IATI Implementation Schedule for: Plan International USA

Transcription

1 IATI Implementation Schedule for: Plan International USA IATI Organisation Identifier: (Click on hyperlink above for more information on IATI Organisation Identifiers) Version: 1 Date: 10/7/2013 This document provides a publication plan which covers: 1. When will data be published? Timetable and frequency of publication 2. Exclusions and constraints: Overview of exceptions, thresholds & constraints 3. How will data be published? How published data will be presented to users 4. What data will be published? Overview coverage. For each area of the standard: a. Timetable for publication b. Terminology used within the data provider's systems c. Exceptions, thresholds & constraints Instructions for completion: The Implementation Schedule is divided into three tabs, with mirrored guidance tabs providing more help in completing the schedule (which should be deleted prior to submitting a completed Implementation Schedule): 1. Publishing Information 2. Organisation Data 3. Activity Data Publishing Information This provides space to provide more detailed information about what data will be published, whether there will be any exclusions, and how the data will be published. This is made up of a mixture of boxes for extracting specific information and text boxes for providing more detailed information. Many of the boxes for specific information consist of drop-down menus where you will need to select the most appropriate category that fits with the qualitative information you provide in the adjacent text box. Some require a typed entry: e.g. Numeric entry for % of total budget (/ODA) and date entries for publication timetable (this should appear in mmm-yy format - e.g. Jan-12). The purpose of these boxes is to make it easier for users to extract the most pertinent information, whereas the text boxes expand on this to provide more detailed information. Organisation Data and Activity Data Although each of these has its own worksheet, the format for completing each is the same. Each is made up of a table consisting of seven columns: 1) Information Area, 2) Status, 3) Publication date, 4) Exclusions & Thresholds, 5) Exclusion category 6) Data provider definition, and 7) Publication notes. 1) Information Area - this identifies the data item. 2) Status - this provides a traffic light rating on the readiness of data to be published and is based on the following key: Under consideration Unable to publish Publishing in full compliance with the IATI Standard Publishing some data required by the IATI Standard Data will be published at a future date No current plans to publish, but could be considered Information not available or collected, or not relevant to organisation

2 (The colour coding is auto-generated through use of the drop-down menu.) For anything less than full compliance, further information should be provided in the publication notes. This includes: - dates for full compliance if partial compliance is expected initially - information on future publication of data items - e.g. potential dates or what it is dependent upon (e.g. new management systems) - under what conditions data items under consideration could be published (e.g. implementing geo-coding or collecting of results data) - reasons for being unable to publish (e.g. not relevant to the organisation, not part of the organisation's business model, etc.) 3) Publication date - identifies when data can start being published (this will be based on the overall timetable for publication identified in the 'Publishing Information' tab, and should indicate when in the publication timetable this date item will be published). The date should appear in mmm-yy format (e.g. Jan-12). If any additional information needs to be provided about the date, this should be added in the 'Publication notes'. 4) Exclusions & Thresholds - highlights any specific thresholds or exclusions for the data item. 5) Exclusion category - identifies the reason for the exclusion using the following drop-down menu: n/a a b c d No exclusions Not applicable to organisation A non-disclosure Not currently captured and prohibitive cost Other (please specify within the 'Exclusions & Thresholds narrative) 6) Data provider definition - provides the terminology used within the organisation's internal systems (this demonstrates how internal terminology maps to IATI). 7) Publication notes - provides additional information, such as reasons for amber or red coding, or relevant information which is not covered in the preceding columns or requires further clarification. Support available: Knowledge Base The Knowledge Base has a number of forums that provide additional information about getting started and implementing IATI, including discussions on tools, information for NGOs and some technical information. Information on communication support can also be found here to help in promoting your IATI publication (including examples of existing news releases, templates and contacts). The Knowledge Base can be found at: Further support If you require any further support or there are any areas of information you would like to see added, please contact Joni Hillman at: jhillman@bond.org.uk

3 1. When will data be published? Timetable and frequency of publication Which organisations/agencies/programmes will your IATI data cover? (What % of your total development flows does this cover? What is missing?) Percentage of total budget / ODA 0% Initially, Plan US will report on all US Government, multilateral and foundation-funded projects with total (multi-year) budgets of $200,000 or more. We will then move towards reporting data on all grants raised by Plan US and implemented by Plan International Country Offices, and on sponsorship funds raised in the US and disbursed via Plan International. Overall timetable for publication (Provide a date for when these organisations will publish (a) an initial (incomplete) set of IATI data and (b) full IATI implementation) Date of initial implementation Date of full implementation Oct-16 Our information will be made available in three phases. Phase 1: By October 15, 2013, we will publish a) Plan International USA Operations: Annual report and financial report, governance structure and board members, and Plan International USA s program strategy. b) Plan International USA Programs: Project name, period of performance, description, funding source, total budget (initially for projects of $200,000 or above) funded by bi- or multi-lateral donors, foundations and corporations and where Plan is the primary recipient and implementer.phase 2: By October 15, 2014: In addition to the above, we will publish summaries of proposals, disbursement and expenditure (as internal systems permit), results when projects conclude, and external audits (where available) for projects of $200,000 or above funded by bi- or multi-lateral donors, foundations and corporations, where Plan is the primary implementer or where Plan is the sub-recipient and has authorization from the primary implementer to publish. Phase 3: By October 15, 2016: In addition to the above and as internal systems permit, we will publish information on funding that is received through sponsorship and other types of private giving, and information on grant funded projects under $200k. Phase 3 will also be dependent on Plan International s global progress with IATI publishing and improvements to the IATI standard that allows better guidance on publishing information on private giving. Full implementation will be facilitated by improvements to IT systems in Plan US and Plan International which should significantly reduce the currently prohibitive cost of collating full data Timeliness and frequency of publication (How soon after data is captured and available internally will data be published? How frequently will data be published?) Frequency of Timeliness of publication publication Bi-annually > 1 quarter in arrears We will publish data on a bi-annual basis at first, and will strive for quarterly information as internal systems allow. We will publish 6 months in arrears to ensure that we are publishing our actuals at least once per year. With IT system improvements being rolled out across Plan International country offices between now and April 2016, we will be able to reduce the amount of time in arrears that we will publish, but cannot currently state by how much that will be reduced. How early in lifecycle will activity details be published? (Will activity details be published during the pipeline/identification stage or not until they are approved and in the implementation stage) Lifecycle status at publication

4 Implementation Given the volume of fundraising proposals developed and their success rate, it will be more useful to publish information from the point at which contracts are signed and thus funding is confirmed. Data quality status (Do you want to identify the status of the quality/audit/statistical verification of data that is published in registry? Please indicate whether you anticipate doing this, and the likely timing of moving from unverified data to verified data) Data quality Verified Organisational financial information will be externally audited. Project finances (data which originates in country offices) will generally be internally verified by Plan International USA program and/ or finance staff. Project documents will be reviewed by program staff prior to publication. Approach to publication (Please outline what staff and system resources are being made available to implement IATI, any relevant organisational structures e.g. working groups, and who is leading on IATI implementation) System resource Excel spreadsheet conversion Other notes Overall leadership is provided by the Exective Office (Senior Advisor for Innovation, Transparency and Strategic Change). Operational support and guidance is given primarily by the International Programs Team (International Programs Administrator), with additional input from Grants, Finance, Marketing, Business Development, IT, Compliance and Communications. Data will initially be captured manually and converted from excel spreadhseets. Data capture from Plan systems will be enhanced when new systems are rolled out in Plan International USA in 2014 and in Plan International country offices over the course of the next 3 5 years Plan International USA is a member of Plan International, and country offices and programmes are managed by Plan International Inc, a membership-based company part-owned by Plan International USA. Plan International USA's ODA flows are broadly of two types: (a) grants secured by Plan International USA from US Government, Corporations, Foundations, multilateral donors and major individual donors and implemented via Plan International Country Offices for specific activities; and (b) child sponsorship funds raised from the US public, remitted to Plan International Inc and pooled with similar funds from other Plan National Organisations to provide unrestricted funds to support delivery of Country Strategic Plans. Plan International USA is able to provide detailed information on grant-funded projects, and less detail on pooled, sponsorship-funded programmes

5 2. What are the exclusions from publication? Exceptions and constraints: general rules that exclude activities from being published. Any specific data item exclusions should be listed in the data tables (Organisation data tab and Activity data tab). Thresholds (are there any thresholds on the value of activities or transactions to be published. Please specify what the general threshold limits are for In Phase 1, we will report US Government, Corporate and Foundation grants of $200,000 or more where Plan is the primary implementer. We will begin reporting on all other activities gradually. Over time and as we develop IT systems and internal procedures capable of providing automated access to project data, we will be able to report on all activities irrespective of value. If those systems are not fully in place by our target data for full IATI compliance by October 2016, we will be required to adjust our current plans Exclusions (Please identify any rules for excluding data or information that will either be applied automatically or used as a basis to manually exclude We will exclude information on activities whose publication could endanger the security of the staff or assets of Plan or its implementing partners, or of the communities and children we work with. We will exclude certain information from project and program documents whose publication would harm the commercial interests of Plan International USA or its partners. Due to the prohibitive cost of publishing historical data, we will publish only information on projects that are live at the time of our initial publication. In line with Plan's Child Protection Policy, no data that could place individual children at risk of potential abuse or exploitation will be published Any general issues or other constraints

6 3. How will data be published? Information for prospective users of information Licensing (Under which license will data be published: public domain or attribution? If the license does not meet the IATI standard please specify why. Please state whether you intend to use the IATI authorised license or another) Licence type Attribution-only We will publish under a Creative Commons Attribution Non-Commercial License (CC BY-NC 3.0). We are open to further discussion on alternatives as further information on usage and applications of data become available. Definition of an activity and multi-level activities (How is an activity defined e.g. projects and programmes, or some other structure? Do you have multitiered project structures e.g. projects and sub-projects or components? At which level do you intend to publish details (e.g. transactions)?) Multi-level activities reported? Yes For Plan International USA grant-funded work, each "activity" will relate to a project, as defined by the agreement with the donor agency. Where there is a percentage remaining with Plan International USA and in the case of multi-country activities, we will indicate the relationship using a parent (overall program) and child (specific activity per country) relationship and provide information on Plan International USA and the disbursement to the country office. We will use our internal "Grant Agreement Document" number as a supplemental ID. This will be indicated within the "Activity Description" and "Related Activity" fields. For sponsorship funded work, we foresee an "activity" as being defined as Plan US's financial contribution to the delivery of that Country's Strategic Plan. As further information on how IATI will work for private funding from individual giving is available, we may adjust this aspect. Segmenting data for publication (The recommendation is to publish data segmented by country i.e. one data file for each country. Duplicate project data must not exist within different files, so projects targeting multiple countries or regional/worldwide by nature should be held within a non-country specific file(s). Is this a practical suggestion for your programme? How many projects are not specific to one country and what non-country files best suit your programme?) Segmentation By country / region User interface? Yes For initial publication we will publish all data relating to single-country activities in one data file, and multi-country programs in a second data file. By the time of full compliance, we would anticipate publishing separate data files for each Plan region, along with a separate multi-country program data file. Do you intend to provide a user interface in addition to raw (XML) IATI data? (Will IATI data be accessible for end users through an existing or a new user interface on your website? [Note: this is not an IATI requirement]) We will create a page on for users to access project documents and data.

7 Organisation Note: definitions and code lists can be found at: Note: For further information or support please go to the Knowledge Base: Information Area Status Plan USA Publication date Plan USA Exclusions & Thresholds Annual forward planning budget None. data for agency Annual forward planning budget for funded institutions See the "Open Information Policy" for Plan International USA Exclusion category Data provider definition Total budget in USD for Plan International USA for the next 3 years Information from grant documents for awards over $200k where Plan is the prime. Forward planning budget for Plan International Inc. for the next 3 years. Publication notes Plan International USA forward planning budget data is in the form of overall organizational income targets. Subject to revision as actual secured income is confirmed. In Phase 1, we will publish this information for grants over $200k where Plan International USA is the prime. We will also link to Plan International's 3 year forward planning budget. By Phase 3, we hope to rely on Plan Inernational's global systems for this information on a broader set of funding. Annual forward planning budget data for countries Organization documents Subject to Plan International Inc. Information Disclosure Policy Forward planning budget for Plan International Country Offices for the next 3 years. Will include: Plan International USA's Strategic Plan, Annual Report, 990, audited financial statements, Plan Intl Country Strategic Plans In Phase 1, we will publish country office project budgets for awards over $200k where we are the primary implementer. By Phase 3 we hope to be able to publish Plan International USA's contribution to country office budgets and link to the global budget of Plan International. We will also eventually provide notes on match, locally raised funding, etc as our internal systems permit automation. We will link to Plan International's 3 year forward planning budget. Links will be provided to Plan Intl Country Strategic Plans. Plan International headquarters is in the process consolidating these in one place). All other documents will be available on the Plan International USA website.

8 Activities Note: definitions and code lists ca Information Area Status Publication date Exclusions & Thresholds Note: For further information or support please go to the Knowledge Base: Data provider definition Exclusion category Publication notes Reporting Organisation IATI activity identifier Other activity identifiers Basic Activity Information Activity Title (Agency language) Activity Title (Recipient language) Activity Description (Agency language) Activity Description (Recipient language) Activity Status Activity Dates (Start Date) Activity Dates (End Date) Activity Contacts We will use the donor contract number as our activity identifier We will use our internal "GAD" number in order to link this with Plan's Internal processes We will use our internal Active Projects Spreadsheet and eventually the Plan Grants Tracking System (GTS). Activities will either be active or closed based on date parameters. In Phase 1, these will be mainly "Active" projects. Information on projects that are active as of October 2013 will be uploaded. From the Plan Grants Tracking System From the Plan Grants Tracking System Queries can be sent to and they will be passed from there to the relevant unit and/or person.

9 Participating Organisation (Funding) Participating Organisation (Extending) Participating Organisation (Implementing) Participating Organisation (Accountable) Geopolitical Information Recipient Country Recipient Region Sub-national Geographic Location Classifications Sector (DAC CRS) Sector (Agency specific) Policy Markers The name of the donor providing the funding to Plan USA (unless donor wishes to remain anonymous) Oct-16 possible exclusions, per donor special request, publishing projects where Plan is Prime There may be sensitive cases where implementing organizations request to not be named If a specific request is made for nondisclosure we would consider it In cases where the information is readily available we will publish c) Not currently captured and prohibitive cost Our default position will be to include this information unless otherwise restricted by a cooperative agreement or other element from the information. Plan Country Office or partner implementing the activity. In Phase 1, data will only be published on US Government, Foundation, Corporate and Multilateral funding, where Plan International USA is the primary implementer. We will eventually expand to other funds in Phase 2 and 3 as described under "publishing information". This will be included in a gradual manner according to our Phased approach. In Phase 1 we will publish this information where it is readily available. In Phase 2 and 3, as internal systems are adjusted we will complete this information. In Phase 1 we will publish this information where it is readily available. In Phase 2 and 3, as internal systems are adjusted we will complete this information. In Phase 1 we will publish this information where it is readily available. In Phase 2 and 3, as internal systems are adjusted we will complete this information. We will publish if and when relevant.

10 Collaboration Type Default Flow Type Default Finance Type Default Aid Type Default Tied Aid Status Financial Activity Budget Planned Disbursements (UNDER DEVELOPMENT) Recipient Country Budget Identifier Financial Transaction Financial transaction (Commitment) Financial transaction (Disbursement & Expenditure) Under consideration Plan International USA grant funding = bilateral (code: 1). Plan International USA sponsorship flows = bilateral, core contributions to NGOs (code: 3) This will either be Contributions to Specific Purpose Programmes (B03) for most grant-funded work, Core Support to NGOs (B01) for sponsorship, or basket/ pooled funds (B04) for grant contributions from multiple Plan National Organisations or Disaster Appeals. The budget for the project annually by financial year. Oct-16 This information is commercially sensitive given that most USbased organizations are not yet publishing to IATI Oct-16 c) Not currently captured and prohibitive cost Total budget for the project. Oct-14 This information is commercially sensitive given that most USbased organizations are not yet publishing to IATI Quarterly total expenditure on project. Plan International USA will use this to distinguish the nature of restricted, grant-funded activities, and unrestricted US sponsorship contributions to Country Strategic Plans. We will consider publication as more US-based organizations comply with IATI and share their information. We will consider publication as more US-based organizations comply with IATI and share their information.further clarification is also required around how to calculate this number from various donors (foundations, etc.) who have different funding mechanisms. Financial transaction (Reimbursement) Under consideration Unable to publish not applicaable a) Not applicable to organisation

11 Financial transaction (Incoming Funds) Financial transaction (Loan repayment / interest repayment) Related Documents Activity Documents Activity Website Related Activity Performance Conditions attached Y/N Text of Conditions Results data Unable to publish Oct-16 Oct-14 not applicable c) Not currently captured and prohibitive cost a) Not applicable to organisation Quarterly total income allocated to project. Phase 2: Summary of proposals, disbursement and expenditure (as internal systems permit), results when projects conclude, and external audit (where available) for projects of We will give further consideration on what to capture here in collaboration with other parts of Plan International. It is currently not clear what is being requested. Documents (or parts thereof) will not be made available if they place the safety and security of any beneficiary, staff member or other $200,000 or above funded by bi- or multilateral donors, foundations and Child protection, Data stakeholder at significant risk. corporations, where Plan is the primary Protection, and commercial implementer or where Plan is the subrecipient and has authorization from the documents (or parts thereof) sensitivity are all reasons why prime to publish. Phase 3: information might not be made public. on funding that is received through sponsorship and other types of private giving, and information on grant funded projects under $200k, as internal systems permit and depending on Plan International s progress with IATI publishing. The development of a dedicated part of the Plan International USA website for project documentation and details is underway. Oct-14 Oct-14 Oct-14 c) Not currently captured and prohibitive cost Oct-14 This will be evaluations or results data that we link to.