cancer, cardiovascular and pulmonary disease grants ......support prevention, early intervention and...

Cancer, Cardiovascular and Pulmonary Disease Grants Program (CCPD)

Program Orientation for Fiscal Year 2018

July 20, 2017

Purpose of Orientation

• Introduction to CCPD Program Team and Program Overview

• Introduction to Kaiser Permanente Institute for Health Research and Overview of Program Evaluation Process

• Introduction to Contracting Unit and Contract Requirements

• Introduction to Fiscal Unit and Fiscal Requirements

• Introduction to Fiscal Compliance Unit and Compliance Requirements

Today’s Presenters:

• Andrea Wagner: CCPD Program Manager

• Selam Abebe: CCPD Program Contract Coordinator

• Andi Bradley: CCPD Program Contract Coordinator

• Eric Taber: CCPD Program Contract Coordinator

• Brooke Bender: Kaiser Permanente Institute for Health Research

• Lenora Kingston: Contract Administrator

• Abigail Aukema: Fiscal Manager

• Ryan Rivera: Lead Auditor

• Novia Collins: Auditor

Webinar Participants:

• 17 2-year CCPD Grantees (FY17-18) FY18 start date: July 1, 2017

• 30 3-year CCPD Grantees (FY16-18) FY18 start date: July 1, 2017

4

16% Cancer, Cardiovascular

Disease, Chronic Pulmonary Disease Prevention, Early

Detection & Treatment Fund

3% Infant Immunization

Fund Supplemental OAP Health & Medical

Care Fund Local Governments

46% Health Care

Expansion Fund, including

reinstatement of Medicaid for legal

immigrants

19% Primary Care

Fund

16% Tobacco Education,

Prevention & Cessation Grant Programs Fund

Grants Program Administration

Up to 5%

Breast and Cervical Cancer Expansion

Up to $5M

CCPD Competitive Grants Program Remaining Funds

Health Disparities Grant Program

15%

Tobacco Taxes for Health-Related Purposes Statutory Distribution of .64 cent tax (A35) Revenue

5

Purpose of the CCPD Grants Program

By statute, the CCPD program funds competitive grants to support prevention, early intervention and treatment of cancer, cardiovascular and pulmonary disease.

The program is administered by the Prevention Services Division of the Colorado Department of Public Health and Environment (CDPHE).

Oversight of the program is provided by a 16-member Review Committee and the State Board of Health.

The CCPD Review Committee sets priorities of the program,

including the 17 strategies to be implemented by 3-year grantees and a sub-set of 10 strategies to be implemented by 2-year grantees.

CCPD Grants Program Focus Areas

CCPD grant funding was awarded with a focus on five primary goal areas, while allowing for innovation:

• Healthy Eating Active Living (HEAL)

• Cancer

• Cardiovascular Disease (CVD)

• Chronic Pulmonary Disease

• Patient Navigation/Community Health Work (Crosscutting)

• Evidence-informed Innovation (Crosscutting)

CCPD Grant Cycle FY 16-18 Funding Priorities

Strategy 1: Built Environment

Strategy 2:

Breastfeeding-Friendly

Environments

Strategy 3: Healthy Food Retail

Strategy 4:

Healthy Food and Beverage

Strategy 5:

Comprehensive Worksite Wellness

HEALTHY EATING & ACTIVE LIVING

Strategy 6: Provider/Clinic-based Cancer Prevention

Strategy 7:

Individual-Level Cancer Prevention

Strategy 8:

Community-Based Cancer Prevention

CANCER

Strategy 9: Self-Measured Blood Pressure

Monitoring

Strategy 10: Team-Based Care

(MTMS)

Strategy 11: Clinical Systems

Quality Improvement

Strategy 12:

National Diabetes Prevention Program

(DPP)

Strategy 13: Diabetes Self-Management

Education (DSME)

CARDIO-VASCULAR DISEASE

Strategy 14: School-Centered

Asthma Management

PULMONARY DISEASE

Strategy 15: Patient Navigator

Programs

Strategy 16: Community Health Worker Programs

Strategy 17:

Patient Navigator & Community Health

Worker Training

PATIENT NAVIGATOR/ COMMUNITY

HEALTH WORKER/ CROSS CUTTING

CCPD Grant Cycle FY 16-18 Funding Priorities

CCPD Team Roles and Responsibilities

Program Contract Coordinators: Selam Abebe, Andi Bradley, and Eric Taber

• Primary contacts for CCPD Grants Program

• Contract monitoring, coordination and support

• Negotiate Statement of Work (SOW) and Budget and any subsequent revision requests

• Provide CCPD quarterly/annual progress report templates

• Receive and review quarterly/annual progress reports and Deliverables

• Coordinate and attend monthly/quarterly update meetings

• Receive and review monthly invoices

• Distribute CCPD monthly e-newsletter and other communications

• Schedule and perform programmatic site visits

• Prepare Annual Performance Evaluations as required by CDPHE which rate each grantee program based on progress of activities in the SOW and invoice timeliness and accuracy

CCPD Program Staff Roles and Responsibilities

CDPHE Program/Subject Matter Expertise Staff: • Share evidence-based approaches and up-to-date information

with grantees • Assist with SOW and Budget negotiations • Review requests for modifications on SOWs related to content

area • Review quarterly/annual reports and Deliverables • Attend monthly/quarterly update meetings • Attend programmatic site visits • Support networking among CCPD grantees • Provide ongoing content-related technical assistance to

support the success of grantees’ projects (i.e. resources, conference calls and peer learning opportunities, webinars, content trainings, etc.)

CCPD Grantee Requirements • Quarterly progress reports using CCPD-required template

provided by the program

• Deliverable documentation due as specified in the SOW

• Quarterly update meetings to discuss quarterly progress reports and to identify technical assistance needs (additional meetings, as needed)

• Participate in learning opportunities

• Semi-annual evaluation progress reports using online tool provided by Kaiser Institute for Health Research

• Final Evaluation Report

CCPD Quarterly Progress Report Template

CCPD Quarterly Progress Report Template

CCPD Quarterly Progress Report Template

CCPD Quarterly Progress Report Template

CCPD Quarterly Progress Report Template

CCPD Due Dates

Quarterly Progress Reports are due 15 days following the end of each quarter • Q1 (July 1-September 30), Due October 16, 2018

• Q2 (October 1-December 31), Due January 15, 2018

• Q3 (January 1-March 30), Due April 16, 2018

• Q4/Final (April 1-June 30), Due June 30, 2018

• Cannot extend past the end of the contract period

Sustainability Plan • Final, Due June 30, 2018

Program

Questions?

Program Evaluation

Kaiser Permanente Institute for Health Research (IHR): Brooke Bender

• The IHR evaluation team’s mission is to implement collaborative and meaningful evaluation and research by:

• designing projects which answer relevant evaluation questions

• providing results that help organizations learn and take action

• building the capacity of organizations to conduct evaluation

Program Evaluation: Overview

• The evaluation of CCPD includes several components

Evaluation planning (all grantees)

Micro-level evaluation or in-depth evaluation (subset of strategies and grantees)

Grantee-led evaluation with evaluation technical assistance (subset of strategies and grantees)

Evaluation technical assistance and training opportunities (all grantees)

Program Evaluation: Important Dates

Just completed - July 17, 2017 Web-Based Semi-Annual Report Due July 31, 2017: Annual Evaluation Report Due

(Three-year grantees)

August 15th, 2017: Qualitative Webinar 2 – Coding & Themes October 2017 (TBD): Qualitative Webinar 3 – Reporting January 15, 2018: Web-Based Semi-Annual Report Due

(All grantees except DPP)

May 30, 2018: Web-Based Semi-Annual Report Due June 30, 2018: Final Evaluation Report Due All Micro-Level Evaluation Work Completed

(Subset of grantees)

Evaluation

Questions?

PSD Contracts Unit

Contract Administrator: Lenora Kingston

• Prepare contracts and send out for signature

• Review and approve revisions/amendments to Statements of Work

• Review requests for budget revisions/amendments as related to impact on Statement of Work/contract

Contract Requirements

Additional Provisions:

• The Contractor shall notify the State of a change in key personnel, such as the Project Director or Principal Investigator, within 30 days of the change.

• CDPHE does have the option to reduce current funding and reallocate monies if the Contractor is unable to fully expend funds.

• The Contractor shall request prior approval in writing from CDPHE for all modifications to the Statement of Work during the contract term. An amendment to the contract may be required.

• Amendment 35 funds shall not be used for lobbying purposes as defined in Colorado Revised Statutes (CRS) 24-6-301(3.5)(a).

Contract Requirements

Additional Provisions Continued: • The Publications, presentations, or public events resulting from

Amendment 35 CCPD Grants Program funding must include the following acknowledgment of grant support and a disclaimer.

o Funding for this event/project/program was provided (in part) by Amendment 35 Cancer, Cardiovascular, and Pulmonary Disease Program (CCPD) funding. The views expressed do not necessarily reflect the official policies of, nor does the mention of imply endorsement by, the Colorado Department of Public Health and Environment.

• Contractors that provide direct services of benefit to individuals 18 years of age or older shall ensure, as specified by regulation, they only provide services to individuals lawfully present in Colorado. Contractor shall maintain documentation demonstrating the individual's establishment of lawful presence, which shall include documentation of an appropriate identification document and an affidavit as required by section 24-76.5-103, C.R.S.

Contracting

Questions?

PSD Fiscal Staff

Fiscal Officer: Abigail Aukema The Fiscal Unit performs the following functions:

• Review of invoices and tracking of expenditures • Review of budgets and budget narratives • Process payments and other reimbursements • Primary contact for invoice discrepancies

General Reminders

Cost reimbursable contract Before requesting reimbursement from the Colorado Department of

Public Health and Environment (CDPHE), grantees must: • Incur the cost • Perform work associated with the cost (if applicable) • Also applies to sucontractors

Fiscal/Contract Requirements

Important Fiscal Guidelines:

• The Contractor shall submit monthly reimbursement invoice forms • Invoices must be submitted to the designated Program Contract Coordinator within 45 days of the end of each month • Invoice should list line items as approved in the budget • All expensed items must be paid for AND received by end of grant year • Expenses must be:

▪ Necessary ▪ Reasonable ▪ Allocable AND ▪ Allowable

A

Standardized Invoice Form

Two Parts: Expenditure Details (enter data here) and Cover (print and sign). We need BOTH.

Standardized Invoice

A pre-populated budget template will be provided to each grantee • Each invoice must have a unique invoice number (such as Program Name

October 2018) • A regular monthly invoice is expected. This is comprised of two (2)

documents that make up your invoice:

-Expenditure Detail form (enter data in this tab). -Reimbursement Cover Page (print the summary document in this tab)

which requires a signature.

Invoicing Process

Send to Program Contract Coordinator (Andi, Eric or Selam) as listed on invoice template. Coordinator reviews invoice and compares costs to approved scope of work and program progress. Will forward to Fiscal Officer.

Fiscal Officer reviews information in invoice. Compares costs to approved

budget and disallowed costs, if any. If Program or Fiscal staff has questions about your invoice, you will typically be contacted by the Fiscal Officer.

Incoming Invoice

Outgoing Correspondence

Expense Billing Period and Tracking

• Project billing period: • July 1, 2017 (or upon execution of the contract) through June 30, 2018

• Funds must not be co-mingled. Each agency should have a mechanism in place to track expenses relating to this project separately from other agency expenses.

• State and federal rules mandate that fund recipients may not bill a contract for expenses that occur outside the contract period.

Supporting Documentation Requirements

DO NOT submit source documentation with invoices unless it is specifically requested.

✓Local Public Health Agency (LPHA) – CDPHE’s Financial Risk

Management System (FRMS) Unit will request and review invoice documentation

✓Non-LPHA – PSD’s Fiscal Compliance Unit will request and review invoice documentation. Review will happen 1 to 4 times a year based on an agency’s risk determination via: - Invoice documentation review. - Desk audit. - Site visit.

Budget Flexibility

Agencies have budget flexibility to allow for change(s) in costs between budget establishment and implementation of the project.

➢You may move a cumulative total of up to 25% of your contract’s Total Direct Costs between approved, or “open”, major budget categories in your budget.

➢Any moves in excess of this threshold requires a written Budget Revision Request Form approved by your program and fiscal contacts at CDPHE.

Budget flexibility is allowed only when there is no change to the approved Scope of Work. Talk to your Program Contract Coordinator if you have

questions. They can help.

Budget Revisions

If a budget revision is needed and there is no change to the Scope of Work: Expenses must be “necessary, reasonable, allocable and allowable” • Ask yourself if the cost is necessary? If yes, is the proposed cost

reasonable? Know costs for services and materials in your area or conduct research when needed!

• Ask yourself if the cost is allocable to your project? Know your Scope of Work!

• Ask yourself if the cost is allowable? Know your Request for Applications and your Agreement!

Budget Revisions (continued)

Discuss your needs with your Program Contract Coordinator as soon as

possible. A budget revision: • Takes time (10-15 days to review the request typically). • Requires signatures. • Is required if you want to add a budget category (Travel, Personal

Services, Operating, Contractual) that was not in your original approved budget.

• Must be reviewed by PSD contract staff. May require a contract amendment if it is determined that the Scope of Work is affected.

Budget Revisions (continued)

• Budget Revisions are prospective (relating to or effective in the future), not retroactive. So if a budget revision is approved, new costs are only allowed as of the revision approval date.

• CDPHE cannot reimburse for expenses in excess of 25% per budget category that have been incurred without prior approval. In other words, if an agency exceeds allowable costs, the grantee is responsible for costs.

• Budget Revision requests may not be submitted in the last 90 days of the contract period, or after the end of March 2018.

Final Invoice and Fiscal Year Close

Final invoice: • Enter “Yes” in the appropriate field on the standardized invoice form

when submitting the final invoice for your project. • Is due 45 days after the end of your contract period, or no later than

August 15, 2018. Fiscal year-end accounts payable estimate letter/matrix: • CDPHE must accrue all financial obligations (invoices not paid) that

have not been submitted or paid by June 30 of any year. Grantees and contractors will see a request for information related to costs incurred but not invoiced in June 2018.

Fiscal

Questions?

Ryan Rivera, Lead Auditor PSD Compliance Unit 303 692 2433 ryan.rivera@state.co.us

Novia Collins, Auditor PSD Compliance Unit 303 692 2533 novia.collins@state.co.us

PSD Fiscal Compliance Unit

Training Objectives

• Financial Risk Assessments

• Rules and Regulations

• Fiscal Monitoring

• Frequent Findings

• Additional Monitoring Guidance

Financial Risk Assessments

• Financial Risk Management System (FRMS)

o Local Public Health Agencies and Denver Health

• Compliance Unit Financial Risk Assessments

o Nonprofit Agencies

Rules and Regulations

• 2 CFR, Part 200 Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards

o Subpart E-Cost Principles Basic Considerations 200.402

o Subpart E- Cost Principles General Provisions for Selected Items of Cost

• Grant Program Requirements

• Contract Requirements

• Audit Requirements

Fiscal Monitoring

• Site Visits

• Desk Reviews

• Source Documentation Reviews

Frequent Findings

Food and Meal Requirements

• Food at staff meetings is not an allowable cost. There are a few circumstances where purchasing food/drink is an allowable cost. For example, food for outside stakeholders tied to an event or conference.

• Food/meal costs are subject to scrutiny.

• Contracting agencies are required to be good stewards of State and Federal money, using it in the most effective way possible.

Frequent Findings

Time and Effort Requirements • If employees work on and are charged to multiple projects,

the employees must complete timesheets/activity reports detailing time worked on each project.

• Salary must be allocated to the projects based on those timesheets/activity reports. DO NOT use budget estimates to prepare invoices (e.g., 1/12 method). It is recommended that actual salary, fringe, and time percentages are used to determine Personal Services costs for each invoice.

• Records of these expenses will be reviewed during source documentation reviews, desk reviews, or site visits.

Additional Monitoring Guidance

Indirect Costs

Subcontractor Monitoring

Gift Cards Travel Costs Pre Payments

Miscellaneous Expenditures

Fiscal Compliance

Questions?

Contact Information for CCPD staff*

CCPD Contact Phone Email address

*Selam Abebe Program Contract Coordinator 303-692-2357 Selam.Abebe@state.co.us

*Andi Bradley Program Contract Coordinator 303-692-2389 Andrean.Bradley@state.co.us

*Eric Taber Program Contract Coordinator 303-692-2299 Eric.Taber@state.co.us

*Andrea Wagner CCPD Program Manager 303-692-2516 Andrea.Wagner@state.co.us

Lenora Kingston Contract Administrator 303-692-6402 Lenora.Kingston@state.co.us

Abigail Aukema Fiscal Officer 303-692-2527 Abigail.Aukema@state.co.us

Ryan Rivera, Lead Auditor Novia Collins, Auditor

303-692-2433 303-692-2533

Ryan.Rivera@state.co.us Novia.Collins@state.co.us

Additional Resources

CCPD Grants Program web page (includes links to 3-year and 2-year RFAs):

https://www.colorado.gov/cdphe/A35-ccpd-grants Code of Federal Regulations (i.e. Super Circular): http://www.ecfr.gov/cgi-bin/text-

idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl

Additional

Questions?

Thank you!