Ombudsman Program Fiscal Policy Louise Ryan, Ombudsman Program Specialist (202) 357-3503 Louise.ryan@aoa.hhs.gov U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES, ADMINISTRATION ON AGING

Older American’s Act Allocations Ombudsman programs are federally funded under Titles III and VII of the Act. Title VII: Allotments for Vulnerable Elder Rights Activities- Chapter II – Ombudsman Chapter III – Elder Abuse U.S. Department of Health and Human Services, Administration on Aging, Washington DC 20201 PHONE 202.619.0724 | FAX 202.357.3555 | EMAIL aoainfo@aoa.gov | WEB www.aoa.gov

OAA Funding Provisions: State Minimum Funding, Sec. 307(a)(9): States must expend on their statewide Ombudsman Programs no less than they expended in Title III-B and Title VII funds for FY 2000. All of the Title VII Ombudsman Funds for a specific year must be used on direct costs of the Ombudsman Program State may not use Ombudsman Title VII funding to supplant, replace, or in substitution for any other Federal or State Funding. Discuss how this is a minimum funding, not a maintenance of effort requirement and that it changed in the 2000 amendments – used to say “from all sources” – now says “funds received (by the state agency) under this title”

OAA Funding Provisions, cont. Title VII Non-Supplantation, Section 705(a)(4): In order to be eligible to receive an allotment under this subtitle, a State shall include in the State plan submitted under section 307 an assurance that the State will use funds made available under this subtitle 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 enactment of this subtitle, to carry out each of the vulnerable elder rights protections activities described in this chapter.

OAA Funding Provisions Authorization for States to use Title-III funds, Section 304 (d)(1): From any state’s allotment, after the application of section 308(b), under this section for any fiscal year... (B) such amount (excluding any amount attributable to funds appropriated under section 303(a)(3)) as the State agency determines to be adequate for conducting an effective ombudsman program under section 307(a)(9) shall be available for conducting such program.

OAA Funding Provisions, cont. Area Agency Minimum Funding, Section 306 (a)(9): Each AAA must expend on activities of the Ombudsman Program not less than the amount of Title III funds expended by the AAA in FY 2000.

Title VII Fiscal Guidance From Program Instruction (PI)-94-02, Allowable Uses of Title VII, Chapter 3 Funds States may use any portion of their Title VII, Chapter 3 abuse prevention allotment to fund specific, identifiable activities conducted by any public or private non-profit program or agency, including adult protective services and ombudsman programs, which directly correspond to the abuse prevention activities outlined in Section 721(b) of the Act.

Additional Fiscal Guidance From PI-94-02 Title III funds utilized by the State under Section 304(d)(1)(B) must be used to support activities of the Ombudsman Program, as defined in Section 712 of the Act, at either the State level or at the local level for statewide program development. These funds are not subject to the intrastate funding formula. First bullet is really important – can’t just call anything “ombudsman” and use the OAA funding designated for the program – these funds must be used for the program as it’s defined in the law. If a state expands the program, they must do so with additional resources.

Additional Fiscal Guidance From PI-94-02, cont. Use of Title VII funding for involuntary services to, or coerced participation in, Title VII-funded programs by alleged victims, abusers or their households, is strictly prohibited. Use of any of the Title VII ombudsman allotment to fund activities which are not authorized under Section 712 of the Act and conducted by the Ombudsman Program or a grantee or contractor of the Ombudsman Program is prohibited.

Additional Fiscal Guidance PI-94-02 The intrastate funding formula does not apply to Title VII funds. States may not include any Title VII funding in their calculation of funds available for State plan administration. Title VII funds should not and may not be included in the base amount used to calculate the ten percent limitation on the use of funds for area plan administration under the provisions of Section 304(d)(1)(A).

Additional Fiscal Guidance From PI-94-02, cont. There is no Federal matching requirement for Title VII funds. States are not precluded from requesting a match to Title VII funds which they award by grant or contract to another agency or organization.

Annual State Funding Certification: Example State Agency Expenditures: In accordance with Sections 307(a)(9) and 705(a)(4) of the Older Americans Act (OAA), I certify that for Fiscal Year 20__ the State/Territory of [state name] expended on its statewide Long-Term Care Ombudsman Program not less than an amount expended by the State agency with funds received under Title III for Fiscal Year 2000, that all Title VII Chapter 2 funds that were expended were expended on the Long-Term Care Ombudsman Program, and that Title VII expenditures supplemented and did not supplant any Federal, State or local funds expended by the State or unit of general purpose local government to provide ombudsman services. States typically certify in the summer. AoA Regional completes the fiscal section – both SUA and State LTCO will sign

Funding Certification Example Continued Area Agency Expenditures: I further certify that, in compliance with Section 306(a)(9) of the OAA, each area agency on aging in the State which expended Title III funds received under Section 304 (d)(1)(D) of the Act on ombudsman activities in FY 2000 expended at least this amount on the Ombudsman Program, as defined in Section 712 of the OAA, during the past fiscal year and that these expenditures supplemented and did not supplant any Federal, State or local funds expended by the State or unit of general purpose local government to provide ombudsman services. Explain that we provide their FY 2000 expenditures for reference and give them all the OAA citations, including that from the congressional authorizing committee that shows the intent that they not spend less than they did in FY 2000.

Annual State Funding Certification: __________________________________ Signature of authorized State official Date ________________________________ Signature of State Long-Term Care Ombudsman Date U.S. Department of Health and Human Services, Administration on Aging, Washington DC 20201 PHONE 202.619.0724 | FAX 202.357.3555 | EMAIL aoainfo@aoa.gov | WEB www.aoa.gov

*Title VII, Chapter 2, Ombudsman $__________ For reference, the following represents your state’s expenditures for FY 2000 as previously reported to the Administration on Aging: Source Base Year (FY 2000) *Title VII, Chapter 2, Ombudsman $__________ Title VII, Chapter 3, Abuse Prev. $__________ *Title III, expended by State, as $__________ authorized in OAA, Sec.304(d)(1)(B) $__________ *Title III provided at AAA level $__________ Other Federal $__________ State funds  $__________ Local (Does not include “in kind”) $__________  TOTAL $__________ This is the information that both the Authorized State Official and the State Long-Term Care Ombudsman will sign.  *Expenditures of these funds are subject to minimum funding requirements in the Older Americans Act (2006 Authorization). FY 20__expenditures must have met or exceeded these amounts.

Questions? U.S. Department of Health and Human Services, Administration on Aging, Washington DC 20201 PHONE 202.619.0724 | FAX 202.357.3555 | EMAIL aoainfo@aoa.gov | WEB www.aoa.gov