Guidance for HMP Assessment and Formulation of the Year – 3 Workplan 

These instructions are intended to give guidance on the planning and formation of your Year –3 workplan.  The goal is for the work that you carry out in Year -3 to be based on the most current knowledge of the situation in your service area related to the objectives of the from the Minimum Common Program (MCP).  The construction of your Year – 3 workplan is intended to be built on the prioritization work you completed last year and does not entail the completion of new assessments.   

To formulate your Year – 3 workplan we are asking that you follow the steps laid out below.  We have included a change form at the end of this document that you should use to document intended changes of objectives and strategies in your workplan.  Once these proposed changes have been reviewed and approved by your Project Officer they may be finalized in the KIT system.  Please note that the development of your OSA SPF-SIG year 3 workplan is a separate process and outlined starting on page 4 and titled: OSA SPF-SIG Year 3 Workplan Guidelines

The 3rd   year HMP workplan will continue to be based on the 50-40-10 percent parameters that were laid out in the RFP.  In other words, your CDC-HMP workplan design needs to reflect a balance of effort of 50% on Tobacco, 40% on Physical Activity and Nutrition, and 10% on chronic disease objectives (including the Care Model Inventory).  Your previous analysis of the data provided to you, and your determination of changeability, importance, and available resources for each MCP objective, along with your knowledge of the current conditions within your service area will help you choose the work you will do within each of the 50-40-10 parameters and to proportion your effort between the three parameters.  

Please follow the steps below: 
 
Carefully review your Year - 2 workplan noting areas in which you made progress and those in which you did not.  Also review the prioritization grids that you completed last year, comparing them to what you know about the current status of needs within your service area.  For each objective determine whether the level of prioritization you assigned last year remains the same or whether the status of the need has changed.   

Example questions to ask are:
•	Do we have any new information on the statistic related to the objective that changes the priority of this objective?
•	Have local conditions changed in such a way so as to affect our work on this objective?  If so in what way?  
•	Do our resources continue to match the work planned for this objective?
•	Are the strategies that we have selected having an affect?
•	Do we need to consider new strategies to accomplish this objective?

In other words, carefully analyze both the work that you have accomplished and the conditions that you are doing the work in, and make any necessary changes based on what you have learned and in a thought out and accountable manner.  

For those objectives that you determine have undergone no change in need or that you are making the progress that you expect, no change is necessary.  You will just continue these unchanged in your Year - 3 workplan.  

For those objectives that are not working out as you expect them to, you may decide to change the strategies that you are using or to delete the objective entirely.  

You may also assess that the need has changed in you service area such that you need to open a new objective. 

As you assess the status of your objectives and determine what changes are necessary, complete the attached Change Form to document your considerations and rationales for the necessary changes. Each changed objective should have a separate Change Form filled out.  There are intended to be forwarded to your Project Officer so they may understand the changes you are proposing to your workplan for the upcoming year.

Once your Year - 3 workplan has been approved by your Project Officer you may finalize it in the KIT system.  You will then be able to generate a KIT report to create a hard copy of your workplan to submit in the recontracting process that will take place at the end of this fiscal year.

Instructions for filling out the Year - 3 Workplan Change Form:

1.	Please fill in identifying information at top of page
2.	Enter objective number and objective wording for any proposed change
3.	Check off what the proposed change is.  If you are replacing one objective with another you will complete two change grids, one for the deleted objective and one for the added objective.  If you are changing a strategy applied to an objective you can just tell us about the change and how the change will help you implement the objective in the rationale for that objective.
4.	Please give a clear rationale for the proposed change.  The rationale does not have to be long but needs to contain sufficient information in enough detail that your Project Officer will be able to understand why the change has been proposed.  Insufficient information may delay the process of finalizing your workplan. 
5.	Change sheets should be submitted along with your proposed Workplan no later than July 15th.  
6.	Your Project Officer will review the proposed changes to your work plan, discuss them with you and give feedback on the proposed change.  
7.	Once all changes have been finalized, your Project Officer will give final approval to your year – 3 workplan.  

Objective: 	
Change Proposed:    Add Objective          Delete Objective          Change in Strategy (add, delete, or replace)	
Rationale for Proposed Change:  	
Project Officer Notes:             

Communicated Feedback on:  _____________________	
Objective: 	
Change Proposed:    Add Objective          Delete Objective          Change in Strategy (add, delete, or replace)	
Rationale for Proposed Change:  	
Project Officer Notes:             

Communicated Feedback on:  _____________________	
Year – 3 Workplan Change Form

HMP: 								Contact Person:   						Phone :

OSA SPF-SIG Year 3 Workplan Guidelines

The guidelines for the Year - 3 OSA SPF-SIG workplan are different and separate from the CDC HMP workplan due to the requirements of the SPF-SIG federal funding stream and the prior grant (Strategic Planning and Environmental Strategies – SPEP) where the county assessment and strategic planning has already been completed.  

The SPEP strategic plan and needs assessment developed for your county, as well as the 2008 MYDAUS results and any other substance abuse data you have collected over the past year, should be used in the development of the Year - 3 substance abuse workplan.  You may download a copy of your county’s plan at http://www.maine.gov/dhhs/osa/prevention/community/spfsig/plansdata/strategicplan.htm. 
 2008 MYDAUS data may be found at http://www.maine.gov/maineosa/survey/home.php for the Public Health District, County, and State level reports.  

The OSA Workplan Matrix Report generated in KIT Prevention will be used to develop your workplan if you are using strategies that are linked to Objectives in KIT Prevention; these are pre-approved.  Directions on creating a workplan in the KIT Prevention system were covered in the KIT Prevention Training and are included below.  Once you have completed the OSA Workplan Matrix, download a copy and email it to your OSA Project Officer.   

Any strategy(ies) that is(are) not in KIT will need to go through the OSA SPF- SIG Evidence Based Strategy Approval Process and you will need to use the form below (Year - 3 Workplan  - Strategies for OSA SPF-SIG Approval Process ) for the Objective(s) and strategy(s) you are requesting to use.   Please include this form with your OSA SPF-SIG Workplan in your contract.   The OSA SPF-SIG Strategy Approval Guide may be found at:  www.maine.gov/dhhs/osa/prevention/community/spfsig/      

It is OSA’s intent that the work funded focus mainly on strategies that will achieve population-level change in youth, young adults, and parents, thus applicants should consider carefully whether the strategies they are considering will reach sufficient numbers of people in the target population to meet this standard. Additional information on SPF-SIG is also available on the OSA SPF-SIG website at: www.maineosa.org/prevention/community/spfsig.

 ** SAMHSA’s 3 Evidence Based Status Definitions: 
1. Inclusion in a Federal List or Registry of evidence-based interventions/strategies;
2. Being reported (with positive effects) in a peer-reviewed journal; or
3. Documentation of effectiveness based on all three guidelines listed below.  The strategy is:
i: Based on a solid theory or theoretical perspective that has been validated by research; 
ii: Supported by a documented body of knowledge—a converging of empirical evidence of  effectiveness—generated from similar or related interventions that indicate effectiveness; and 
iii: Judged by a consensus among informed experts to be effective based on a combination of theory, research and practice experience.“ OSA has a panel of informed experts who will review strategies submitted that fall into definition 3
Download the OSA SPF SIG Strategy Approval Guide for those strategies you would like to propose that fit within definition number 3 above. http://www.maine.gov/dhhs/osa/prevention/community/spfsig/index.htm
Year - 3 Workplan  - Strategies for OSA SPF-SIG Approval Process 
(for strategies proposed that are NOT in KIT Prevention) 
	
Requesting Organization:  	Contact Person:	
Contact’s Email:  	Phone:	
OSA MCP Objective in KIT: 	Work to begin by (date)	Who Is Responsible for leading implementation?	Towns prioritized in year two	Evidence based strategies not listed in KIT 
(must be submitted to OSA for approval based on one or more of SAMHSA’s evidence based strategy definition)**	

					

					
Insert more rows if needed.					

Directions to Create Your Year - 3 HMP Work Plan
in KIT Prevention

Your 2008-2009 Workplan has been copied over to the 2009 – 2010 Workplan year in the Workplan Matrix Module within KIT Prevention.  To create your 2009-2010 Workplan, you will go in to the Workplan Matrix Module and edit the Workplan that is in your 2009-2010 Workplan Year.  Below are step by step instructions for this process.  

Editing the Workplan Matrix
	To edit the work plan matrix:
a.	You will need to get to the work plan matrix screen.  To get there, click on Planning Module then Work Plan Matrix in the top sub module menu.  Then enter your appropriate information (work plan year through health promotion category).
b.	Click the Edit button on the right for the appropriate objective that you would like to add information to.
c.	Edit appropriate information for the objective that you have selected.  Here you can change Lead Person/Group, YAP, towns/school selected, and strategies.
d.	Click Save.

Adding Objectives - If you wish to add an Objective in your 2009-2010 Workplan please be sure that you have included in your 2009-2010 Workplan Objective Addition or Removal Form and discussed with your Project Officer.

	To add an objective:
a.	Click Planning Module and then HMP Infrastructure Objectives from the top sub module menu.  Then enter your appropriate information (work plan year through health promotion category). 
b.	click Edit (if there are no Objectives chosen, click Add)
c.	click the appropriate check box for the objectives you want to select
d.	click Save
e.	The Objectives have now been added to your Workplan Matrix.  You will need to go to the Workplan Matrix to Edit the Objective (Lead Person / Group, YAP Involvement, Towns/Schools selected and Strategies).

Deleting an Objective – If you wish to delete an Objective in your 2009-2010 Workplan please be sure that you have included in your 2009-2010 Workplan Objective Addition or Removal Form and discussed with your Project Officer.
 To delete an Objective from the Work Plan Matrix:
a.	You will need to get to the work plan matrix screen.  To get there, click on Planning Module then Work Plan Matrix in the top sub module menu.  Then enter your appropriate information (work plan year through health promotion category).
b.	Be sure that this is an Objective you wish to delete.  Click the Delete button on the right for the appropriate objective that you would like to delete. (Note:  If the objective to be deleted already has Process Steps information linked to it, that objective cannot be deleted unless all of the data associated with it is also deleted from the Process Step module.  Since none of the process steps info has been copied over from the 2007-2008 year, this should not be an issue.)
c.	Click Save.

To Delete an Objective from the Infrastructure Objectives module: (If the objective to be deleted already has information in it, that objective cannot be deleted unless all of the data associated with it is also deleted in the Workplan Matrix)
a.	click HMP Infrastructure Objectives
b.	select the appropriate work plan year through health promotion category
c.	click edit 
d.	click the appropriate check boxes to unselect the appropriate objectives
e.	click save

If you need assistance with KIT Prevention system issues, please double check the instructions above, if the issue still exists, then give the KIT Help desk a call at 888-600-4777.  If you have a programmatic question or concern, please contact your Lead Project Officer.  Thank you