State Plan on Aging Guidance Update & Corrective Action Plan Overview
This overview covers the State Plan on Aging Guidance Update and Corrective Action Plan, detailing key processes, participants, and important dates related to the Administration on Aging's efforts. It includes information on data collection, federal publication announcements, and program management templates essential for OAA compliance.
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State Plan on Aging Guidance Update & Corrective Action Plan Overview Kari Benson, Deputy Assistant Secretary for Aging, Administration on Aging (AoA), ACL Nicole Becerra, Aging Services Program Specialist, AoA, ACL Chris Mitchell, Aging Services Program Specialist, AoA, ACL Rhonda Schwartz, Regional Administrator, Region II, Center for Regional Operations (CRO) ACL October 29, 2024
Housekeeping This webinar is being recorded The recording and slides from today's webinar will be posted in the coming weeks at https://acl.gov/OAArule. All attendees are in listen only mode & chat feature is disabled. Place all questions in the Question & Answer (Q&A) box Questions will be answered live, time permitted American Sign Language (ASL) and Communication Access Realtime Translation (CART) services are provided. If needed, please click the appropriate option along the bottom of your Zoom screen.
Welcome Kari Benson, Deputy Assistant Secretary for Aging, AoA, ACL
Agenda Information Collection State Plan on Aging Guidance Update Corrective Action Plan Process Summary and Resources Please note: When a hyperlink is provided on a slide, the notes section will include the full website link.
Information Collection Published in the Federal Register
Information Collection (IC) in the Federal Register related to OAA Programs 60-day notice published in the Federal Register (FR) on October 18, 2023 30-day notice published in the FR on September 26, 2024 Public comment period closed October 28, 2024 IC included the following instruments: New State Plan Guidance (SPG) for 2024; Corrective Action Plan (CAP) template & instructions; and Financial forms and instructions related to OAA program management.
Background The Older Americans Act (OAA) originally passed in 1965. Established authority for grants to states for: community planning and social services research and development projects personnel training in the field of aging Section 307 of the OAA, as amended in 2020, authorizes the Assistant Secretary for Aging (ASA) to prescribe criteria for State Plan on Aging (State Plan) development and content. The OAA provides the foundation for the National Aging Network, which includes the Administration on Aging (AoA), state unit on aging (SUAs), area agencies on aging (AAAs), tribal organizations, service providers and volunteers.
State Plan Guidance (1) This guidance is for any new State Plan taking effect on or after October 1, 2025. This guidance is consistent with the OAA as amended in 2020 and reflects changes to the OAA program regulations (effective date March 15, 2024; compliance date October 1, 2025) at 45 Code of Federal Regulations (CFR) part 1321 et seq.
State Plan Guidance (2) SUAs are the designated agencies responsible for developing and administering a multi-year State Plan State Plans (OAA Section 307; 45 CFR 1321.27): Document the tangible outcomes expected Translate activities, data, and outcomes into proven best practices Provide a blueprint for coordination and advocacy activities Build capacity for long-term care efforts in the state
State Plan Deadlines State Plan Related Action Regular Timeframes 2025 Deadlines Suggested Public Hearing(s) to be completed Suggested: 180 Days prior Suggested: 4/1/2025 At least one draft version submitted to Regional Office Final version, signed by Governor, submitted to Regional Office Effective Date 120 Days prior 6/1/2025 90 Days prior 7/1/2025 Federal Fiscal Year (FFY) 10/1/2025
New Four-Year State Plan Year Federal Fiscal Year (FFY) Timeframes Year 1 FFY 2026 10/1/25 9/30/26 Year 2 FFY 2027 10/1/26 9/30/27 Year 3 FFY 2028 10/1/27 9/30/28 Year 4 FFY 2029 10/1/28 9/30/29
States with Plans Due in 2025 California Florida Illinois Iowa Kansas Maryland Massachusetts New Jersey New Mexico Puerto Rico South Carolina South Dakota Tennessee Texas West Virginia Wisconsin Wyoming
States with Plans Due in 2026 Arizona Indiana Michigan Mississippi North Dakota Ohio Oklahoma Oregon Rhode Island Vermont
States with Plans Due in 2027 Alaska American Samoa Arkansas Colorado Connecticut District of Columbia Georgia Guam Hawaii Louisiana Minnesota Missouri Montana Nebraska New Hampshire New York North Carolina Northern Mariana Islands Utah Virginia Washington
States with Plans Due in 2028 Alabama Delaware Idaho Kentucky Maine Nevada Pennsylvania
State Plan Content Verification of Intent Narrative Key Topic Areas Attachments Attachment A State Plan Assurances Attachment B Information Requirements Responses Attachment C Intrastate Funding Formula (IFF) / Funds Distribution Plan Attachment D Geographic Boundaries Attachment E Public Comment Supplemental Data Sources, Analysis
State Plans (1) Verification of intent Governor or designee Narrative 1. Executive summary (3 pages) 2. Context 3. Stewardship & oversight New!
State Plans (2) 4. Goals, Objectives, Strategies & Outcomes Goals visionary Objectives specific, measurable, attainable, relevant, timely Strategies how to achieve goals & objectives Outcomes measurable benefits for older adults Should be classified as short, intermediate, and long-term outcomes Prior ACL Training: Measuring Progress Towards Achieving Your State Plan Goals/Objectives: Slides, Video, Transcript.
State Plans (3) Key Topic Areas 1. OAA Core Programs 2. Greatest Economic Need (GEN) and Greatest Social Need (GSN) 3. Expanding Access to Home and Community Based Services (HCBS) 4. Caregiving
Key Topic Area 1: OAA Core Programs All core programs by each subtitle of Title III and VII must be addressed in the State Plan. Title III areas to address include: Age & dementia friendly efforts; Malnutrition; Assistive technology; and Coordination with Title VI programs, the Title V Senior Community Service Employment Program (SCSEP), and other OAA programs Title VII areas to address include: Preventing, detecting, assessing, intervening, and/or investigating elder abuse, neglect, and exploitation (ANE); Multi-disciplinary responses to ANE General areas to address include: Integrating core programs with ACL s discretionary grant programs; Strengthening and/or expanding Title III & VII services
Key Topic Area 2: Greatest Economic Need and Greatest Social Need Determining need and effectiveness of services; conducting outreach to identified populations; targeting services to those who meet the SUA s definitions of GEN and GSN Impacting social determinants of health of older individuals Ensuring meal adjustments for cultural considerations/preferences; providing medically tailored meals; and offering home-delivered meal participants the option to participate in and attend congregate meals and other activities Serving older adults living with HIV/AIDS Supporting participant-directed/person-centered planning for older adults and their caregivers Incorporating innovative practices that increase access to services; and Educating about the prevention of, detection of, and response to negative health effects associated with social isolation
Key Topic Area 3: Expanding Access to Home and Community Based Services Managed in-home and community-based long-term care (LTC) services Promoting a comprehensive system of LTC Facilitate the coordination of community-based, LTC services for older individuals Incorporating aging network services with HCBS funded by other entities such as Medicaid
Key Topic Area 4: Caregiving Strengthening and supporting the direct care workforce Implementing the actions in the National Strategy to Support Family Caregiving Coordinating Title III caregiving efforts with the Lifespan Respite Care program Coordinating with the National Technical Assistance Center on Grandfamilies and Kinship Families
State Plan Attachments (A, B) Attachments to the State Plan: Attachment A - State Plan Assurances and Required Activities. This is signed by the SUA Director. Attachment B - Information Requirements includes specific information requirements related to development / implementation of the State Plan.
State Plan Attachment B: Information Requirements 9. Assessment of Statewide Service Delivery Model 1.GEN & GSN 15. Public Input and Review 2.Native Americans: GEN & GSN 16. Program Development and Coordination Activities (Optional) 10. Shelf Stable, Pick-Up, Carry-Out, Drive-Through, or Similar Meals Using Title III Congregate Nutrition (C- 1) Service Funding (Optional) 3.Activities to Increase Access and Coordination for Native American Older Adults 17. Legal Assistance Developer 18. Emergency Preparedness Plans Coordination and Development 4.Low Income Minority Older Adults 11. Funding Allocation Ombudsman Program 5.Rural Areas Hold Harmless 19. Emergency Preparedness Plans Involvement of the head of the State agency 6.Rural Areas Needs and Fund Allocations 12. Funding Allocation Elder ANE 7.Assistive Technology 13. Monitoring of Assurances 8.Minimum Proportion of Funds 14. State Plans Informed By and Based on Area Plans
State Plan Attachments (C) Attachment C - IFF/Funds Distribution Plan Requirements This includes funds set aside for disasters; IFF description statement must apply GEN and GSN definitions; Definitions of the terms used in the mathematical formula are required; and Including a justification in the funds distribution plan, if the single planning and service area (PSA) state determines it meets requirements to provide services directly.
State Plan Attachments (D, E) Attachment D - Identification of Geographic Boundaries. Does not apply to single PSA states. Attachment E - Evidence of Providing Minimum Comment Period. Demonstration of compliance with the minimum of at least thirty (30) calendar days, absent a waiver, for public review and comment on the new State Plan that is required pursuant to 45 CFR 1321.29(c). New!
State Plan (Other Topic Reallocation of Funds) Reallocation of funds (45 CFR 1321.49(e)(6)) If a AAA voluntarily returns funds: The AAA must provide evidence that its governing board or chief elected official approves the return of funds; Funds must be made available to all AAAs who request funds available for reallocation; The IFF shall be proportionally adjusted based on AAAs that request redistributed allocations; and Title III funds subject to reallocation may only be reallocated to AAAs via the proportionally adjusted IFF.
State Plan Amendments (1) 8. State Plans Informed by and Based on Area Plans Public Input and Review 10. Evidence of Providing the Minimum Public Comment Period for Public Review of the State Plan 11. Program Development and Coordination Activities (Optional) 12. Legal Assistance Developer 13. Identification of the Geographic Boundaries 14. IFF (For SUAs with Multiple PSAs) (please include a copy of the IFF) 15. Funds Distribution Plan (For Single PSA SUAs) For SUAs that do not have a State Plan due to take effect on October 1, 2025, it will be necessary to amend the State Plan by October 1, 2025, in order to comply with the OAA Final Rule. 9. Required Information List: 1. GEN and GSN 2. Native Americans: GEN & GSN 3. Activities to Increase Access and Coordination for Native American Older Adults 4. Shelf Stable, Pick-Up, Carry-Out, Drive- Through, or Similar Meals Using Title III Congregate Nutrition (C-1) Service Funding (Optional) 5. Funding Allocation Ombudsman Program 6. Funding Allocation Elder ANE 7. Monitoring of Assurances
State Plan Amendments (2) Require prior approval by ASA Do not require prior approval by ASA; Only require notification A significant change in a state law, organization, policy, or SUA operation A change in the name or organizational placement of the SUA Distribution of State Plan administration funds for demonstration projects Change in PSA designation New or revised statutes or regulations as determined by the ASA An addition, deletion, or change to a state s goal, assurance, or information requirement statement A change in the state s IFF or funds distribution plan A request to waive State Plan requirements Other changes as required by guidance as set forth by the ASA Change in AAA designation Exercising of major disaster declaration flexibilities, as set forth in 1321.101
State Plan Amendments (3) For State Plan amendments that require ASA approval: Proposed State Plan amendments that require approval must be available for a minimum of thirty (30) calendar days for public review and comment. Submit draft of plan amendment to assigned ACL Regional Office (RO): At least 120 calendar days prior to the proposed effective date For compliance by FFY 2026 Draft version submitted to RO: 6/1/25 Submit plan amendment to assigned ACL RO for approval by the ASA: At least 90 calendar days prior to the proposed effective date For compliance by FFY 2026 Final version, signed by Governor, submitted to RO: 7/1/25 For State Plan amendments that do not require ASA approval: Submit plan amendment to the appropriate ACL RO within 30 days of the action. The RO will review the amendment to confirm the contents do not require approval and acknowledge receipt of the State Plan amendment by notifying the head of the SUA in writing.
OAA Final Rule Effective & Compliance Dates Effective Date: 30 days after publication in the Federal Register, March 15, 2024. Compliance Date: October 1, 2025. Corrective Action Plan: SUAs who are unable to comply with the final rule by the October 1, 2025, date will have the ability to submit a CAP to ACL that, if approved, provides additional time to achieve compliance. We look forward to providing robust technical assistance and working with SUAs on implementation of the final rule.
Corrective Action Plans - Instructions The CAP process is intended to be collaborative. ACL also expects that SUAs will make a good faith effort at achieving full compliance. The SUA must use ACL s CAP template. A cover letter must accompany the CAP, and: Be on grantee letterhead, signed by highest ranking management official (i.e., SUA director) and LTC Ombudsman (as applicable) Contain certain confirmations (i.e., good faith efforts, collaborate with ACL, provide progress updates) Contain projected completion date The proposed CAP and cover letter must be submitted to the SUA s ACL Regional Administrator by October 1, 2025.
CAP Form: Example #1 (1) B COMPLIANCE ISSUE AND SPECIFIC EXPLANATION OF NEED FOR TIME TO COMPLY a) 45 CFR 1321.29(c) requires the SUA to establish and comply with a reasonable minimum time period (at least 30 calendar days) for public review and comment on new State Plans and State Plan amendments (SPAs) that require approval of the Assistant Secretary for Aging (ASA). The SUA is not able to comply with this requirement, because State Statute XXX limits such time period to a maximum of 15 calendar days. b) The SUA requests until July 1, 2026, to amend Statute XXX to allow a minimum time period of at least 30 calendar days for public review and comment on new State Plans and SPAs under the Older Americans Act (OAA) that require approval of the ASA. c) The state legislature will need to act to amend Statute XXX to comply with the minimum time period for public review and comment as set forth in 45 CFR 1321.29(c). The legislature meets every two years from January through June and next will meet in January 2026.
CAP Form: Example #1 (2) C GRANTEE S ACTION STEPS TO ADDRESS COMPLIANCE ISSUE(S) WITH PROJECTED COMPLETION DATE FOR EACH STEP a) SUA drafts proposed amendment to Statute XXX that will permit the SUA to provide a minimum time period of at least 30 calendar days for public review and comment on new State Plans and SPAs under the OAA that require approval of the ASA and obtains necessary approvals to submit the amendment to the legislature. Complete by November 30, 2025. b) SUA submits the amendment to the legislature for consideration during the 2026 legislative session. Complete by 01/02/2026. c) Amendment approved by legislature and in effect. Complete by July 1, 2026.
CAP Form: Example #2 (1) B COMPLIANCE ISSUE AND SPECIFIC EXPLANATION OF NEED FOR TIME TO COMPLY a) 45 CFR 1324.303(d)(2)(i) prohibits the SUA from designating a Legal Assistance Developer (LAD) who holds a position or perform[s] duties that could lead to decisions that are or have the potential of being contrary to the [LAD] s duties. Specifically, 45 CFR 1324.303(d)(3)(i) prohibits the SUA from appointing an LAD who is also serving as a director of adult protective services, or as legal counsel of adult protective services . The SUA currently employs one individual to serve as the LAD at 0.5 FTE, and as counsel for the adult protective services program at 0.5 FTE. b) SUA requests until April 30, 2026, to reorganize the staffing assignments to eliminate the issues noted in #1 above. c) SUA has decided to reorganize current staffing assignments to comply with 45 CFR 1324.303(d)(2)(i) and 45 CFR 1321.303(d)(3)(i). The change requires a comprehensive review of state and federal laws and regulations addressing the position requirements for a director of adult protective services and LAD, as well as requirements for the administration of programs within their respective offices. Approvals of changes to agency staffing organization and training of staff in new assignments also may be needed.
CAP Form: Example #2 (2) C GRANTEE S ACTION STEPS TO ADDRESS COMPLIANCE ISSUE(S) WITH PROJECTED COMPLETION DATE FOR EACH STEP a) SUA will review 45 CFR 1324.303(d)(2)(i) and 45 CFR 1321.93(d)(3), as well as all other applicable state and federal requirements related to the position requirements for a director of adult protective services and LAD, will draft proposed job descriptions for LAD and director of adult protective services positions to ensure mandated programmatic responsibilities are adequately addressed. Complete by December 1, 2025. b) SUA will draft a new organizational chart integrating the modified positions which comply with 45 CFR 1324.303(d)(2)(i) and 45 CFR 1321.93(d)(3) and other relevant state and federal requirements, will evaluate current staff and budget to determine new staffing assignments, and will obtain all needed internal (departmental) approvals of the revised position descriptions. Complete by March 1, 2026. c) SUA will complete all necessary steps (e.g., training) to have new staffing assignments effective. Complete by April 30, 2026.
Resources Coming soon: Updated SPG, CAP template & instructions, slides and recording of this webinar Older Americans Act The Older Americans Act Final Rule ACL's OAA Regulations webpage: https://acl.gov/OAArule, including ACL s Back to Basics webinar on State Plans on Aging, Area Plans on Aging, Intra- and Inter-state Funding Formulas Recordings of webinars Information on upcoming webinars or trainings: Save the date for November 7th at 2pm Eastern for the next Back to Basics webinar on Contracts and Commercial Relationships Fact sheets Additional resources, for example: Title III Select Topic Areas to Review for SUAs
Acronyms / Abbreviations Abuse, neglect, and exploitation ANE Intrastate Funding Formula IFF Administration on Aging AoA Legal Assistance Developer LAD Area Agency on Aging AAA Long-term care LTC Assistant Secretary for Aging ASA Long-term services and supports LTSS Code of Federal Regulations CFR Older Americans Act OAA, the Act Corrective Action Plan CAP Planning and service area PSA Federal Fiscal Year FFY Regional Office RO Federal Register FR Senior Community Service Employment Program State Plan Guidance SCSEP Full-time equivalent FTE SPG Greatest economic need GEN State Plan on Aging SPoA, State Plan SPA Greatest social need GSN Home- and community-based services HCBS State Plan amendment Information Collection IC State Unit on Aging SUA
