Programmatic and Fiscal Accountability Administrative Overview Ryan White Part B June 6, 2011

1. Programmatic and Fiscal AccountabilityAdministrative Overview Ryan White Part BJune 6, 2011  Frances Hodge Project Officer Southern Services Branch Health Resources and Services Administration Department of Health and Human Services

2. Reporting Requirements and Conditions of Award  Definitions of terms Why are they important? How are they used? How should they be completed? How are they submitted?

3. Definitions Conditions of Award : Conditions of Award (COA) is the term generally used to describe the entire universe of documents and expectations outline for grantees in the Notice of Grant Award (NGA) under the heading Terms and Conditions.

4. Definitions Terms and Conditions Include: Grant Specific Terms Program Terms and Reporting Requirements

5. Definitions (continued) Reporting Requirements: Reporting requirements are specific documents grantees are required to submit to HRSA in order to document program planning, operations and outcomes. Specific reporting requirements are listed in the Notice of Grant Award.

6. Definitions (continued) Reporting Requirements and Conditions Include: Federal Financial Reports (FFR) Annual Progress Reports Match Expenditure Reports Program Terms Report

7. Reporting Requirements and Conditions of Award Why Are They Important? They are the documents that the federal government uses to assess the progress of funded programs. They help determine the degree to which legislative mandates are met. They become are part of a program’s history.

8. How Are They Used Reporting Requirements and Conditions are used in the following ways: Document program operations both fiscal and programmatic. Support planning and program development activities and Assess program success by HRSA and other federal agencies.

9. How Should They Be Completed Grantees are provided copies of the Reporting Requirement and Condition of Award forms along with the instructions in the Electronic Handbook (EHB). We will not cover each of the Reporting Requirements or COAs listed in the NGA but will cover the Program Terms Report and the FFR in detail.

10. Program Terms Report Purpose: Serves as a instrument to provide an overview of the program through individual reports on planned allocations, the annual work plan and an itemized budget. The Program Terms Report also includes a list of funded providers and a document that certifies the amount all contracts administered by the grantee.

11. Program Terms Report Components: Part B & MAI Planned Allocation Table FY 2011 Implementation Plan Consolidated List of Contractors (CLC) Contract Review Certification (CRC) Revised SF 424A and Budget Narrative

12. Allocations Table Purpose: Serves as a monitoring tool to track and monitor the use of Ryan White funds. The Allocations Report identifies: Categories of services that are being delivered Changes in the type of services being provided over time Trends in the amount of funds being used to deliver these services

13. Allocations Table (continued) An Allocations Table: Outlines the dollar amounts allocated for the RW program for the current fiscal year, including MAI amounts Accounts for prioritized funding set by the planning council/planning body with regard to the 75/25 rule and needs within EMA/TGA Accounts for administrative dollars and QM (where applicable)

15. Implementation Plan Purpose: Serves as a monitoring tool to verify: Service priority Goals Objectives Unit of service Number of Clients to be served Total priority allocation planned for the grant year Note: Plan should include all service categories and priorities established and reflected in the planned Allocations Report

16. Implementation Plan An implementation plan should include: Objective(s): list objective that are required to implement a new or continue an existing service Service Unit Definition: provide the name and definition of the unit of service provided Quantity: provide the number of people to be served and service unit. Time Frame: indicate the estimated duration of the activity relating to the objectives Funds: provide the amount allocated for each service Outcomes: Select a minimum of two objective and list outcomes/indicators to be tracked

18. Consolidated List of Contracts Purpose: Serves as a monitoring tool to identify ALL Part B and MAI service providers receiving funds for the current grant year.

19. Consolidated List of Contracts For each service provider input: Identifying Information Tax Payer Identification # (EIN) Service Provider Code Contract Amount Minority Provider Status

21. Contract Review Certification Purpose: Serves as a monitoring tool to certify all contracts administered by the grantee for the current grant year and comply with OMB circulars and other Ryan White requirements.

22. Contract Review Certification Denotes the total grant amount awarded in contracts for the current fiscal year Certifies that the procedures used by the grantee (or an administrative agent) to advertise and award funds meet the minimum standards required by the Office of Management and Budget (OMB) in applicable Circulars Certifies the budgeted costs in all contracts have been determined allowable according to principles and standards established by OMB in applicable Circulars Certifies that there are no mathematical errors in the budgets of all contracts

24. SF-424A This form must be revised and submitted with the Final Part A Program Budget to reflect budget allocations based on the actual amount of funds awarded to the state with respect to the following:

25. SF-424A Administration HIV Services including MAI funds Clinical Quality Management ADAP

27. Budget Priorities established by the State Reflect the amount of all Part B funds awarded Reflect costs in accordance with legislative and programmatic requirements.

28. Budget The budget must reflect administrative caps: Grantee Administration: up to 10% Program Evaluation: up to 5% Clinical Quality Management: up to 5% of the total award or $3 million dollars, which ever is less

29. Budget Narrative Descriptive information used to explain and justify the amounts budgeted within each program budget category. It must include specific information about:

30. Budget Narrative A budget narrative is required for: Grantee Administration Grantee Quality Management ADAP Planning and Evaluation

31. Federal Financial Report The Federal Financial Report (FFR) SF-425 is used to report financial data and to verify amounts available for carry over requests The FFR should be completed by an authorized fiscal official

32. Part B Mid-Year Progress Report Purpose: The Part B Mid-Year Progress Report (Progress Report) is used to inform program officials of progress made in the administration of Part B programs; identify accomplishments and challenges in meeting planned goals and objectives The Progress Report highlights successes and challenges Identifies technical assistance needs

33. Part B Progress Report The Part B Progress Report includes the following components: Part B Implementation Plan Early Identification of Individuals with HIV/AIDS (EIIHA) Update Narrative Report for Part B program Challenges and technical assistance

34. Part B Progress Report Part B Implementation Plan Update should reflect progress made for each funded program area:

35. Early Identification Of Individuals with HIV/AIDS The EIIHA Update should include and update on the following as of September 30, 2011:

36. Part B Progress Report Total number identified as HIV negative and informed of their status Total number of identified as HIV negative and not informed of their status The narrative should provide an update on:

37. Part B Progress Report Deficit Reduction Act (DRA) Accomplishments The Progress Report must also include total year-to-date expenditures for the following categories:

38. Part B Progress Report Challenges and Technical Assistance This section of the Progress Report should identify challenges experienced during the reporting period with focus on the following:

39. Part B Progress Report Efforts to identify and bring into care individual who are unaware of their HIV status Administrative structure of Part B program to include key staff vacancies, lack of qualified personnel, geographic challenges related to Consortia distribution Financial management systems Contract monitoring including program, fiscal , clinical quality assurance and evaluation mechanisms Impact of client level data Statewide data issues related to collection of client level data

40. Final Progress Report The Final Progress Report (Final Report) enables the grantee to document progress made in reaching the goals, objectives and outcomes for program areas submitted in the FY 2011 Grant Application, resubmitted as a Reporting Requirement and updated in the Mid-Year Progress Report.

41. Final Report The Part B Final Report is completed by updating the components of the Mid-Year Report. The components include:

42. Part B Final Progress Report The FY 2011 Final Report must also include the following data: Accomplishments for MAI funded Outreach and Education services reported in the Excel workbook in relation to the specific communities that were served including strategies used to achieve outcomes Challenges and lessons learned A discussion of any significant change to planned service objectives, budgeted amounts and/or planned outcomes

43. Part B Final Progress Report Other Final Report Requirements Match Requirement Grantees must include the following: The dollar amount of the FY 2011 Match requirement Activities, personnel and other budget categories supported through the use of matching funds The dollar amount of the ADAP Supplemental and documentation of the States contribution

44. Certification of Aggregate Administrative Cost The Certification of Aggregate Administrative Costs: Should reflect the actual amount expended on administrative costs by ”first line” entities The statement must identify and certify the amount of funds not to exceed 10% in the aggregate used for administrative expenditures The amount of expenditures as a percentage of the amount of funds available and must be signed by the financial official responsible for Part B funds

45. Quality Management Activities The Final Report must: Provide information on the clinical quality assurance/quality management activities undertaken in FY 2011 discussing current and planned activities Include a list of services for which quality measures are being monitored and a discussion of how quality findings from these measures have been used to inform funding decisions

46. FY 2011 WICY Report The FY 2011 WICY Report documents that grantees have expended the minimum amount of funds required for services to women, infants, children and youth Specific instructions are provided

47. Technical Assistance Grantees must describe any specific HRSA sponsored or other technical assistance activity received during the reporting period including: The purpose of the technical assistance The outcome of the technical assistance

48. Contact Information Frances Hodge Project Officer, Southern Services Branch Telephone: 301-443-1892 Email: fhodge@hrsa.gov