FY 2014 Reporting Requirements Luigi S. Procopio, Project Officer, DMHAP Steven Young, Director, DMHAP Adeola Fawehinmi, Project Officer, DMHAP Keisha Johnson, Project Officer, DMHAP Mark Peppler, Project Officer, DMHAP Amelia Khalil, Project Officer, DMHAP Department of Health and Human Services Health Resources and Services Administration HIV/AIDS Bureau

Housekeeping Rules Turn off your computer’s speakers and listen to the audio from your phone. Please hold all questions until the designated “Checkpoint” breaks. All of the documents and spreadsheets depicted during today’s presentation will be available for downloading at the end of this webinar. In the near future, a replay of today’s webinar can be viewed at the TARGET Center website at

Announcements 2015 FOA; National Monitoring Standard; Carryover and Federal Financial Report; Final Award – ORC scores & summary statements; ACA Updates; FY 2015 TA Cooperative Agreement; Other – Ponce; HAB/DMHAP move; and, Staff changes

Questions

Agenda Program Terms Components o Part A & Minority AIDS Initiative (MAI) Planned Allocations Table o Planning Council Membership Roster o Revised SF 424A and Budget Narrative o FY 2014 Implementation Plan o Consolidated List of Contractors (CLC) o Contract Review Certification (CRC) o Local Pharmaceutical Assistance Program (LPAP) Profile Women, Infants, Children and Youth (WICY) Expenditure Table Final Expenditure Table FFR Updates Carryover Request

Program Terms Report Components

Part A & MAI Planned Allocation Table Purpose: Serves as a tool used by grantees to report their allocation of Ryan White HIV/AIDS Program (RWHAP) funds, in accordance with the conditions of the award. The allocation table: Identifies categories of services that are being funded Compares allocation table with prior year’s for trends and changes in the type of services being funded

Part A & MAI Planned Allocation Table What does an Allocation Table depict? Dollar amounts allocated for the RWHAP for the current fiscal year (FY 2014), including MAI amounts Prioritized funding set by the planning council/planning body with regard to the 75/25 rule (applies to both Part A & MAI) Administrative and Clinical Quality Management (CQM) dollars

Allocations Table Verify Grantee Information Verify Award Amount = Total Grant Award Verify Total Amts & %’s are Accurate Verify Svc Categories & Amounts Match Implementation Plan Verify 75% Requirement Met (unless waiver), after 10% Admin and 5% CQM Deducted. Verify 25% Requirement Met (unless waiver) CQM Amt = CQM Amt on SF-424A and Narrative and is ≤ 5% or $3 million, whichever is less Administration ≤ 10% Total Svcs Allocation = Total Contractual HIV Svcs in Budget Narrative & SF-424A Total Allocation = Total Award Amt

Part A & MAI Planned Allocation Table Legislative Requirements Shows allocations as a percentage of award for specific categories as outlined in the Ryan White HIV/AIDS Treatment Extension Act of 2009 Grantees should use the table to determine whether or not the following legislative requirements have been met o 10% administrative cap o $3 million or 5% CQM cap o 75% CM services after Admin and CQM Cap

Part A & MAI Planned Allocation Table - Checkpoints Before submitting your Allocation Table, compare the following: Make sure the current year template is used Verify Total Part A Funds (section B) equals the Total Allocations under Combined Total (section C5) o Total award amount by type of funding can be found on the Final NOA Compare the allocations table to the: o Implementation plan o SF 424A o Budget narrative

Planning Council Membership Roster Purpose: Lists membership of the Planning Council (PC) to report on representation and its reflectiveness of the HIV/AIDS epidemic in the EMA/TGAs. Key Criteria of the PC Roster: Membership Category/Agency Affiliation Name Race/Ethnicity Term Gender

Planning Council Membership Roster Section 2602(b)(1) of the Ryan White HIV/AIDS Treatment Extension Act of The chief elected official shall establish or designate an HIV health services planning council that shall reflect in its composition the demographics of the population of individuals with HIV/AIDS in the eligible area involved, with particular consideration given to disproportionately affected and historically underserved groups and subpopulations See Section 2602(b)(2) for an entire list of membership categories

Planning Council Membership Roster Membership nominations on the council must be done through an open process and candidates shall be selected based on locally delineated and publicized criteria The selection process shall include a conflict-of-interest standard, see Section 2602(b)(1) for a detailed list of standards

Planning Council Membership Roster - Checkpoints Before submitting your PC roster, ensure compliance with the following: Roster accurately reflects key PC membership criteria o 33% of PC are non-aligned people living with HIV (PLWH) consumer, accessing Part A services Non-aligned means there is no benefitting party affiliation with the PLWH consumer o PC as a whole, including the 33% PLWH non-aligned consumers, must reflect HIV/AIDS demographics

Planning Council Membership Roster – Checkpoints (cont.) The mandated membership categories are fulfilled o If membership categories are not fulfilled, grantee must document their plan to compile with this requirement Conflict of interest standard is applied to the administration of the planning council

SF 424A Purpose: A reporting tool that captures award amounts in the appropriate budget categories and object class categories for the current fiscal year. Budget Categories: Administration, Clinical Quality Management, HIV Services, MAI Object Class Categories: Personnel, Fringe Benefits, Travel, Equipment, Supplies, Contracts, Other, Indirect Costs, and Program Income

SF 424A

SF 424A - Checkpoints Before submitting your SF 424A, ensure compliance with the following: Appropriate budget categories are used SF 424A amounts correspond with: o Notice of Award (NoA) o Amount on the Budget Narrative o Amount on Contract Review Certification o Allocations Report To access the SF 424A form, use the U.S. Public Health Service Grant Application Packet (Form PHS )

Budget Narrative Purpose: A reporting tool that provides justification for all budgeted line items with regard to: Administration Clinical Quality Management HIV services MAI

Budget Narrative “Justification Column”- Used to document the following: 1)Description of how the amounts requested for each object class category (line item) in the budget support the achievement of proposed objectives. ** Previously this was documented under the object class category found under the far left column. This year, we are requesting grantees to include all descriptive content in the justification column found on the right side of the budget narrative table. The justification column should document the description for the following object class categories (line items): Personnel, Fringe Benefits, Travel, Equipment, Supplies, Contractual, Other and Indirect Costs. 2) Description of how the efforts/activities for each object class category (line item) make a contributing impact to support the Part A HIV/AIDS service delivery system. Comments should describe why it is important to have this position under the Part A program, the materials identified, rationale for the quantity and the activities that are making a contributing impact.

Budget Narrative Under the Personnel Object Class Category, all costs must include the name, position title & FTE allotment. 1)Description of how the amounts requested for line item in the budget will support the achievement of the proposed objectives 2) Clearly explain how each activity impacts the Part A HIV service delivery system

Budget Narrative – Checkpoints Before submitting your Budget Narrative, ensure compliance with the following: Administrative cost ≤10% Clinical Quality Management ≤ 5% or $3 million, whichever is less Cross reference with Allocations Table and SF 424A Personnel Personnel cost include the name, position, title & FTE allotment and responsibilities if not full time equivalency and include percent of time and effort as documented in the justification column Award funds were not used to pay the salary of an individual at a rate in excess of Executive Level II or $181,500 or $87/hour

Questions

Implementation Plan Purpose: Identifies program goals, objectives, and outcomes that are achieved through the provision of prioritized and funded core medical and support services.

Implementation Plan Key Components Goals Objectives Outcomes Service Category: Name Priority Number Allocation Amount Service Unit Definition Number of Units Provided Number of People Served Time Frame Funding / Objective

Implementation Plan Goals Goals are broad statements that: Define what you want to accomplish Are concise and easy to understand Provide the framework for the objectives

Implementation Plan Objectives pecific easurable ttainable ealistic ime Sensitive An objective describes how you will accomplish your goal.

Implementation Plan Outcomes An outcome: Is the results or consequences of the implemented objective(s) Reflects the results of a program compared to its intended purpose Quantifies or measures the results of service delivered

Example of Goal, Objective, and Outcome Goal (what you want to accomplish): Increase access to care for people living with HIV Objective (how you accomplish the goal): By 2/28/15, 100% of case managers will have bus passes and taxi vouchers available for distribution to clients requiring assistance with transportation to medical appointments Outcome (the result of providing service): Decrease the percentage of clients who identify transportation as a barrier to accessing medical care from 70% to 30% Increase the percentage of Ryan White HIV/AIDS Program eligible clients who attended a routine HIV medical care visit within three months of their HIV diagnosis from 70% to 85%

Header Section (see Instructions p. 7, Section 4.5) Enter Grantee Name Enter Service Priority Name, No., & Allocation Corresponds to Allocations Table Ensure Part A funding source is checked Within the grant period Sum of Funds = Total Priority allocation Ensure Number of People Served & Units are reasonable based on funds allocated Ensure Objectives are SMART Enter HRSA Service Unit Definition Relates to a Comprehensive Plan strategy

Implementation Plan – Checkpoints Before submitting your Implementation Plan, ensure compliance with the following: Services are allowable per the service category definitions Service category goals and objectives are linked to current comprehensive plan goals and strategies Objectives describe how the service goal for the specified service category is accomplished Budget narrative and allocations table are cross referenced Costs are reasonable

Consolidated List of Contracts (CLC) Purpose: Identifies all Part A and MAI service providers receiving funds for the current grant year. The CLC form is the only form that identifies minority and faith-based providers To be considered a minority provider, the organization must: o have more than 50% of the positions on the executive board or governing body filled by persons of the racial/ethnic minority group to served; and o have more that 50% of key management, supervisory, and administrative positions filled by persons of the racial/ethnic populations to be served

CLC Components For each service provider, include the following: Address Tax Payer Identification Number (EIN) Contractor’s contact information Service type code o The codes can be found under the instructions section of the CLC Table Contract amount Executed contracts Minority provider status Faith-based provider status

CLC Table

CLC - Checkpoints Before submitting your CLC, ensure compliance with the following: Agencies funded for multiple service categories are listed separately for each contracted service, with corresponding amounts Confirm that the minority and faith-based sections are filled Executed contracts are clearly identified Allocations table and implementation plan are cross referenced

Contract Review Certification (CRC) Purpose: A reporting tool used by grantees to certify all service contracts awarded by the grantee for the current grant year were reviewed and comply with the Office of Management and Budget (OMB) and other Ryan White HIV/AIDS Program requirements.

CRC - Checkpoints Before submitting your CRC report, certify and ensure compliance with the following: The procedures used to advertise and award funds meet the minimum standards required by the OMB in applicable circulars The budgeted costs in all contracts have been determined allowable according to principles and standards established by OMB in applicable circulars There are no mathematical errors in the budget of all contracts Only executed contracts are calculated into the grand total The number of unexecuted contracts and date of execution is provided The report is signed by both the Program Director and Grantee’s Budget (Fiscal) Officer Cross reference with SF 424A and Budget Narrative

Local Pharmacy Assistance Program (LPAP) The purpose of an LPAP is “…to provide therapeutics to treat HIV/AIDS or to prevent the serious deterioration of health arising from HIV/AIDS in eligible individuals, including measures for prevention and treatment of opportunistic infections.” An LPAP is not a substitute for the AIDS Drug Assistance Program (ADAP). It is to provide medications when ADAP is not meeting the needs of the clients of the EMA/TGA, and it should follow the guidelines of the National Monitoring Standards (NMS).

Local Pharmacy Assistance Program (LPAP) The LPAP has been divided into two parts: The LPAP Profile – which is now a component of the Program Terms Report The LPAP Summary – which is now a component of the Annual Progress Report Note: applicable only to grantees funding LPAP with Part A funds.

Local Pharmacy Assistance Program (LPAP) Profile LPAP Profile, limited to 3 pages, has two sections: Description of the LPAP Profile – a statement of need, waitlist, and emergency financial assistance (EFA) Structure of the LPAP Profile – presence of advisory boards, eligibility and enrollment process, and cost savings strategies

End of Program Terms Report Components. ___________________________

Questions

WICY Expenditures Table Purpose: A reporting tool which demonstrates allocation of resources for women, infants, children and youth (WICY), at no less than the percentage reflected by women, infants, children and youth with AIDS in the general population with AIDS. An estimate of the percentage of WICY with HIV/AIDS is provided annually to Part A from CDC WICY waiver are approved for grantees that can verify that required expenditure amounts were met through other Federal/state programs

Recent Changes to WICY The minimum WICY expenditure amount will be calculated as a percentage of the total RWHAP Part A service expenditures for all clients during that fiscal year, not the total award amount as it was previously calculated The Prospective and Retrospective waiver option has been discontinued, WICY waiver request now are due 120 days after the fiscal year budget end date, with the WICY expenditure report. o Should demonstrate that the required minimum expenditures for one or more WICY population were satisfied, using other Federal/state program funds A new WICY Instructions Manual has been developed: Part A and B Ryan White HIV/AIDS Program: Instructions for Completing the Women, Infants, Children and Youth Expenditure Report and Waiver and a newly updated WICY Template, which includes the above changes. They are both available in Electronic Handbook (EHB)

WICY Expenditures Table

WICY Expenditures Table – Checkpoints Before submitting your WICY report, ensure compliance with the following: Compare required percentages with actual expenditure percentages for each population Ensure that the waiver section is checked if you are requesting one Be sure that funds being used for calculations are only service dollars

Final Part A & MAI Expenditure Report Purpose: A reporting tool used to document the amount expended in services provided during the prior grant year. The report identifies the amount spent in each service category and also helps track if amount allocated for services changed during the grant year. Accounts for prioritized funding set by the planning council with regard to the 75/25 rule (applies to both Part A and MAI funds) Accounts for administrative and CQM expenditures Accounts for prior year carryover expenditure amount

CURRENT YEAR PART A & MAI Expenditures Report

Changes to Part A & MAI Expenditure Report The current denominator on the expenditure table is the total expended amount and not the total award amount For grantees who do not expend their total award, but fully expend the 10% and 5% of administrative and CQM caps, respectively, the non-services subtotal section of the expenditure table will indicate you are over the cap for either or both administrative and CQM Until the appropriate formula changes are made, refer to the legislative requirement sheet for an accurate measure of the administrative and CQM caps

Part A & MAI Expenditure Report Legislative Requirements Shows expenditures as a percentage of award for specific categories as outlined in the Ryan White HIV/AIDS Treatment Extension Act of 2009 Grantees should use the table to determine whether or not the following legislative requirements have been met: o 10% administrative cap o $3 million or 5% CQM cap o 75% CM services

Final Part A & MAI Expenditure Report Checkpoints Before submitting your expenditure report, compare the following: Total amount and percentages are accurate, though tables are preset with calculations Compare carryover expenditure amount Compare final amount expended with FFR

On the Transactions page: Enter Federal Share of Expenditures (line e) and Federal Share of Unliquidated Obligations (line f). Total Federal Funds Authorized will be displayed in line d; (this is auto- populated by Electronic Handbooks (EHB) using data from the Notice of Award; however the grantee should check and verify all FFR data) Sum of lines e and f will be displayed in line g; (auto-calculated by EHB; the grantee should check and verify all FFR data) Total Unobligated Balance of Federal Funds (line h) will be calculated automatically as line d minus line g. REQUIREMENT: Federal Share of Unliquidated Obligations (line f) must be zero for Final FFR. FFR Updates

FFR Updates – Entering UOB

Grantees are required to identify the Unobligated Balance (UOB) by itemized subprogram/funding stream source using a structured format in their Federal Financial Report (FFR). This requirement applies to awards issued in fiscal year 2013; as illustrated below, the itemized UOB identified by Subprograms can be entered in the Unobligated Balance (UOB) of Federal Funds by Subprogram table, located at the bottom of the FFR page. Note: Please refer all questions about the FFR to your Grants Management Specialist. FFR Updates – UOB by subprogram

Revised UOB & Carryover Request Form Comprised of 4 sections Source of Funds Reasons for UOB Plan for Use of Carryover Funds Confirmation of Concurrence Provides ease of use, consistency and transparency in one location, and eliminates duplication of effort Utilized for both the estimated and final UOB Report and Carryover Request

Revised UOB & Carryover Request Form Final completed form is estimated to be no more than 2- 3 pages with expanding text boxes for grantees to insert data elements. POs may request additional information to complete their review. Form will be submitted via EHB for FY13 through Prior Approval Portal Form will be used twice each year, To provide the estimated UOB due by December 31, 2014 To provide the actual Final UOB and Carryover request due July 30, 2015

Revised UOB & Carryover Request Form

Reporting Requirements Calendar

Questions

Contact Information Further questions: Speak with your Project Officer Division of Metropolitan HIV/AIDS Programs 5600 Fishers Lane Rockville MD Room 7A Thank you for your participation in today’s webinar!