Progress Updates/Disbursement Request (PU/DR)

The Global Fund Progress Update/Disbursement Request (PU/DR) template is available in English, Español, Français along with comprehensive guidelines on how to populate the template. Note that use of this tool is mandatory for all Global Fund Principal Recipients (PRs).

The Grant Agreement stipulates that the PRs must submit reports no later than 45 days after the close of the agreed periods. However, where an annual financial report (AFR) is also due, both are due 60 days after the close of the period. These reports are submitted to the Local Fund Agent (LFA), with a copy to the Global Fund Country Team and the Country Coordinating Mechanism (CCM), which then in turn verifies the reported data and submits them to the Global Fund within 10 working days after receiving the final signed version of the report from the PR.

The PU/DR provides the following:

• Progress report on the latest completed period of programme implementation;
• Request for funds for the next/following execution and buffer period;
• Update on the programmatic and financial progress of a Global Fund-supported grant;
• Update on health product management, especially Price and Quality Reporting (PQR), risk of stock-outs and expiries, etc.;
• Update on fulfilment of conditions, management actions and other requirements; and
• The basis for the Global Fund’s annual funding decision by linking historical and expected programme performance with the level of financing to be provided to the PR.

The PU/DR should be carefully prepared and cross-checked, as errors can delay disbursements. The following errors have been cited as reasons for delaying disbursements:

• The disbursement request was not signed;
• The disbursement request was not dated;
• The cash reconciliation was not completed correctly;
• The progress update and disbursement request periods under the ‘General Information’ of the report were not correct;
• The signature was not the same as the one on the specimen document, or no specimen document was provided;
• The indicators and/or targets reported on in the ‘Programme Progress’ section of the report were not those agreed for that period in most recently approved Performance Framework; and
• Prices of medical products were not reported on in the Global Fund’s PQR database.

Differentiated approach to reporting

In order to “maximize impact against HIV, TB and malaria by tailoring investments and processes to specific characteristics of a country portfolio,” the Global Fund has adopted a differentiated approach across its portfolio for the 2017-2019 allocation period. The approach not only differentiates processes (including access to funding and reporting) across predefined categories of countries, it also accordingly aligns Global Fund human resources dedicated to grant management.

All Global Fund recipient countries have been divided into three categories, based on a combination of three criteria: (1) size of current funding allocation, (2) disease burden, and (3) impact/criticality for the achievement of the Global Fund’s objectives.

The three new portfolio categories are:

• Focused countries (smaller portfolios, lower disease burden, lower ‘mission risk’ - i.e. less critical to the Global Fund’s ‘mission’): all countries with a current total country allocation under US$75 million, plus most regional grants.
• Core countries (larger portfolios, higher disease burden, higher risk): countries with a current allocation between $75 million and $400 million.
• High-impact countries (very large portfolios, ‘mission critical’ disease burden): includes countries with a current allocation of $400 million or more + 1 malaria regional grant managed by UNOPS.

Reporting requirements are different for each of the portfolio categories:

• Focused countries are required to submit an annual PU/DR covering programmatic, finance, health product management and grant management. The LFA reviews the PU/DR but doesn’t verify programmatic results, and doesn’t verify expenditures (only high-level analytical review of expenditures versus budget).
• Core and high-impact countries must submit two progress updates per year: one mid-year PU (expenditure reporting optional for core countries; scope of LFA review to be determined by the Country Team) and one yearly full PU/DR subject to full LFA review.

Unless decided otherwise by the Global Fund Country Team, the following is a list of the forms that need to be submitted as part of the annual PU/DR or the semi-annual PU: