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Programmatic Sections of the Progress Update

The frequency of submission of Progress Updates to the Global Fund varies by country. For more information, please refer to the overview of the Global Fund’s differentiated approach and/or contact the UNDP Global Fund Partnership and Health Systems Team (GFPHST).

The Programmatic reporting section of the Progress Update includes Tab 1A: Impact/Outcome Indicators; 1B: Impact/Outcome Disaggregation; 1C: Coverage Indicators; 1D: Coverage Indicators Disaggregation and 1E: Work plan tracking measures (WPTMs).

Impact/outcome indicators

Although the PR will not have to report on these indicators in all PU/DRs, it is nevertheless important to keep track of the implementation of the surveys necessary for future reporting (e.g. malaria indicator survey (MIS), Integrated Biological and Behavior Surveillance (IBBS), demographic and health surveys (DHS), etc.) and, if any delays in the surveys are expected, the PR should report the reason for the delay and revised timelines for conducting the survey and reporting results.

If an indicator result is outstanding from the previous year, and there is a higher target for the current year, then the reported result will be compared against the target of the current year. If an indicator result is outstanding from previous years, and there is no target for the present year, then this indicator should still be listed until a result is reported.

If any of the planned baseline surveys are delayed, the PR should report the reason for the delay, as well as revised timelines for conducting the survey.

As survey results may not become available within the typical two-year lifetime of a grant, the Global Fund may include in the PF reporting timeframes beyond the grant end date. This should not present an issue as the results for these indicators would be publicly available through national disease programmes.

Disaggregation = Results should be further disaggregated by age, sex, gender, status etc. for a specific set of impact/outcome indicators where disaggregation is required by the Global Fund.

Coverage indicators

All modules and coverage indicators contained in the current PF should be reflected in the pre-filled PU or PU/DR template received from the Global Fund Country Team.

The results reported normally reflect activities carried out in the period just completed and should be reported against the indicators and targets from the most recent approved performance framework (PF). In some cases, however, it may not be possible to receive information before the 45-day or 60-day window for reporting to the Global Fund elapses. If such delay is unavoidable, the Principal Recipient (PR) should still submit the report for that period, but the results for that particular indicator will relate to the preceding period and not to the period just completed. If the time-lag in data collection for any of the indicators goes beyond the reporting deadline, it is advisable to stipulate this during grant negotiations in Indicator comments field in the Performance Framework.

In the field ‘PR comments on (a) results achieved, (b) data sources, and (c) any other contextual information’ of the Progress Update, , the PR should explain specific reasons for under- or over-achievement of targets. Examples of common reasons for underachievement include: delays in disbursement or procurement, Sub-recipients (SRs) not contracted in the time originally planned or sub-optimal functionality, challenges in robust and reliable data collection, or other implementation challenges. This explanation is very important in the PU/DR. The PR should report all specific shortcomings/obstacles that may have impacted the achievement of the target and mitigating circumstances beyond its control. The PR should also summarise all remedial actions completed or in progress (or planned) to address under-performance; to the extent possible, the timelines and responsible person/entities should be specified. Any progress made on the respective measures should be similarly reported in the current and future Progress Updates.

See further tips and checklist in the PU/DR guidance developed by the UNDP Global Fund Partnership and Health Systems Team (GFPHST) in English, French, Russian and Spanish.

Workplan tracking measure (WPTM):

Some programme areas (modules) and interventions – for example, the removing legal barriers and community systems strengthening modules – cannot be measured using available coverage indicators during the execution period being assessed and will therefore not result in a standard indicator rating. Moreover, these areas require additional qualitative measures to assess their effectiveness.

To address this, the Global Fund has developed a specific monitoring and evaluation (M&E) framework for modules that do not have a service delivery component and will request the PR to report on progress through the Progress Update Disbursement Request (PU/DR) on the agreed upon workplan tracking measures in country-specific, multi-country and regional grants.

Additional support for PU/DR preparation

The UNDP Global Fund Partnership and Health Systems Team (GFPHST) has developed further guidance to support PMUs in preparing and quality assuring programmatic sections of the Progress Update (and PU/DR). This guidance is available in English, French, Russian and Spanish.

The deadline to submit the PU/DR for review by the UNDP Global Fund Partnership and Health Systems Team (GFPHST) is 5 working days before the Global Fund deadline.

Following the submission of the semi-annual Progress Update or the annual Progress Update/Disbursement Request (PU/DR), the report is reviewed and verified by the Local Fund Agent. Based on the LFA-verified report, Global Fund issues a Management Letter (ML), which provides feedback and recommendations for the PR on the implementation of the programme. The Country Team should normally issue the Performance Letter and Performance Rating within 95 days (PU) and 110 days (PUDR) from last reporting period end-date.

The PR should respond in writing to the Global Fund addressing the issues raised in the ML, by the deadline specified in the ML or no later than two weeks following receipt of the ML.

Practice Pointer

It is strongly recommended that Country Offices (COs) share the draft reply to the Global Fund’s Management Letter with Sub-recipients (where applicable) for feedback as well as with the UNDP GFPHST Programme Advisors to obtain feedback and comments in advance of sending the final response to the Global Fund.

Grant Management

In Grant Management (Tab 9), all Grant Requirements contained in the Grant Agreement/Grant Confirmation or management actions in any subsequent implementation letters that are due for reporting during the period covered by the Progress Update should be listed. The PR must provide a status update on all listed CP and special conditions SCs. In addition, all management actions assigned to the PR by the Global Fund that are outstanding should be listed with a reference to the date of the respective Performance Letter and action number. Comments on progress toward fulfilment should be provided for each management action.

Principal Recipient’s Self-Assessment

In PR’s Overall Self Evaluation of grant performance (Tab 10), the PR should include self-evaluation of grant performance to date, undertaken by taking into account programmatic achievements, financial performance and programme issues in various functional areas (M&E, finance, health product management, and programme management, including management of SRs); a description of external contextual factors that have had or may have an impact on programme performance; a description of any planned changes to the programme. More comprehensive guidance on this can be found in the PU/DR guidelines (p.59 of the English version dated 17 February 2022).

If during programme implementation the PR observes that a target set or an indicator agreed to in the PF is no longer applicable/achievable, due to a changing epidemiological landscape or reasons beyond the control of the PR, this should be brought to the attention of the FPM and a request to amend the PF through an Implementation Letter should be considered. For more information, please refer to the Monitoring and Evaluation section.

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