PROGRAM INSTRUCTION 

AoA-PI-10-05 

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 FY-2012 

State Plans, Amendments and Intrastate Funding Formulas 

LEGAL REFERENCES: Sections 305, 306, 307, 308, 373, and 705, of the Older 

Americans Act of 1965, As Amended 

The purpose of this Program Instruction (PI) is to provide States with guidelines for use 

in developing and submitting FY 2012 State Plans and Plan Amendments including 

intrastate funding formula (IFF) requirements. Resources available to assist State in the 

development and writing of their State Plan include: 

•	 Your Regional Office of the Administration on Aging (AoA); and 

•	 The TASC Planning Zone – a national aging services planning model at 

http://www.nasuad.org/tasc/tasc_index.html
 

The PI contains the following: 

I. STATE PLAN PURPOSE AND FOCUS AREAS 

A. Older Americans Act (OAA) Core Programs 

B. AoA Discretionary Grants 

C. Consumer Control and Choice 

II. STATE PLAN CONTENT 

A. Signed Verification of Intent 

B. Narrative (1. Executive Summary; 2. Context; 3. Goals/Objectives; 4. 

Strategies; and 5. Outcomes and Performance Measures) 

C. Intrastate Funding Formula 

D. Attachments to State Plan 

III. STATE PLAN SUBMISSION AND APPROVAL 

IV. ATTACHMENTS to the Program Instruction (PI) 

I. STATE PLAN PURPOSE AND FOCUS AREAS 

The State Plan serves multiple purposes: 

•	 Documenting the tangible outcomes planned and achieved as a result of state 

long-term care reform efforts. 

•	 Translating activities, data, and outcomes into proven best practices, which can be 

used to leverage additional funding. 
 

•	 Providing a Blueprint that spells out the activities the state will undertake in 

modernizing its long-term care system. 

•	 Building Capacity for long-term care efforts in the state. 

It is the intent of AoA that States incorporate into the State Plan as many of their 

activities related to aging as possible, regardless of funding source, e.g., activities related 

to new federal health care programs such as “Care Transitions” and “Risk Reduction”. 

The plan should serve as a valuable tool for planning/tracking all efforts on behalf of 

older adults. Information on Affordable Care Opportunities for the Aging Network is 

available at the AoA website below: 

http://www.aoa.gov/Aging Statistics/Health care reform.aspx

The TASC Planning Zone, an aging services planning model developed by the National 

Association of States United for Aging and Disabilities (NASUAD) and AoA, is 

available to assist States in developing the FY 2012 plans. This web based tool located at 

http://www.nasuad.org/tasc/tasc_index.html provides the resources necessary to develop 

a comprehensive State Plan on Aging. The state is strongly encouraged to use this 

resource and to work with their AoA Regional Office in the development of their plans. 

Focus Areas for FY 2012 State Plans 

In responding to the focus areas, states are expected to discuss their leadership role in 

developing comprehensive service systems for older individuals, caregivers, and persons 

with disabilities served through Aging and Disability Resource Centers (ADRCs). Such 

leadership should include substantial advocacy and coordination activities with an 

emphasis on creation of a service system that is client centered. 

States must include measurable objectives that address each of the three focus areas 

below (A through C) in the Goals and Objectives section of the State Plan Content 

(Section II.B.3.). Data and other resources for developing measurable 

objectives/performance measures are available on the “Resource Links” section of the 

TASC Planning Zone. 

A. Older Americans Act (OAA) Core Programs - OAA core programs are encompassed 

in Titles III (Supportive Services, Nutrition, Disease Prevention/Health Promotion and 

Caregiver Programs), VI (Native American Programs), and VII (Elder Rights Programs), 

and serve as the foundation of the national aging services network. Describe your state’s 

plans to: 

(1) Coordinate Title III programs with Title VI Native American programs, 

including potential opportunities for coordination with the Indian Health Service 

(IHS); 

(2) Strengthen and/or expand Title III & VII services, e.g., refining SPR data and 

using same to track services provided to at-risk populations. Note: States are 

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encouraged to provide evidence-based interventions with Title III-D funds, where 

feasible; and 

(3) Integrate Titles III and VII with AoA discretionary programs addressed in 

Focus Area B below. 

Specific resources to assist states in maximizing coordination and planning efforts in 

Core programs are available on the “Resource Links” section of the TASC Planning 

Zone: 

http://www.nasuad.org/tasc/resource links.html

B. AoA Discretionary Grants – For each of the following AoA Discretionary Grant 

programs received by your state, develop measurable objectives that include integration 

of these programs with OAA core programs above (Focus Area A): Community Living 

Programs (CLP); Alzheimer’s Disease Supportive Services Program (ADSSP); Lifespan 

Respite; and Evidence-Based Disease and Disability Prevention Program. 

Note: For ADRC Discretionary grants, list: 1) Projected Objectives, 2) Partners, and 3) 

Budget leading to the statewide expansion of ADRCs and full integration with OAA core 

programs. The information included in the state plan for ADRCs should be consistent 

with, and may serve as, the ADRC Five Year plan that will be due as a requirement of 

your ADRC award (required within 18 months of award). A template for use in 

developing the ADRC five year plan and the criteria for Fully Functioning ADRCS may 

be accessed on the Planning Zone at: 

http://www.nasuad.org/documentation/tasc/ADRCstatewideplantemplate.pdf and 

http://www.nasuad.org/documentation/tasc/criteriaforfullyfunctioningADRCSEP. 

pdf

Specific resources to assist states in developing objectives for respective AoA 

discretionary grants are available at links below as well as at the “Resource Links” pages 

of the resource section of the TASC Planning Zone. 

Aging and Disability Resource Centers (ADRC), Alzheimer’s Disease Supportive 

Services Program (ADSSP): 

http://www.adrc-tae.org/tiki-index.php?page=HomePage

Evidence Based Disease Prevention Programs: 

http://www.healthyagingprograms.org/content.asp?sectionid=32

Lifespan Respite: 

http://www.archrespite.org/

C. Consumer Control and Choice – Making fundamental changes in state policies and 

programs which support consumer control and choice is recognized as critical focus for 

State Plans. OAA Title VII programs and services are designed to support this effort, and 

opportunities also exist for maximizing consumer control and choice in Title III 

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programs. Describe your planned efforts (measurable objectives) to support consumer 

control and choice in Title III programs, e.g., consumer choice in providers, and/or use of 

vouchers. In addition, outline your planned activities to promote consumer control and 

choice in non-OAA programs you administer such as Veterans Directed Home and 

Community Based Services (VDHCBS). Specific resources to assist states with building 

consumer choice and control into aging programs are available at the link below as well 

as on the “Resource Links” section of the TASC Planning Zone. 

National Resource Center for Participant Directed Services – 

http://www.bc.edu/schools/gssw/nrcpds/

II. STATE PLAN CONTENT 

The following sections A through D outline the required content of the FY 2012 State 

Plan on Aging. 

A. Signed Verification of Intent 

It is important that the state plan be signed (Verification of Intent) by the Governor or the 

individual (designee) to whom the Governor has granted signature authority. Such 

authority should be obtained in writing from the Governor’s office and be on file should 

AoA need to verify the designation. 

B. Narrative 

It is recommended that the narrative of State Plan be comprised of 20 - 30 pages and 

clearly address the following areas: 

1.	 Executive Summary (approximately 3 pages) - The executive summary should 

stand alone in summarizing the state’s planned efforts on behalf of older 

individuals. A well written summary can aid the state in educating the public, 

lawmakers, and other agencies, and can assist in securing additional resources. 

2.	 Context – The context sets the stage for the State Plan and describes the issues 

(needs) to be addressed in the rest of the document. 

3.	 Goals and Objectives – Goals are visionary statements that describe the strategic 

direction in which the state is moving while objectives are the attainable, specific, 

and measurable steps the State will take to achieve its goals. Goals should align 

with the AoA Strategic Plan goals listed found at: 

http://www.nasuad.org/documentation/tasc/Strategic Action Plan 2007-

2012.pdf. 

One or more objectives should be included for each of the 3 focus areas listed on 

Pages 2 and 3 of this PI. 

4. Strategies – Strategies outline how the goals and objectives will be achieved. 

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5.	 Outcomes and Performance Measures related to Focus Areas – Outcomes 

document the benefit older individuals should derive from the state plan goals, 

objectives and strategies. 

Specific resources are available for each of the above sections on “The Plan” drop down 

menu of the TASC Planning Zone at 

http://www.nasuad.org/tasc/state_plan_content.html. 

C. Intrastate Funding Formula 

Each new State plan submittal must include a copy of the current intrastate funding 

formula (IFF) and the resulting funding allocation to the planning and service areas. Any 

revisions to the IFF must be clearly indicated and take into consideration the statutory 

requirements listed in Attachment B, Intrastate Funding Formula Requirements. Any 

change to IFF factors or weights requires approval by the Assistant Secretary. Revisions 

that do not coincide with a new State plan submittal must be submitted as a State Plan 

Amendment. Attachment B to this PI, Intrastate Funding Formula (IFF) Requirements, is 

a guide to the development of new or revised IFFs and is provided for information 

purposes. 

D. Attachments (to the State Plan document) 

The number and type of state plan attachments will vary from state to state but every 

state plan must include Attachment A from this PI, State Plan Assurances, 

Provisions and Information Requirements. Please review and respond carefully to 

this attachment as there are specific tasks that your State assures will be completed such 

as the development of Emergency Preparedness plans (Sec. 307(a)(29). Other 

attachments to the plan could include demographic data, needs analysis, special 

initiatives, etc. The intrastate funding formula may be included as an attachment or in 

another clearly marked section of the plan. 

III. STATE PLAN SUBMISSION AND APPROVAL 

State Agencies on Aging may elect to develop a State Plan for a two, three or four-year 

period. States with a two or three-year plan may request an extension or may amend 

plans annually if needed; however, at the end of a four-year plan, the State will develop a 

new Plan. There is no statutory authority to extend a Plan beyond a four-year period.

 The deadline for State Plans and Plan Amendments is July 1, 2011 to the appropriate 

Regional Office. States that do not operate on the Federal fiscal year must submit State 

Plans or Plan Amendments at least 90 days prior to plan or amendment implementation. 

For efficiency and coordination purposes states need to work with their AoA Regional 

Office on State Plan development prior to the submittal deadline. The AoA Regional 

Office will be in frequent contact with SUA staff providing technical assistance writing 

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________________________________ 

the plans well in advance of submission so that appropriate technical assistance can be 

incorporated prior to state approving official sign-off. 

Please note a State Plan Amendment is required when a State proposes any of the 

following: 

•	 Changes to the intrastate funding formula; 

•	 Changes to planning and service areas (PSAs) and/or the designation of area 

agencies on aging (AAAs); or 

•	 Major changes in objectives such as initiating or deleting an objective related to 

funding a particular service/initiative, e.g., starting/stopping a transportation 

program, starting/stopping an ADRC or similar long term care reform project. 

State Plans are submitted electronically via email to the appropriate Regional Office of 

the Administration on Aging with original approving official signature, (e.g., on 

Verification of Intent page) scanned into or attached to the plan document. The Regional 

Office will review State Plans and send recommendations to the Assistant Secretary who 

has authority to approve State Plans and State Plan Amendments. 

IV. ATTACHMENTS: (to this Program Instruction) 

Attachment A – State Plan Assurances, Required Activities and Information 

Requirements includes all statutory requirements related to the development of State 

Plans and must be reviewed, signed and included in the State Plan/Amendment submittal. 

In addition, documentation of how the State will address each assurance, required activity 

and information requirement must be maintained at the State and made available for 

review by AoA, as appropriate. 

Attachment B – Intrastate Funding Formula (IFF) Requirements is a guide to the 

development of new or revised IFFs and is provided for informational purposes. This 

attachment does not need to be included in the State Plan/Amendment submittal. 

EFFECTIVE DATE: Immediately 

INQUIRIES: Address inquiries to Regional Administrators on Aging, 

DHHS Regional Offices 

Kathy Greenlee 

Assistant Secretary for Aging 

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FY 2012 State Plan Guidance 

Attachment A 

STATE PLAN ASSURANCES, REQUIRED ACTIVITIES AND 

INFORMATION REQUIREMENTS 

Older Americans Act, As Amended in 2006 

By signing this document, the authorized official commits the State Agency on Aging to 

performing all listed assurances, required activities and information requirements as 

stipulated in the Older Americans Act, as amended in 2006. 

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 older 

individuals, including low-income minority older individuals, older individuals with 

limited English proficiency, 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. 

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(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, health services 

(including mental health services), outreach, information and assistance (which may 

include information and assistance to consumers on availability of services under 

part B and how to receive benefits under and participate in publicly supported 

programs for which the consumer may be eligible), 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)(I) provide assurances that the area agency on aging will— 

(aa) set specific objectives, consistent with State policy, for providing services to older 

individuals with greatest economic need, older individuals with greatest social need, 

and older individuals at risk for institutional placement; 

(bb) include specific objectives for providing services to low-income minority older 

individuals, older individuals with limited English proficiency, and older individuals 

residing in rural areas; and 

(II) include proposed methods to achieve the objectives described in items (aa) and 

(bb) of subclause (I); 

(ii) 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, older individuals with limited English proficiency, and older 

individuals residing in rural areas in the area served by the provider; 

Page 8 of 22 
(II) to the maximum extent feasible, provide services to low-income minority 

individuals, older individuals with limited English proficiency, 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, older individuals with limited English 

proficiency, and older individuals residing in rural areas within the planning and 

service area; and 

(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 lowincome 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 proficiency; 

(VI) older individuals with Alzheimer’s disease and related disorders with neurological 

and organic brain dysfunction (and the caretakers of such individuals); and 

(VII) older individuals at risk for institutional placement; and 

(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, and individuals at risk for institutional placement, with agencies that 

develop or provide services for individuals with disabilities. 

(6)(F) Each area agency will: 

in coordination with the State agency and with the State agency responsible for mental 

health services, increase public awareness of mental health disorders, remove barriers to 

diagnosis and treatment, and coordinate mental health services (including mental health 

screenings) provided with funds expended by the area agency on aging with mental 

Page 9 of 22 
 

health services provided by community health centers and by other public agencies and 

nonprofit private organizations; 

(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 

Page 10 of 22 
 

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) provide assurances that funds received under this title will be used- 

(A) to provide benefits and services to older individuals, giving priority to older 

individuals identified in paragraph (4)(A)(i); and 

(B) in compliance with the assurances specified in paragraph (13) and the 

limitations specified in section 212; 

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. 

Page 11 of 22 
 

(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; 

(B) 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. 

Page 12 of 22 
 

 

(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, 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, including 

the number of low income minority older individuals with limited English proficiency; 

and 

(B) describe the methods used to satisfy the service needs of the low-income minority 

older individuals described in subparagraph (A), including the plan to meet the needs 

of low-income minority older individuals with limited English proficiency. 

(15) 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— 

(A) 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 lowincome older individuals, including low-income minority older individuals, older 

individuals with limited English proficiency, and older individuals residing in rural areas; 

-- 

(iii) older individuals with greatest social need (with particular attention to low-income 

older individuals, including low-income minority older individuals, older individuals 

with limited English proficiency, 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 and related disorders with neurological 

and organic brain dysfunction (and the caretakers of such individuals); and 

(B) inform the older individuals referred to in clauses (i) through (vi) of subparagraph 

(A), and the caretakers of such individuals, of the availability of such assistance. 

Page 13 of 22 
 

(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 

--

-- 

Page 14 of 22 
 

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. 

(27) The plan shall provide assurances that area agencies on aging will provide, to the 

extent feasible, for the furnishing of services under this Act, consistent with selfdirected care. 

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 

Page 15 of 22 
 

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. 

Page 16 of 22 
 

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)(26), 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 Department of Labor Senior Community 

Service Employment Program participants, and programs and services of voluntary 

organizations) have the capacity and actually meet such need; 

(4) The plan shall provide that the State agency will conduct periodic evaluations of, and 

public hearings on, activities and projects carried out in the State under this title and title 

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 older individuals, older individuals with limited English 

proficiency, 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. 

Page 17 of 22 
 

 

 

 

INFORMATION REQUIREMENTS 

Section 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) 

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 older individuals, including low-income minority older 

individuals, older individuals with limited English proficiency, and older individuals 

residing in rural areas) and include proposed methods of carrying out the preference in 

the State plan; 

Section 306(a)(17) 

Each Area Plan will include information detailing how the Area Agency will coordinate 

activities and develop long-range emergency preparedness plans with local and State 

emergency response agencies, relief organizations, local and State governments and other 

institutions that have responsibility for disaster relief service delivery. 

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 

(c) 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: 

Page 18 of 22 
 

 

(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)(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 307(a)(28) 

(A) The plan shall include, at the election of the State, an assessment of how prepared the 

State is, under the State’s statewide service delivery model, for any anticipated change in 

the number of older individuals during the 10-year period following the fiscal year for 

which the plan is submitted. 

(B) Such assessment may include— 

(i) the projected change in the number of older individuals in the State; 

(ii) an analysis of how such change may affect such individuals, including individuals 

with low incomes, individuals with greatest economic need, minority older individuals, 

Page 19 of 22 
 

 

older individuals residing in rural areas, and older individuals with limited English 

proficiency; 

(iii) an analysis of how the programs, policies, and services provided by the State can be 

improved, including coordinating with area agencies on aging, and how resource levels 

can be adjusted to meet the needs of the changing population of older individuals in the 

State; and 

(iv) an analysis of how the change in the number of individuals age 85 and older in the 

State is expected to affect the need for supportive services. 

Section 307(a)(29) 

The plan shall include information detailing how the State will coordinate activities, and 

develop long-range emergency preparedness plans, with area agencies on aging, local 

emergency response agencies, relief organizations, local governments, State agencies 

responsible for emergency preparedness, and any other institutions that have 

responsibility for disaster relief service delivery. 

Section 307(a)(30) 

The plan shall include information describing the involvement of the head of the State 

agency in the development, revision, and implementation of emergency preparedness 

plans, including the State Public Health Emergency Preparedness and Response Plan. 

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 

Page 20 of 22 
 

 

 

___________________________________________ ____________________ 

 

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. 

Signature and Title of Authorized Official Date 

Page 21 of 22 
 

FY 2012 State Plan Guidance 

Attachment B 

INTRASTATE (IFF) FUNDING FORMULA REQUIREMENTS
 

Each State IFF submittal must demonstrate that the requirements in Sections 

305(a)(2)(C) have been met: 

OAA, Sec. 305(a)(2) 

“States shall, 

(C) in consultation with area agencies, in accordance with guidelines issued by 

the Assistant Secretary, and using the best available data, develop and publish for 

review and comment a formula for distribution within the State of funds received 

under this title that takes into account

 (i) the geographical distribution of older individuals in the State; and 

 (ii) the distribution among planning and service areas of older individuals with 

greatest economic need and older individuals with greatest social need, with 

particular attention to low-income minority older individuals.” 

-- 

•	 For purposes of the IFF, “best available data” is the most recent census data (year 

2000 or later), or more recent data of equivalent quality available in the State. 

•	 As required by Section 305(d) of the OAA, the IFF revision request includes: a 

descriptive Statement; a numerical Statement; and a list of the data used (by 

planning and service area). 

•	 The request also includes information on how the proposed formula will affect 

funding to each planning and service area. 

•	 States may use a base amount in their IFFs to ensure viable funding for each Area 

Agency but generally, a hold harmless provision is discouraged because it 

adversely affects those planning and service areas experiencing significant 

population growth. 

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