Program Instructions

TO: STATE AND AREA AGENCIES ON AGING ADMINISTERING PLANS UNDER 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PI-01-05, dated 07/13/01, is superseded by this PI and is no longer effective in full or in part.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. In addition, guidelines are 

included for development of objectives related to the National Family Caregiver Support Program 

(NFCSP). 

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. State plans should be submitted to the 

appropriate Regional Office of AoA for initial review and comment. Final approval or disapproval is 

determined by the Assistant Secretary. 

Plan Requirements 

Included in this guidance are: 

(1) the state plan assurances currently required by sections 305, 306, 307, 308, and 705 of the Older 

Americans Act, as amended in 2000, and section 1321.17(f) beginning at (f)(1); 

(2) the state plan provisions required in section 307 of the Act; and 

(3) the state plan information requirements outlined in sections 102 and 307 of the Act. 

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

http://www.aoa.gov/pi/pi-02-02-att.html - When using the electronic version, delete the note lines 

and fill in text as needed.
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 

In reviewing a States IFF, only the amended Act will be used as criteria for approval or disapproval. 

Each State will be expected to demonstrate that the requirements in Section 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. Finally, 

each state must also submit a copy of its IFF to the respective AoA Regional Office including, as 

required by Section 305(d) of the Act, a descriptive statement, a numerical statement, and a list of 

the data used (by planning and service area). If you are submitting a new IFF for approval it must be 

sent to the appropriate Regional Office for review by June 3, 2002, along with all supporting 

documentation. 

NFCSP Plan Objectives

States are instructed to develop and include in their new State plans (or in Plan amendments), 

objectives for implementation of the NFCSP. The objectives shall describe how the State is 

implementing the five service categories into a multi-faceted program, and how the NFCSP is being 

integrated into the existing OAA systems of services for older individuals. Specifically, States shall 

include objectives in their plans/amendments that: 

1) Describe how the NFCSP will be implemented in the State including: (A) the categories of services 

that will be provided/expanded, (B) funding allocated to the service categories; and (C) the projected 

number of caregivers who will benefit from the services during the plan period; and

2) Outline steps for integrating the NFCSP into the States existing comprehensive system of services 

for older individuals including: (A) how an emphasis on serving caregivers (in addition to care 

recipients) will be implemented; and (B) how the NFCSP will be integrated into existing caregiver 

programs.

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