization; or 

 (C) are patients in long-term care facilities, but who can return to their homes if   community-based services are provided to them. 

(19) The plan shall include the assurances and description required by section 705(a).  

(20) The plan shall provide assurances that special efforts will be made to provide technical assistance to minority providers of services. 

(21) The plan shall

(A) provide an assurance that the State agency will coordinate programs under this title and programs under title VI, if applicable; and 

(B) provide an assurance that the State agency will pursue activities to increase access by older individuals who are Native Americans to all aging programs and benefits provided by the agency, including programs and benefits provided under this title, if applicable, and specify the ways in which the State agency intends to implement the activities. 

 (22) If case management services are offered to provide access to supportive services, the plan shall provide that the State agency shall ensure compliance with the requirements specified in section 306(a)(8). 

 (23) The plan shall provide assurances that demonstrable efforts will be made--

 (A) to coordinate services provided under this Act with other State services that benefit older individuals; and 

 (B) to provide multigenerational activities, such as opportunities for older individuals to serve as mentors or advisers in child care, youth day care, educational assistance, at-risk youth intervention, juvenile delinquency treatment, and family support programs.

(24) The plan shall provide assurances that the State will coordinate public services within the State to assist older individuals to obtain transportation services associated with access to services provided under this title, to services under title VI, to comprehensive counseling services, and to legal assistance. 

(25) The plan shall include assurances that the State has in effect a mechanism to provide for quality in the provision of in-home services under this title. 

(26) The plan shall provide assurances that funds received under this title will not be used to pay any part of a cost (including an administrative cost) incurred by the State agency or an area agency on aging to carry out a contract or commercial relationship that is not carried out to implement this title. 

Sec. 308, PLANNING, COORDINATION, EVALUATION, AND ADMINISTRATION OF STATE PLANS

(b)(3)(E) No application by a State under subparagraph (b)(3)(A) shall be approved unless it contains assurances that no amounts received by the State under this paragraph will be used to hire any individual to fill a job opening created by the action of the State in laying off or terminating the employment of any regular employee not supported under this Act in anticipation of filling the vacancy so created by hiring an employee to be supported through use of amounts received under this paragraph. 

Sec. 705, ADDITIONAL STATE PLAN REQUIREMENTS (as numbered in statute)

(1) The State plan shall provide an assurance that the State, in carrying out any chapter of this subtitle for which the State receives funding under this subtitle, will establish programs in accordance with the requirements of the chapter and this chapter.

(2) The State plan shall provide an assurance that the State will hold public hearings, and use other means, to obtain the views of older individuals, area agencies on aging, recipients of grants under title VI, and other interested persons and entities regarding programs carried out under this subtitle. 

 (3) The State plan shall provide an assurance that the State, in consultation with area agencies on aging, will identify and prioritize statewide activities aimed at ensuring that older individuals have access to, and assistance in securing and maintaining, benefits and rights.

(4) The State plan shall provide an assurance that the State will use funds made available under this subtitle for a chapter in addition to, and will not supplant, any funds that are expended under any Federal or State law in existence on the day before the date of the enactment of this subtitle, to carry out each of the vulnerable elder rights protection activities described in the chapter.

(5) The State plan shall provide an assurance that the State will place no restrictions, other than the requirements referred to in clauses (i) through (iv) of section 712(a)(5)(C), on the eligibility of entities for designation as local Ombudsman entities under section 712(a)(5).

(6) The State plan shall provide an assurance that, with respect to programs for the prevention of elder abuse, neglect, and exploitation under chapter 3—

(A) in carrying out such programs the State agency will conduct a program of services consistent with relevant State law and coordinated with existing State adult protective service activities for--

  (i) public education to identify and prevent elder abuse;

  (ii) receipt of reports of elder abuse;

  (iii) active participation of older individuals participating in programs under this Act through outreach, conferences, and referral of such individuals to other social service agencies or sources of assistance if appropriate and if the individuals to be referred consent; and

  (iv) referral of complaints to law enforcement or public protective service agencies if appropriate;

(B) the State will not permit involuntary or coerced participation in the program of services described in subparagraph (A) by alleged victims, abusers, or their households; and

(C) all information gathered in the course of receiving reports and making referrals shall remain confidential except--

(i) if all parties to such complaint consent in writing to the release of such information;

(ii) if the release of such information is to a law enforcement agency, public protective service agency, licensing or certification agency, ombudsman program, or protection or advocacy system; or

  (iii) upon court order.

REQUIRED ACTIVITIES 

Sec. 307(a), STATE PLANS

(1)(A)The State Agency requires each area agency on aging designated under section 305(a)(2)(A) to develop and submit to the State agency for approval, in accordance with a uniform format developed by the State agency, an area plan meeting the requirements of section 306; and

(B) The State plan is based on such area plans.

Note:  THIS SUBSECTION OF STATUTE DOES NOT REQUIRE THAT AREA PLANS BE DEVELOPED PRIOR TO STATE PLANS AND/OR THAT STATE PLANS DEVELOP AS A COMPILATION OF AREA PLANS.

(2) The State agency:

(A) evaluates, using uniform procedures described in section 202(a)(29), the need for supportive services (including legal assistance pursuant to 307(a)(11), information and assistance, and transportation services), nutrition services, and multipurpose senior centers within the State;

 (B) has developed a standardized process to determine the extent to which public or private programs and resources (including volunteers and programs and services of voluntary organizations) have the capacity and actually meet such need; 

  (4) The State agency conducts periodic evaluations of, and public hearings on, activities and projects carried out in the State under titles III and VII, including evaluations of the effectiveness of services provided to individuals with greatest economic need, greatest social need, or disabilities, with particular attention to low-income minority individuals and older individuals residing in rural areas.  Note: “Periodic” (defined in 45CFR Part 1321.3) means, at a minimum, once each fiscal year.

(5) The State agency:

  (A) affords an opportunity for a public hearing upon request, in accordance with published procedures, to any area agency on aging submitting a plan under this title, to any provider of (or applicant to provide) services;

  (B) issues guidelines applicable to grievance procedures required by section 306(a)(10); and

  (C) affords an opportunity for a public hearing, upon request, by an area agency on aging, by a provider of (or applicant to provide) services, or by any recipient of services under this title regarding any waiver request, including those under Section 316.

  (6) The State agency will make such reports, in such form, and containing such information, as the Assistant Secretary may require, and comply with such requirements as the Assistant Secretary may impose to insure the correctness of such reports. 

     (8)(A) No supportive services, nutrition services, or in-home services are directly provided by the State agency or an area agency on aging in the State, unless, in the judgment of the State agency--

(i) provision of such services by the State agency or the area agency on aging is necessary to assure an adequate supply of such services;

(ii) such services are directly related to such State agency's or area agency on aging's administrative functions; or

(iii) such services can be provided more economically, and with comparable quality, by such State agency or area agency on aging.

___________________________________________	____________________

Signature and Title of Authorized Official			Date		

ATTACHMENT B

STATE PLAN PROVISIONS AND INFORMATION REQUIREMENTS

The following provisions and information requirements are listed in the indicated sections of the Older Americans Act, as amended in 2000.  State Plans may address the provisions and information requirements in a format determined by each State.  

This attachment, along with requirements listed in the State Plan Guidance Program Instruction (PI) and attachment A, State Plan Assurances and Required Activities, make up the package of instructions for development of State Plans.  Italicized notes are provided for the State agency’s convenience as links to referenced citations.

Section I.  State Plan Information Requirements

Information required by Sections 102, 305, 307 and 705 that must be provided in the State Plan:

102(19)(G) – (required only if the State funds in-home services not already defined in Sec. 102(19)) The term “in-home services” includes other in-home services as defined by the State agency in the State plan submitted in accordance with Sec. 307.

Section 305(a)(2)(E)  

The State agency shall provide assurance that preference will be given to providing services to older individuals with greatest economic need and older individuals with greatest social need, with particular attention to low-income minority individuals and older individuals residing in rural areas and include proposed methods of carrying out the preference in the State plan;

Section 307(a)  

(2) The plan shall provide that the State agency will:

(C) Specify a minimum proportion of the funds received by each area agency on aging in the State to carry out part B that will be expended (in the absence of a waiver under sections 306(b) or 316) by such area agency on aging to provide each of the categories of services specified in section 306(a)(2) (Note: those categories are access, in-home, and legal assistance). 

Section (307(a)(3) 

The plan shall:

(A) include (and may not be approved unless the Assistant Secretary approves) the statement and demonstration required by paragraphs (2) and (4) of section 305(d) (concerning distribution of funds);  (Note: the “statement and demonstration” are the numerical statement of the intrastate funding formula, and a demonstration of the allocation of funds to each planning and service area)  

(B) with respect to services for older individuals residing in rural areas:

(i) provide assurances the State agency will spend for each fiscal year of the plan, not less than the amount expended for such services for fiscal year 2000.

(ii) identify, for each fiscal year to which the plan applies, the projected costs of providing such services (including the cost of providing access to such services).

(iii) describe the methods used to meet the needs for such services in the fiscal year preceding the first year to which such plan applies.

Section 307(a)(8))  (Include in plan if applicable)

(B) Regarding case management services, if the State agency or area agency on aging is already providing case management services (as of the date of submission of the plan) under a State program, the plan may specify that such agency is allowed to continue to provide case management services.

(C) The plan may specify that an area agency on aging is allowed to directly provide information and assistance services and outreach.

Section 307(a)(10) 

The plan shall provide assurance that the special needs of older individuals residing in rural areas are taken into consideration and shall describe how those needs have been met and describe how funds have been allocated to meet those needs.  

Section 307(a)(15)  

The plan shall, with respect to the fiscal year preceding the fiscal year for which such plan is prepared-- 

(A) identify the number of low-income minority older individuals in the State; and  

(B) describe the methods used to satisfy the service needs of such minority older individuals.  

Section 307(a)(21) 

 The plan shall:

(B) provide an assurance that the State agency will pursue activities to increase access by older individuals who are Native Americans to all aging programs and benefits provided by the agency, including programs and benefits provided under this title (title III), if applicable, and specify the ways in which the State agency intends to implement the activities .  

Section 705(a)(7) 

In order to be eligible to receive an allotment under this subtitle, a State shall include in the State plan submitted under section 307:

(7) a description of the manner in which the State agency will carry out this title in accordance with the assurances described in paragraphs (1) through (6).  (Note: Paragraphs (1) of through (6) of this section are listed below)  

In order to be eligible to receive an allotment under this subtitle, a State shall include in the State plan submitted under section 307:

(1) an assurance that the State, in carrying out any chapter of this subtitle for which the State receives funding under this subtitle, will establish programs in accordance with the requirements of the chapter and this chapter;

(2) an assurance that the State will hold public hearings, and use other means, to obtain the views of older individuals, area agencies on aging, recipients of grants under title VI, and other interested persons and entities regarding programs carried out under this subtitle;

(3) an assurance that the State, in consultation with area agencies on aging, will identify and prioritize statewide activities aimed at ensuring that older individuals have access to, and assistance in securing and maintaining, benefits and rights;

(4) an assurance that the State will use funds made available under this subtitle for a chapter in addition to, and will not supplant, any funds that are expended under any Federal or State law in existence on the day before the date of the enactment of this subtitle, to carry out  each of the vulnerable elder rights protection activities described in the chapter;

(5) an assurance that the State will place no restrictions, other than the requirements referred to in clauses (i) through (iv) of section 712(a)(5)(C), on the eligibility of entities for designation as local Ombudsman entities under section 712(a)(5); 

(6) an assurance that, with respect to programs for the prevention of elder abuse, neglect, and exploitation under chapter 3--

(A) in carrying out such programs the State agency will conduct a program of services consistent with relevant State law and coordinated with existing State adult protective service activities for:

 (i) public education to identify and prevent elder abuse;

 (ii) receipt of reports of elder abuse;

  (iii) active participation of older individuals participating in programs under this Act through outreach, conferences, and referral of such individuals to other social service agencies or sources of assistance if appropriate and if the individuals to be referred consent; and

  (iv) referral of complaints to law enforcement or public protective service agencies if appropriate;

  (B) the State will not permit involuntary or coerced participation in the program of services described in subparagraph (A) by alleged victims, abusers, or their households; and

  (C) all information gathered in the course of receiving reports and making referrals shall remain confidential except--

  (i) if all parties to such complaint consent in writing to the release of such information;

  (ii) if the release of such information is to a law enforcement agency, public protective service agency, licensing or certification agency, ombudsman program, or protection or advocacy system; or

  (iii) upon court order.

ATTACHMENT C

U.S. Administration on Aging

STRATEGIC ACTION PLAN

FY 2003-2008

November, 2002

Table of Contents

EXECUTIVE SUMMARY....................................................3

INTRODUCTION ..............................................................4

	The Administration on Aging.....................................4

	Development and Update of the Plan..........................4

	Our Mission.............................................................5

	Our Vision for Older People.......................................5

	Our Core Values.......................................................5

Our Priorities............................................................6

	Our Strategies..........................................................7

5 YEAR GOALS / OBJECTIVES / STRATEGIES.....................8 	

APPENDIX

1.	Relationship between Strategic Goals and GPRA Long Range Goals

2.	Strategies Employed to Achieve AoA Strategic Action Plan Goals

3.		Relationship between HHS Strategic Plan and AoA Strategic Action Plan

EXECUTIVE SUMMARY

The AoA Strategic Action Plan for 2003-2008 was developed at the direction of the Assistant Secretary for Aging to guide the Administration on Aging as it carries out its statutory mission and provides national leadership on aging issues.  The Plan establishes five strategic priorities and related goals and objectives that will be used to focus AoA’s investment of effort and resources over the next five years.  The plan is framed by the priorities established by the Assistant Secretary for Aging and supports the HHS Strategic Plan for 2003- 2008.  

AoA’s mission is to promote the dignity and independence of older people, and to help society prepare for an aging population.  AoA carries out its mission with and through a national network of public and private organizations and is charged, under the Older Americans Act, with the responsibility to serve as the advocate for older people at the national level, and to oversee the development of a comprehensive and coordinated system of care that will enable older individuals to remain at home and participate fully in the community life.  Toward that end, the Aging Services Network has, for over thirty years, has played a leadership role in services innovation and in developing citizen-centered systems of health and long-term care at the state and local level.   Most recently, AoA has worked with the network to lead the nationwide development of services and supports for family caregivers through the implementation of the National Family Caregiver Support Program.

The Assistant Secretary for Aging established five priorities in this plan to ensure that AoA and the Aging Services Network continues to play a leadership role in shaping our evolving health and long term care system on behalf of older people.  These priorities are: 

·	Make it easier for older people to access an integrated array of health and social supports;

·		Help older people to stay active and healthy;

·		Support families in their efforts to care for their loved ones at home and in the community; 

·		Ensure the rights of older people and prevent their abuse, neglect and exploitation; and,

·		Promote effective and responsive management.

The Plan provides a broad strategic framework for achieving these priorities.  Like the HHS Strategic Plan, the AoA plan does not encompass all of the activities carried out by the agency.  It is designed, instead, to describe the agency’s priorities, the overall direction of where the agency is headed, and how the agency plans to get there.  Annual Implementation Plans will be developed each calendar year to identify the specific measurable outcomes staff will pursue during the calendar year to achieve the strategic goals and objectives contained in this document.  A set of long range GPRA Goals has been established as part of this Strategic Action Plan to help the agency measure its progress on each goal.     

INTRODUCTION

The Administration on Aging

The Administration on Aging (AoA) serves as the Federal focal point and advocate agency for older persons and their concerns. In this role, AoA works to heighten awareness among other Federal agencies, organizations, groups, and the public about the valuable contributions that older Americans make to the Nation and alerts them to the needs of vulnerable older people.  AoA also administers various grant programs that support an array of supportive services, as well as state and local efforts to develop comprehensive and coordinated systems of care for older people and their family caregivers.  

AoA carries out its advocacy and grant programs in collaboration with a national network that includes 56 State Units on Aging, 655 Area Agencies on Aging, 244 Tribal organizations, over 29,000 local community service organizations, 500,000 volunteers, and a wide variety of national organizations.  

Development and Update of the Plan

The AoA Strategic Action Plan was developed during 2002, and reflects AoA’s statutory mission and the priorities of the Assistant Secretary for Aging, the HHS Secretary and the President.  The plan also reflects input from staff throughout the agency, as well as representatives of the Aging Services Network and older consumers who participated in the National Listening Sessions conducted by the Assistant Secretary for Aging during 2001.    

The AoA Plan follows the structure and format of the HHS Strategic Plan for 2003-2008.  The AoA Plan embodies a strategic framework for advancing AoA’s mission and priorities.  It includes five goals to reflect the priorities established by the Assistant Secretary, including four programmatic goals and one management goal.  For each programmatic goal, the plan includes three broad objectives: one focused on what AoA does directly for consumers and the general public; a second focused on what AoA does with and through the Aging Services Network; and, a third focused on what AoA does with other federal agencies and private sector organizations to advance its mission and priorities.  The management goal is designed to support the agency’s policy and program activities.   

An Annual Implementation Plan will be developed each year, through an agency- wide process to identify the specific outcomes that will be achieved to advance AoA’s five-year goals and objectives.  These annual planning cycles will take into account changes in the policy and budget environment, as well as emerging trends and issues, and will be used to update the Strategic Action Plan, as necessary.  To help us measure the progress we are making on five-year strategic goals and objectives, a set of Long Range GPRA Goals has been established as part of this Strategic Action Plan and are included in Appendix A.  

Our Mission

The mission of the Administration on Aging, as embodied in the Older Americans Act, is to promote the dignity and independence of older people, and to help society prepare for an aging population.  We do this by serving as an advocate for older people, and by overseeing the development of a comprehensive and coordinated system of care that is responsive to the needs and preferences of older people and their family caregivers.   

Our Vision for Older People 

Our vision for older people is also embodied in the Older Americans Act and is based on the American value that dignity is inherent to all individuals in our democratic society, and the belief that older people should have the opportunity to fully participate in all aspects of society and community life, be able to maintain their health and independence, and remain in their own homes and communities for as long as possible.

Our Core Values 

In the ongoing management of our programs and our strategic planning process, we will be guided by a set of core values that will define AoA’s organizational culture.  In developing and carrying out this action plan and future updates, AoA will:   

§	Listen to older people and our partners who serve them. 

§	Capitalize on the experience and unique attributes of our network.

§	Identify and promote the replication of the “best” the network has to offer in service models and systems of community care.

§	Produce measurable outcomes that significantly impact the well-being of older people and their family caregivers.

§	Respond to the changing needs and preferences of our diverse and growing elderly population.    

§	Take advantage of external opportunities to advance our strategic goals and priorities. 

·	Help position our community-based aging services provider network to enhance the responsiveness of our health and long term care system to the needs and preferences of older consumers.

Our Priorities

The Assistant Secretary for Aging has established five priorities to guide AoA’s activities over the next five years.  These priorities support the HHS Strategic Plan, and include:   

Priority 1:  Make it easier for older people to access an integrated array of health and social supports.     

Priority 2:  Help older people to stay active and healthy. 

Priority 3:  Support families in their efforts to care for their loved ones at home 

and in the community. 

Priority 4:  Ensure the rights of older people and prevent their abuse, neglect and exploitation.

Priority 5:  Promote effective and responsive management. 

Our Strategies 

The Older Americans Act provides AoA with the authority to deploy six strategies to advance its leadership mission and achieve its strategic goals and objectives.  These strategies are reflected in the performance contract established between the Secretary of HHS and the Assistant Secretary for Aging and include: 1.) advocacy, which encompasses AoA’s responsibility to represent the needs and concerns of older people in the policy, program and budget development processes at the federal level; 2.) the dissemination of consumer information and the conduct of public education activities; 3.) the allocation of formula grants to the states, territories and tribal organizations; 4.) the provision of technical assistance; 5.) knowledge development, research translation, and community implementation, which encompasses policy analysis, the use of and application of research findings to community services and systems, and the development and testing of new models and approaches that benefit older people and their caregivers; and, 6.) effective management that is responsive to, and supports, the policy and program activities of the agency.  

Advocacy							Grants to States,

Territories and Tribes

Consumer Information &  

Public Education		  	   Goals	              Technical Assistance 	

Knowledge Development,	 				Effective and Responsive 

Research Translation and 					Management  

Community Implementation

5 Year Goals / Objectives / Strategies 

Goal 1:  	Increase the number of older people who have access to an integrated array of health and social supports.	 

Objective 1.1  	Strengthen AoA’s capacity to provide information to older individuals that can help them access health and social supports, and educate the public about the importance of improving older people’s access to an integrated array of health and social supports.       

Strategies We Will Use to Accomplish Our Objective:

·	Educate the public, including policy-makers, about the challenges older people face in trying to access services, and strategies that can be used to address these challenges.    

·	Disseminate information to older people, including low-income, rural, and limited English speaking older people, to help them access health and social supports. 

Objective 1.2	Support the Aging Services Network’s role in developing systems of care that provide older people an integrated array of health and social supports. 

Strategies We Will Use to Accomplish Our Objective:

·	Provide formula grants that support information, outreach, access nutrition and supportive services (Titles IIIB, IIIC, and VI of the OAA), and ensure the effective use of these grant funds in promoting the development of more integrated systems of health and social supports. 

·	Use the OAA state plan requirements and tribal organization grant applications to help states and tribes document how they are utilizing Titles IIIB, IIIC and Title VI formula grant funds to advance AoA and HHS priorities in this area. 

·	Identify and disseminate state-of-the art knowledge, information and technical assistance on models and techniques that states, tribes and communities can use to improve older people’s access to an integrated array of health and social supports.   

·	Support the development and testing of new models and techniques that can improve older people’s access to an integrated array of health and social supports.  

·	Conduct analysis of research findings, demographic trends, program data, and other information to identify strategies and approaches to support future program and policy development in this area.  

Objective 1.3	Partner with other federal agencies and private sector organizations to promote policies, programs and activities that will increase the number of older people who have access to an integrated array of health and social supports. 

Strategies We Will Use to Accomplish Our Objective:

·	Partner with other agencies and organizations on joint projects and activities that are designed to increase older people’s access to an integrated array of health and social supports. 

·	Participate in HHS, government-wide and private sector projects and activities that have the potential to improve older people’s access an integrated array of health and social supports.     

Goal 2:	Increase the number of older people who stay active and healthy.

Objective 2.1	Strengthen AoA’s capacity to provide information to older people that can help them stay active and healthy, and educate the public about the importance of healthy lifestyle choices, and about health promotion and disease prevention programs that can benefit people as they age.

Strategies We Will Use to Accomplish Our Objective:

·	Educate older people and the general public, including policy- makers, about the importance of maintaining active lifestyles and healthy behaviors for successful aging.

·	Disseminate information on health promotion and disease prevention programs to older people, including low-income, rural, and limited English speaking older people, and to the general public.

Objective 2.2	Support the Aging Services Network’s role in developing programs that help older people adopt and maintain active lifestyles and practice healthy behaviors.

Strategies We Will Use to Accomplish Our Objective:

·	Provide formula grants that support health promotion services (Titles C1, C2 and D of the OAA), and ensure the effective use of these grant funds. 

·	Use the OAA state plan requirements to help states document how they are utilizing Titles C1, C2 and D formula grant funds to advance AoA and HHS priorities in this area. 

·	Identify and disseminate state-of-the art knowledge, information and technical assistance on models and techniques that can be used by states, tribes and communities to enhance health promotion and disease prevention programs for older people.   

·	Support the development and testing of new models and techniques that can help older people stay active and healthy, including models targeted at “high risk” populations. 

·	Conduct analysis of research findings, demographic trends, program data, and other information to identify strategies and approaches to support future program and policy development in this area.  

Objective 2.3	Partner with other federal agencies and private sector organizations to promote policies, programs and activities that encourage older people to adopt and maintain active lifestyles and practice healthy behaviors.

Strategies We Will Use to Accomplish Our Objective:

·	Partner with other agencies and organizations on joint projects and activities that are designed to help older people stay active and healthy.  

·	Participate in HHS, government-wide and private sector projects and activities that have the potential to improve the health of older people, including Healthy People 2010.      

Goal 3:		Increase the number of families who 

are supported in their efforts to care 

for their loved ones at home and in the community.  

Objective 3.1	Strengthen AoA’s capacity to provide information to families that will help them in their caregiving roles, and educate the public on family caregiving and the importance of supporting family caregivers.  

Strategies We Will Use to Accomplish Our Objective:

·	Educate the public, including policy-makers, about family caregiving and the importance of helping families to care for their loved ones at home.

·	Disseminate information to families, including low-income, rural and limited English speaking families, to help them care for their older relatives.  

Objective 3.2	Support the Aging Services Network’s role in  helping family caregivers.

Strategies We Will Use to Accomplish Our Objective:

·	Provide formula grants for the National Family Caregiver Support Program (Titles IIIE and VIC of the OAA), and ensure the effective use of these grant funds.  

·	Use the OAA plan requirements to help the states and tribes document how they are utilizing Title IIIE and Title VIC funds to advance AoA and HHS priorities in this area. 

·	Identify and disseminated state-of-the art knowledge, information and technical assistance on models and techniques that can be used by states, tribes and communities to design and implement programs and services that support caregivers. 

·	Support  the development of new models and techniques that can help family caregivers.  

·	Conduct analysis of research findings, demographic trends, program data, and other information to identify strategies and approaches to support future program and policy development in this area.  

Objective 3.3	Partner with other federal agencies and private sector organizations to promote policies, programs and activities that support family caregivers.  

Strategies We Will Use to Accomplish Our Objective:

·	Partner with other agencies and organizations on joint projects and activities that will benefit family caregivers.

·	Participate in HHS, government-wide and private sector projects and activities that have the potential to benefit family caregivers. 

Goal 4:	Increase the number of older people who benefit from programs that protect their rights and prevent elder abuse, neglect and exploitation.

Objective 4.1	Strengthen AoA’s capacity to provide information to older consumers on elder rights and consumer protection issues and programs, and educate the public on the importance of such programs.

Strategies We Will Use to Accomplish Our Objective:

·	Educate the public, including policy-makers, on the importance of protecting the rights of older people and preventing elder abuse, neglect and exploitation.

·	Provide information to older people, including low-income, rural, and limited-English speaking older people, on their rights and consumer protection programs, and benefits to which they are entitled.

Objective 4.2	Support the Aging Services Network’s role in protecting older consumers and preventing elder abuse, neglect and exploitation.

Strategies We Will Use to Accomplish Our Objective:

·	Provide formula grants to support elder abuse prevention, legal services, hotlines and long term care ombudsmen programs (Titles II, IIIB, IV and Title VII of the OAA), and ensure the effective use of these grant funds.  

·	Use the OAA state plan requirements to help the states document how they are utilizing these formula grant funds to advance AoA and HHS priorities. 

·	Identify and disseminate state-of-the art knowledge, information and technical assistance on innovative models and techniques that can be used by states and communities to inform the elderly of their rights and prevent elder abuse, neglect and exploitation. 

·	Support the development of new models and techniques that can make it easier for older people to know their rights and to prevent elder abuse, neglect and exploitation. 

·	Conduct analysis of research findings, demographic trends, program data, and other information to identify strategies and approaches to support future program and policy development in this area.  

Objective 4.3	Partner with other federal agencies and the public and private sectors to promote policies, programs and activities that will help inform the elderly of their rights and prevent elder abuse, neglect and exploitation.

Strategies We Will Use to Accomplish Our Objective:

·	Partner with other agencies and organizations on joint projects and activities that will help protect older consumers and prevent elder abuse, neglect and exploitation.  

·	Participate in HHS, government-wide and private sector projects and activities that have the potential to benefit older consumers and help prevent elder abuse, neglect and exploitation. 

Goal 5: 	Strengthen the effectiveness of AoA’s management practices.

Objective 5.1	Improve the strategic management of human 

capital within AoA

Strategies we will use to accomplish our objective:

·	Enhance communication throughout AoA and use employee performance plans to facilitate the contribution of all employees to meeting our goals. 

·	Maintain and regularly update a workforce plan.  

·	Use competitive sourcing opportunities to augment and improve the capabilities of the AoA workforce.

·	Proactively seek opportunities to gain the support and assistance of other employees and programs within the Department to assist AoA in achieving its goals.

Objective 5.2	Improve and maintain strong financial 

management practices 

Strategies we will use to accomplish our objective:

·	Proactively participate in ongoing financial statement audits, and any corrective action, to insure the integrity of AoA financial information.

·	Effectively use timely AoA budget/financial information to inform management and program decision making. 

·	Proactively participate in the HHS Unified Financial Management System (UFMS).  

Objective 5.3	Leverage technology for optimal program management and service delivery

Strategies we will use to accomplish our objective:

·	Proactively use technology to effectively communicate with and respond to AoA constituents.

·	Actively seek opportunities to develop or employ technology that improves our programs and reduces our costs or that of our stakeholders. 

·	Proactively participate, and where appropriate take a leadership role, in Department-wide and Government-wide E- government initiatives.  

Objective 5.4	Achieve integration of budget and performance

Strategies we will use to accomplish our objective:

·	Develop a continuous approach that links feedback from GPRA performance measures and State reporting to the budget formulation process for use in shaping budget decisions and developing new program and budget proposals. 

·	Develop management reports to provide feedback data to AoA senior management on an ongoing basis.

·	Develop ongoing vehicles for sharing performance information with budget stakeholders (in HHS, OMB, the Congress) outside of AoA.