Revised Progress Update and Disbursement Request March 2016 Geneva, Switzerland
What is a PUDR? A PUDR is a tool that supports in the following: 1 Review of progress Reviewing implementation progress of grants (programmatic, financial, and management progress) and assigning an overall grant rating. 2 Identifying issues Identifying implementation issues and potential future risks, as well as corresponding risk mitigation measures. 3 Annual Funding Decision The process of determining ( committing ) grant funds to be disbursed on a staggered basis to the PR, and other third parties as relevant, for the next execution period (up to 12 months, the execution period ) plus a buffer. Helps establish a disbursement schedule that indicates the expected date for the disbursement releases. 1
Background The current version of the Progress Update and Disbursement Request (PU/DR) was issued in 2011 The PU/DR revision became an urgency with the roll-out of the New Funding Model The updates cover the PU/DR template as well as the relevant Guidelines 2
Why was change needed? Alignment with the New Funding Model structure (Cost Groupings, Modules, Interventions) Capturing new reporting requirements from donors and the Board Improvement based on feedback received internally and externally on the reporting requirements Alignment and streamlining with the new financial reporting effective since July 2015 to avoid duplication of requests 3
What has changed Overall Streamlined semi-annual Progress Update Form PU Full PU/DR Timing Semi-annual (45 days after the end of the reporting Annual (60 days after the end of the reporting cycle) cycle) Scope Programmatic Section Progress against Impact, Outcome and Coverage Indicators Disaggregation of Impact, Outcome and Coverage Results (when relevant) Progress against Work Plan Tracking Measures (when relevant) Procurement and Supply Management Grant Management Programmatic Section Progress against Impact, Outcome and Coverage Indicators Disaggregation of Impact, Outcome and Coverage Results (when relevant) Progress against Work Plan Tracking Measures (when relevant) Finance Section Principal Recipient Cash Reconciliation Statement in Grant Currency Principal Recipient Reconciliation of funds provided to Sub- Recipients for the Current Implementation Period Total Principal Recipient Budget Variance and Funding Absorption Analysis Enhanced/Annual Financial Report Annual Cash Forecast Annual Funding Request and Recommendation Procurement and Supply Management Grant Management Evaluation of Grant Performance 4
What has changed Overall Templates: There are 2 new PU/DR templates: existing grants that were signed under the Rounds-Based Funding Model; and for new grants that were signed under the New Funding Model. Functionalities: In the NFM template, programmatic indicators can now be selected from a drop-down menu, instead of being inputted manually. In both templates, the PR and LFA input and comments, as well as the Country Team s validation and comments can now be provided on the same Worksheet. Both PU/DR templates were built in a way that can allow differentiating the forms generated depending on whether the PR is submitting a PU or a PU/DR. 5
LFA Scope of Work The LFA s verification is part of the Global Fund s assurance framework and its routine verification of the programmatic and financial performance of grants. The scope of the LFA s verification varies depending on the risk, disease burden, materiality, country/grant context, Global Fund Country Team resources, etc. When undertaking the PU/DR verification, LFAs are requested to agree the scope of the review to be undertaken with the Global Fund Country Team, prior to conducting the review. The LFA s report to the Global Fund should be timely, accurate and well informed. It should be based on sound analysis that supports reliable recommendations in a riskmitigating context. 6
Overall Look : PR, LFA and Global Fund Input on Same Worksheet The Green sections are to be completed by the PR The Blue sections are to be completed by the LFA. They are identified by the heading For LFA Use Only The Orange sections are to be completed by the Country Team. They are identified by the heading For the Global Fund Use Only 7
Coversheet (1/4) Coversheet The coversheet provides general information about the grant and the current PU/DR. The information should be reported as stated on the face sheet or grant confirmation of the grant agreement. Unlike the old template, this information only needs to be completed once by the PR on the Coversheet and does not have to be repeated on each of the worksheets. 8
This image cannot currently be displayed. Coversheet (2/4) The LFA should ensure the information provided in this box corresponds to what is stated on the face sheet or grant confirmation of the grant agreement When you re working on the PU/DR template, always make sure it s saved locally and the Enable Content button is clicked before completing the template. 9
Coversheet (3/4) The reporting period should indicate the reporting cycle (i.e. semester, annual ) and then the number of the period. The period covered should follow the period covered by the previous PU There should always be a PU number even if funds are not being requested by the PR. The disbursement cycle should be indicated (i.e. semester, annual ) The period covered should follow the period covered by the current PU, and be aligned with the dates of the corresponding programmatic period(s) in the PF. It should not include the 3-month buffer period. If funds are not requested, N/A should be selected for the DR number. If the PU had a Zero disbursement request, a DR number should be included. 10
This image cannot currently be displayed. Coversheet (4/4) Select the type of submission, i.e. PU or PU/DR and click on Generate Form. This will generate the relevant sheets to be completed, depending on the type of submission. The LFA should ensure all relevant forms are completed depending on the type of submission selected. 11
Section 1 Programmatic Progress (1/3) Progress Update / Disbursement Request Template Old Template Reporting on Impact and Outcome Indicators Reporting on Coverage Indicators NFM Template Reporting on Impact and Outcome Indicators Reporting on Coverage Indicators Reporting on Work Plan Tracking Measures* Reporting disaggregated results for Impact/Outcome Indicators Reporting disaggregated results for Coverage Indicators * The Work Plan Tracking Measures tab was also included in the Rounds-Based Funding Model template, as some regional grants that are still under the Rounds-Based funding Model opted for WPTMs instead of Coverage Indicators. 12
Section 1 Programmatic Progress (2/3) Disaggregation categories have been revised The changes include For TB and Malaria several disaggregation categories have been dropped. For HIV, in addition to some deletions, the disaggregation by age group 15-24 has been included for 5 indicators. These age groups are to be reported by some selected countries only If there are indicators that were disaggregated in current PFs but those categories do not appear in the PU/DR, this means that they are no longer required for Global Fund reporting. The revised list of required disaggregation categories is included in the PU/DR guidelines (annex 1).
Section 1 Programmatic Progress (3/3) Revisions Purpose Expectations Modules and interventions structure can now be selected from drop-down menus, rather than being inputted manually, in the NFM template Work Plan Tracking Measures (WPTMs) Disaggregation of programmatic results for selected Impact/Outcome/Cover age Indicators Alignment with the NFM Reporting on progress against WPTMs - especially for Regional Grants that only have WPTMs Reporting disaggregated results, not at the targets level. PRs who have Coverage Indicators and WPTMs should still report both PRs should report disaggregated results for those indicators that require disaggregation. Disaggregation will not affect the Grant Rating 14
Section 1: Impact / Outcome The LFA should ensure that all Impact/Outcome indicators that are due for reporting are selected, with reported results provided. The LFA completes these columns as per the signed PF. The LFA provides the verified results, with any comments, if relevant. 15
Section 1: Disaggregation - Impact/Outcome Only the indicators selected in the Impact/Outcome tab will show up in the drop-down menu list in this sheet. If the selected indicator requires disaggregation, the row will turn white, and the disaggregation/ Category columns will prepopulate and the information can be completed. An indicator may need to be repeated several times to complete all relevant disaggregation categories. Eg. if disaggregation is required by sex, then the specific indicator should be selected twice to provide the disaggregated results for male and female, etc. The LFA is expected to verify the disaggregated results and make sure they are accurate. Disaggregation does not affect the rating of the grant. 16
Section 1: Coverage Indicators The LFA should ensure the PR has selected the correct modules and indicators as per their signed Performance Framework. If Sub-National is selected for the Geographical Area, the LFA should specify the area in the Comments column. The percentage columns will calculate automatically. The percentage of achievement is still capped at 120%. 17
Section Only 1: the indicators Disaggregation selected Coverage Indicators in the Coverage Indicators tab will show up in the dropdown menu list in this sheet, with the module prepopulating automatically when the indicator requires disaggregation. If the selected indicator requires disaggregation, the row will turn white, and the drop-down menu of the Disaggregation and Category columns will be pre-populated with the relevant disaggregation information and categories. The LFA should ensure these columns are accurately filled. An indicator may need to be repeated several times, depending on the disaggregation categories required. The LFA should verify the disaggregated results and input them in the section labeled For the LFA Use Only. 18
Section 1: WPTMs The modules and interventions can be selected from a drop-down menu list in this sheet. The columns Activity Details Milestones/targets, Criterion for Completion, Milestones/Target for the Current Period and Country need to be inputted manually, based on the signed PF. The entry for the progress status can be selected from the dropdown menu. Each status corresponds to a score that will pre-fill automatically: Not Started 0 Started 1 Advancing 2 Completed - 3 19
Section 3: PSM (1/2) Progress Update / Disbursement Request Template PQR completion Risk of stock-out Old Template NFM and Rounds-Based Template PQR completion Risk of stock-out Risk of expiries 20
Section 3: PSM (2/2) Revisions Purpose Expectations The new features comprise a more targeted question on risks of stock-out and expiries for 7 core pharmaceutical and health products The LFA will verify the PQR entries as inputted by the PR for all purchases for the 7 core health products and their findings are documented in the PU/DR. A better management of the risks of stock-out and expiries at the country level with a more targeted question in this regard. PRs are expected to respond to the questions on risks of stock-out and expiry by referring to the most recent stock status report available at the country level at the time of completing their PU or PU/DR. Some PRs will be requested by the Country Team to attach the stock report to the PU/DR. 21
This image cannot currently be displayed. Section 3: PSM Not all procurement data needs to be reported into the PQR. The Global Fund requires PRs to report into the PQR all purchases of health products from the following 7 categories: Antimalarial medicines Insecticide-treated bed nets (LLINs) In-vitro Diagnostic products Condoms Anti-retrovirals Anti-TB medicines; Indoor residual spraying products The LFA should comment in the PU/DR on the accuracy and completeness of the procurement data entered in the PQR by the PR. The cumulative values should be based on verified/validated amounts derived from cost estimates and/or pro-forma invoices in the absence of the final invoice. 22
This image cannot currently be displayed. Section 3: PSM Select from a dropdown menu: Yes, No or N/A, but the LFA should make sure to provide further details in the comment column This section summarizes the analysis of the national stock status for selected critical items within the 7 core item categories to report on imminent risks of stock-out & expiry. Also incudes risk-mitigation decisions/plans, major challenges and technical support required to ensure optimal product management. Other products considered important under the grant, can be included in tailored list under Other. 23
Section 4: Grant Management Grant Management No changes were made to this section, except for the addition of the LFA and Global Fund comments to the sheet. It provides an overview of progress on all conditions precedent and other special conditions and management actions. It also provides progress information on Global Fund requirements that were due to be fulfilled during the period covered by the progress update (e.g. audit, AFR/EFR). A full LFA review of conditions precedent, special conditions and management actions is required in all risk settings (low, medium and high) in each functional area. 24
Section 5: PR-LFA Evaluation PR-LFA Evaluation No changes were made to this section, except for the addition of the LFA comments to the sheet. The section includes the PR s self-evaluation of the grant s performance. It requests a description of external factors that impacted the program performance. This section provides for a description of planned changes to the program. The LFA s overall evaluation of the information provided by the PR and the rating of the grant s performance based on the Global Fund s Grant Rating Methodology will also be included in this section. 25
Section 6: Findings and Recommendations Findings and Recommendati ons No changes were made to this section. It is still completed only by the LFA and the Global Fund. The purpose of this section is to document important issues and the LFA s recommendations to address issues in the areas of M&E, health products management, financial management and systems, program management and governance, including management of SRs by the PR. 26
Section 9: Authorization PR & LFA Authorization No changes were made to this section. After completing the PU/DR, the Principal Recipient should sign a printed version of the PU/DR and submit it to the Global Fund, copying the CCM) of their country. The LFA summarizes the approach used for the verification. They also comment on the nature of their internal quality assurance initiatives. The LFA also signs a printed version of the verified PU/DR and submit it to the Global Fund as a PDF file, by e-mail, or include an electronic signature in the Excel file submitted to the Global Fund. 27
Roll-out Approach Release of revised PU/DR English version: 15 January 2016 Other Languages (French, Spanish, Russian): 28 February 2016 Internal and External Trainings: starting from 15 January LFAs through LFA coordination team PRs through Country Team missions and Regional Meetings Effectivity Revised PU/DR to be used for reporting for the period ending 31 December 2015. If the PR needs additional time, the submission deadline for this reporting period may be extended. This should be discussed with the Country Team. How will this affect disbursements: If the PR is short of funding, they should elevate to the Country Team to address such issue. 28