Federal Reporting: Guidance for Completing Your Annual Progress Report & Requesting Carryover Funds

1. Federal Reporting: Guidance for Completing Your Annual Progress Report & Requesting Carryover Funds Office of Adolescent Health Office of Grants Management September 12, 2011

2. Webinar Objectives • Describe the content and submission requirements for completing the OAH Annual Progress Report and Financial Status Report. • Summarize the process and requirements for requesting to carry over unobligated funds from Year One to Year Two. Office of Adolescent Health

3. OAH Grantee Reports Three primary reports due each year: • Non-competing continuation application • May 31, 2011 • Annual progress report • November 30, 2011 • Annual financial status report • November 30, 2011 Office of Adolescent Health

4. Annual Progress and Financial Reports • Program Progress Report • 12-month progress report (September 1, 2010 – August 31, 2011) • Describes the completion of objectives and activities for the entire 12 months of the year 1 budget period • Success story • Financial Status Report • SF-269 Office of Adolescent Health

5. Expectations for 12-Month Progress Report • Provide an update based on the objectives of your program. • Focus on the entire 12-month period of September 1, 2010 through August 31, 2011. • Describe major accomplishments. • Describe any challenges/barriers you encountered and how they were addressed. • If applicable, include the reasons that goals or objectives were not met and a discussion of assistance needed to resolve the situation. • Report on any other significant project activities, accomplishments, setbacks or modifications (e.g., change in key staff, change in scope of work) that have occurred in the current budget period. Office of Adolescent Health

6. Expectations for 12-Month Progress Report • Include sufficient detail that any one picking up the report could understand what you have been doing and what has been accomplished. • Be sure to include challenges faced; brainstorm ideas to overcome those challenges. • No specific length is required– just a solid level of detail and depth. • Recommended template is not required; the requirement is to cover the bulleted points. Office of Adolescent Health

7. Example of Progress Report Office of Adolescent Health

8. Success Stories • One or more success stories to demonstrate impact of activities over the past 12 months. •  Grant-funded activities that have resulted in positive changes for young people during the past year. • Stories from this past 12-month period may focus on your successful efforts to plan, pilot, and raise awareness of the program within your target community. Office of Adolescent Health

9. Financial Status Report Submitting Financial Status Reports Using Standard Form-269 (SF-269) Office of Adolescent Health

10. Which Financial Status Report to Use and When is it Due? • SF-269A (Short Form) • SF-269 (Long Form) • 90 days after the end of the annual budget period Office of Adolescent Health

11. Access to SF-269 • Download SF- 269 Short Form at link below : http://www.fns.usda.gov/fdd/forms/SF-269a.pdf • Adobe Reader http://www.adobe.com/products/reader.html Office of Adolescent Health

12. How to Fill Out the SF-269A Office of Adolescent Health

13. How to Fill Out the SF-269A Office of Adolescent Health

14. Submission Process Due date for Year 1 Annual Progress and Financial Report submissions: November 30, 2011. Two avenues available for submission: • Electronic via email (preferred) • Hard copies (mailed or hand delivered) Do not submit through both mechanisms! Please select one submission mechanism.

15. Electronic Submission (preferred) • Entire report submitted to OAH and OGM electronically. • Sent directly via email to the assigned OAH Project Officer and OGM Grants Management Specialist. • Grantees should include the official grant number on all submissions. Office of Adolescent Health

16. Submission Process Hard Copies • Submit 2 hard copies of the entire annual progress and financial report. • You can find the SF-269 form on http://www.whitehouse.gov/sites/default/files/omb/grants/sf269.pdf. • Can be mailed or hand delivered. • Due by 5pm EST on November 30, 2011.

17. Submission Process Mail Hard Copies to: Office of Grants Management Office of the Assistant Secretary for Health 1101 Wootton Parkway, Suite 550 Rockville, MD 20852 Subject: OAH Annual Progress Report

18. Questions? Office of Adolescent Health

19. Carryover Requests Office of Adolescent Health

20. Carryover Request Process • Purpose of this TrainingThe purpose of this training is to provide detailed guidance on carryover requests submission to the Office of Grants Management (OGM), Office of Adolescent Health (OAH) and identify pitfalls when processing the carryover request. Office of Adolescent Health

21. How Can Carryover Funds be Used? All unobligated funds that are available for carryover must be used to support the original approved goals and objectives of the grant program based on the Funding Opportunity Announcement.Funding Restrictions- Funds cannot be used for the following purposes:To supplant or replace current public or private funding;To supplant on-going or usual activities of any organization involved in the project;To purchase or improve land, or to purchase, construct, or make permanent improvements to any building; or To reimburse pre-award costs. Office of Adolescent Health

22. Submitting your Carryover Request Email your request to both of the following: Assigned OGM - Grants Management Specialist Assigned OAH – Program Project Officer Mailing address:Office of Grants Management, OASH Attn: [Assigned Grants Management Specialist]1101 Wootton Parkway, Suite 550Rockville, Maryland 20852 Office of Adolescent Health

23. Documentation to Support the Carryover Request 1. A written statement indicating why the carryover funds were not spent during the approved budget period signed by the Authorizing Business Official and Program Director.2. A detailed line item Budget and Budget Narrative Justification for the amount of carryover funds.3. A Work Plan to support the carryover request. 4. A Financial Status Report (SF 269), certifying funds are available for use signed by the Financial Officer. Note: Grantees may not carryover funds that are identified as restricted in the Notice of Award’s Terms and Conditions. Office of Adolescent Health

24. Process for Review of the Carryover Request 1. The request is received by the OGM and OAH. We’ll review the request for allowable and reasonable cost and ensure all supportive documents have been submitted.2. The Project Officer will identify whether the grantee has performance issues that may have caused a large unobligated balance to occur over time, or if a Change of Scope has occurred and provide feedback to the Grants Management Specialist on such issues, if applicable.3. The Grants Management Specialist will review the grantee’s financial report and reconcile it with the Division of Payment Management to determine whether the funds requested are actually available for carryover and provide feedback to the Project Officer. Office of Adolescent Health

25. Response to Carryover Request 1. Revise the NGA authorizing the grantee to spend the unobligated funds for approved purposes. (Carryover funds must be used to cover only prospective costs, not costs already incurred by the grantee) 2. Restrict the grantees authority to carryover unobligated balances in the future.3. Use the balance to reduce or offset funding for a future budget period4. Use a combination of these actions.**A decision about the disposition of the reported unobligated balance will be reflected in the Notice of Grant Award. The OGM and OAH offices have 30 days to process the request. Office of Adolescent Health

26. Potential Pitfalls to Process 1. Delinquent or Incorrect Financial Status Reports – OGM must have a current FSR report on file which shows the budget period from 09/01/2010 through 08/31/2011 in order to review actual balances that are available for carryover. 2. Budget narrative justifications inadequate – not enough details to support each listed line item. 3. Submitting request to the OAH Program Office without sending it to the OGM Grants Management Specialist (or vice versa). Office of Adolescent Health

27. Carryover Policy Citations 45 Code of Federal Regulations, Part 74 and 92.HHS Grants Policy Statement; Rev. 01/2007; page II-52.For additional questions regarding Carryover Requirements contact your assigned Grants Management Specialist Office of Adolescent Health

28. Questions? Office of Adolescent Health

29. Evaluation Progress Update

30. What and Why? • Assess two key aspects, now and at six-month intervals • Sample intake • Baseline equivalence • We will assess that data • Against the HHS evidence standards for attrition and equivalence • To look for areas in which evaluation implementation could be strengthened • Why start this now? • Documentation • Proactively identify potential issues • Target resources

31. General guidance • Provide whatever data you have at this time • Provide data pooled across cohorts and sites

32. Sample intake documentation for clustered random assignment designs • A paragraph describing the sample intake process • Definition of evaluation eligibility, clusters considered/recruited, outcome of recruitment effort, & prioritization of clusters for inclusion in the evaluation. • Number of clusters • Randomly assigned to each condition • Retained after random assignment - at each time point, program inception & each follow-up • Key information for youth • Are they also randomly assigned? If so, describe timing in the process. • If not randomly assigned, how are they assigned to cluster and what is the timing in the process? • Plus all information requested about youth, for clusters still participating

34. Paragraph on intake process The population of interest for this evaluation was high schools in two local counties. All high schools in the two counties were eligible (including those with a year round school calendar) with the exception of alternative high schools (n=4) and high schools with student populations less than 150 students (n=3). All of the 40 eligible schools were recruited and 32 consented to participate in the evaluation. Since the study only had resources to serve 20 schools in the evaluation, we grouped schools by size (150-500 (n= 12) or 500+ (n=20)) and randomly selected 8 schools from the stratum of smaller schools and 12 schools from the stratum of larger schools.

35. Clusters – sample to date Did not agree to be in study (n = 8) Did not pass screening criteria (n = 7) Not randomly selected (n = 12) Clusters Randomized (n = 20) Date of Cluster Random Assignment 6/2011 Assigned to Treatment (n = 10) Assigned to Comparison (n = 10) • Completed baseline data collection (n = 9) • Reason for cluster dropping out • One school had a leadership change in August 2011 and the new principal did not feel that school personnel could devote resources to supporting the evaluation at this time (n=1) Completed baseline data collection (n = 10)

36. Youth sample intake documentation for all designs • A paragraph describing the sample intake process for youth • Definition of evaluation eligibility, youth screened and determined eligible, reasons for screening out, & process for selecting pool to be evaluated among those eligible • Number of youth • Eligible to receive program • Consenting to the evaluation (by treatment/control) • Randomly assigned to each condition • With follow-up data at each time point, by condition • Key dates • Start and end dates for the program (and for comparison if applicable) • Start and end dates for each follow-up, by condition

38. Youth enrollment process All 9th graders enrolled in health class are eligible for the evaluation. (Note: not all 9th graders take health and there may be some 10th-12th graders enrolled in health classes that will not be included in the evaluation sample.) Students were assigned to health classes prior to random assignment of the schools. However student consent for the evaluation takes place after random assignment. The consent forms do not indicate the schools treatment status and staff have been instructed to keep parents and students unaware of the school’s condition. Of the 6,740 9th graders enrolled in health classes as of September 3rd in the 19 schools, 5,993 consented to the evaluation (2,987 of 3,315 treatment students and 3,006 of 3,425 control students). Treatment students Said did not want to participate (n = 78) Did not return consent form (n = 250) Control students Said did not want to participate (n = 106) Did not return consent form (n = 313) Note: 340 T students and 412 C students were transferred out of 9th grade health class between random assignment of the schools and September 3rd. The schools indicated that these transfers were due to student mobility (62%), participation in activities that restricted student scheduling (23%), and changes in teacher schedules/capacity (15%).

39. Youth – sample to date Youth eligible for evaluation in treatment schools (n=3,315) Youth with parental consent for evaluation in treatment schools (n = 2,987) Youth eligible for evaluation in control schools (n=3,425) Youth with parental consent for evaluation in control schools (n = 3,006) • Completed baseline (n = 2,855) • Dates of data collection: 9/22-9/24 • List reasons for non-completes • Absent (n=30) • Transferred out of class n=101) • Language barrier (n=1) • Completed baseline (n = 2,912) • Dates of data collection: 9/22-9/24 • List reasons for non-completes • Absent (n=31) • Transferred out of class (n=56) • Student refusal (n=7) Program start date: 9/27/11 Program end date: 5/27/12

40. Baseline equivalence documentation • Focus on variables assessed under HHS evidence standards • Age, gender, race/ethnicity • Measures of sexual behavior • Template available on SharePoint • What to provide • Means, standard deviations, sample sizes for each measure • Any documentation of deviations from those basic statistics (e.g. you calculate statistical tests accounting for clustering)

41. Required data processing • Construct race variable • Recode those selecting multiple races into a two or more races category • Construct dummy (binary) variables for yes/no survey items, gender, and Hispanicity • Construct full sample sexual behavior variables • E.g. youth that they did not have sex in the past 3 months should be coded as “no” or zero in the numerator and included in the denominator for the measure regarding sexual intercourse without a condom in past three months

42. Baseline equivalence excel template

43. Baseline equivalence excel template

44. Questions? Office of Adolescent Health

45. Thank you for your time today! Office of Adolescent Health