Attachment J.6 - Standardized Reporting Template.docx

MONTH YEAR

This publication was produced for review by the United States Agency for International Development. It was prepared by <list authors and/or organizations involved in the preparation of the report.>

USAID KENYA (ACTIVITY NAME)

(QUARTERLY/SEMI-ANNUAL) PROGRESS REPORT

(AND annual performance report)

USAID KENYA (ACTIVITY)

FY 20XX qX PROGRESS REPORT

DD MONTH – DD MONTH YYYY

Award No: (Insert award number)

Prepared for [insert name of AOR/COR] United States Agency for International Development/Kenya C/O American Embassy United Nations Avenue, Gigiri P.O. Box 629, Village Market 00621 Nairobi, Kenya

Prepared by (Insert company name) (Insert company headquarters address)

DISCLAIMER

The authors’ views expressed in this report do not necessarily reflect the views of the United States Agency for International Development or the United States Government.

CONTENTs

ACRONYMS AND ABBREVIATIONS

iv Quarterly Task Order

Notes and Expectations for Reporting This report template is valid for quarterly, semi-annual and annual reports. The annual report includes the most recent reporting period data plus summary data for the previous 12 months; the quarterly or semi-annual report requires no additional modification.

Please keep in mind the purpose of this reporting:

1) Quarterly, semi-annual and annual reports are the required means of officially communicating between the award recipient (contract, grantee, or cooperative agreement holder) and the assistance officer representative (AOR) or contracting officer representative (COR), who holds the responsibility on behalf of the U.S. government for the performance of the awardee.

2) Quarterly, semi-annual and annual reports are not: a selling or marketing tool; an official report to the U.S. Congress; or an official report to the host government. They also are not a vehicle to restate background information that is already known by the AOR/COR.

3) Well-developed quarterly, semi-annual or annual reports directly inform future development programming. While the past successes or failures of your activity cannot be changed, future designs will be influenced by the lessons we identify in these reports. Your AOR/COR relies on you to bring frank, factual, and timely data forward in your reports.

4) Quarterly, semi-annual or annual reports are a management tool, a monitoring tool, and a planning tool; a report is not simply a document that identifies a list of completed activities. Rather, reporting:

· Outlines recent accomplishments and progress made on partner monitoring and evaluation plan (MEP) indicators. This serves as a formative way to determine if programming is on track to achieve annual targets.

· Identifies programmatic and operational challenges that arose since the previous report and proposes solutions and/or serves to request formal AOR/COR assistance.

· Presents non-planned, management, or operational issues that affect the activity, e.g.:

· Technical modifications or amendments, and/or

· Financial expenditure patterns and conditions.

· Note: Financial data presented in the quarterly, semi-annual and annual performance reporting is an estimate; exact financial data is submitted through the invoicing/payment process.)

I. (Insert Activity Name) EXECUTIVE SUMMARY (Maximum of 2 pages) Describe and summarize the significant activities during this reporting period. While the information conveyed here should be addressed more fully elsewhere in the report, the executive summary may be the only portion of the report that people outside of USAID will read. In addition to the COR/AOR, the report’s audience will include the mission director, the team leader, program officer, other USAID officials, and/or persons who may have an interest in the activity. The report should maintain a neutral tone and should discuss any “failings” and “challenges” directly – and these issues should be stated dispassionately. Although the intended audience is within USAID, this is an official contractual submission and, therefore, potentially public. It is possible that a host country minister or permanent secretary will read the contents of a report.

The executive summary should include the following sections:

Qualitative Impact Highlight any accomplishments that cannot necessarily be quantified: results of public events, trainings and other interventions that should be described with narratives. If the work of the activity has led to specific behavior changes in the intended audiences, describe this. List deliverables in this section.

Quantitative Impact Briefly summarize any progress made toward the achievement of the MEP targets. (Provide greater detail on this progress in Section III.)

Constraints and Opportunities Highlight or briefly describe any significant management or operational challenges, including changes in planned implementation tasks or in key staff, and/or issues related to coordinating tasks. If activity resources need realignment or new “windows of opportunity” have opened, raise these as options. If issues from the previous reporting period remain significant, note them here.

Subsequent Quarter’s Work Plan Describe what the AOR/COR can expect in the subsequent quarter. Also, discuss any proposed deviation from the approved annual work plan.

II. KEY ACHIEVEMENTS (Qualitative Impact) (Maximum length is 2 pages for small awards [under $5 million] and 20 pages for awards with several subgrantees) Provide a narrative description of the key achievements during the reporting period. Sort results by county (preferable, if possible) or other geographic region as appropriate.

The structure of this section should closely follow the structure of the activity so that the reader can easily see the relationship between work conducted (output) and the resultant achievement (outcome).

Lessons Learned Discuss what lessons have been gained through the reporting period, including any findings, conclusions, recommendations for any assessments, evaluations and/or special studies completed during the reporting period. Please identify how these lessons might influence the direction and emphasis of the activity.

III. ACTIVITY PROGRESS (Quantitative Impact) Provide a quantitative description of the key achievements of the reporting period.

The sample table below presents the basic data required to assess progress toward the achievement of the targets in your development objective. This template is designed to collect data in a consistent way from the time the award was signed (baseline) through each of the reporting periods. (Once USAID/Kenya implements its web-based management information system, you will enter this data into an Implementing Partner Portal on a quarterly or semi-annual basis, rather than providing it in these reports.)

Table 1: Performance Data Table

This table is the format to be used for reporting against the MEP. The table should be copied and completed separately for each indictor.

INDICATOR TITLE

INDICATOR NUMBER

UNIT

DISAGGREGATE BY:

Totals

Results:

Additional Criteria If other criteria are important, add lines for setting targets and tracking

31-Mar-12 Reporting Period 30-Jun-12 Reporting Period 30-Sep-12

Sex*:

Women (W), Men (M)

County 1

County 2

County 3

County 4

Below is an example of the format to be used for reporting against the MEP. The format should be copied and completed separately for each indictor.

NUMBER OF ELECTION OFFICIALS TRAINED WITH USG ASSISTANCE

INDICATOR #2.3.2-3

UNIT

Number of election officials DISAGGREGATE BY: Location, event, date and gender

Securing the Vote”

Polling Staff”

Totals

Results:

Additional Criteria If other criteria are important, add lines for setting targets and tracking

31-Mar-12 Reporting Period 30-Jun-12 Reporting Period 30-Sep-12

Sex*:

Women (W), Men (M)

County 1

County 2

County 3

County 4

* For indicators that cannot be disaggregated by sex, simply combine “M” and “W” columns.

IV. CONSTRAINTS AND OPPORTUNITIES

(Maximum one Page) Address any significant operational challenges, including changes in scheduled or planned implantation tasks and/or issues related to coordinating tasks. Discuss changes in the activity that may be required due to practical considerations “on the ground,” including any changes in scheduled or planned implementation tasks. If activity resources need realignment or new “windows of opportunity” have opened, discuss these as options. This discussion should be limited to statements of facts and conclusions that might be drawn from the facts.

If issues from the previous reporting period remain significant, be frank and open in discussing any step(s) toward their resolution.

This section can also include the expressed agreement between you and your AOR/COR to take specific actions. If decisions are made (in consultation with the AOR/COR) to either change the geographic location or the strategic elements being emphasized in the activity, they should be noted here for the official record. If contract modification or amendments are needed, they can be described in section XV, Activity Administration.

V. PERFORMANCE MONITORING

(Maximum one page) Describe performance monitoring activities conducted in the reporting period. If data quality issues were identified, please explain any action(s) proposed or taken to address any/all issues. Where possible, please include performance data that was collected during routine monitoring activities (site visit, pre- and post-tests, etc.). Raw data collection materials (e.g., site visit forms) may be included as attachments.

VI. PROGRESS ON GENDER STRATEGY

(Maximum one paragraph)

Describe your efforts in the reporting period toward meeting results under the activity’s Gender Strategy. Identify any differences in the roles and status of women and men and girls and boys under the activity, and determine if any identified inequalities or differences affect women and men or boys and girls differently, impede the achievement of the activity’s anticipated results, or have other unintended consequences. Please explain any action(s) proposed or taken to address any/all identified issues. Where possible, please indicate if any change in the design of the project was done.

VII. PROGRESS ON ENVIRONMENTAL MITIGATION AND MONITORING

(Maximum one paragraph)

Describe environmental mitigation and monitoring activities (environmental scoping, training, etc.) conducted during the reporting period under the activity’s Environmental Mitigation and Monitoring Plan. If any issues, incidents or adverse impacts were identified, please explain any action(s) proposed or taken to address any/all issues, including the sufficiency and effectiveness of the mitigation measures. Where possible please indicate if any change in the design of the project was done.

VIII. PROGRESS ON LINKS TO OTHER USAID PROGRAMS

(Maximum one paragraph) Describe your efforts in the reporting period to link your activities with other USAID programs. This assists USAID in building collaboration and cross-sectoral programming plans.

IX. PROGRESS ON LINKS WITH GOK AGENCIES

(Maximum one paragraph) Describe any/all efforts in the reporting period to link your activities with host country agencies (where applicable and where relevant to the activities).

X. PROGRESS ON USAID FORWARD

(Maximum one paragraph) Identify any contributions to the USAID/FORWARD initiative, such as building the capacity of local organizations. Additional information regarding USAID/Forward can be found here: http://www.usaid.gov/results-and-data/progress-data/usaid-forward . If you are a local organization, please outline any/all efforts to strengthen your own organization. If you have local sub-awardees, indicate the support you provide to these entities in terms of building their capacity to become future prime awardees. This section is the place to discuss any challenges encountered in this regard.

XI. SUSTAINABILITY AND EXIT STRATEGY

(Maximum one paragraph) Describe what you have done during the reporting period to advance the activity's sustainability and to support a proper exit strategy. It is appropriate to discuss the dynamics of institutional development, relations with counterparts and capacity challenges, and strategies to ensure long-lasting program impacts.

XII. GLOBAL DEVELOPMENT ALLIANCE (if applicable) If the project/activity is a GDA, articulate how partner signatories to the memorandum of understanding (MOU) support their contribution as stipulated in the agreement. Discuss any challenges in the partnership encountered during the reporting period, or any anticipated in the future due to changes in circumstances. If there is discussion of expanding the partnership pool in the subsequent quarter, note that potential possibility and the value added.

XIII. SUBSEQUENT QUARTER’S WORK PLAN

(Maximum one page) Identify any proposed deviation from the approved annual work plan. This is not a place to inform USAID of any major change in direction or a request for additional resources for the first time; this is a place to officially record issues or changes that have already been discussed with the AOR/COR.

This section may be used to expand upon the amount of detail from the annual work plan for the subsequent quarter – either by listing action items or offering a table, calendar, or timeline to describe the completion of action items. Please use the sample table template below to describe planned versus actual activities, and provide explanations for any deviations.

Planned Actions from Previous Quarter

XIV. FINANCIAL INFORMATION

Monitoring financial conditions is one of the most important, yet often neglected, areas of reporting. In this section, discuss issues such as unexpected expenditures, material changes in costs due to considerations outside of the control of the activity, cost savings realized, and cost savings plans. Please also provide a generalized summary of all accounting activity.

· Note: The financial data provided in this section is an estimate of the financial condition, and does not constitute the contractually required financial reporting as defined in the award notice.

Cash Flow Report and Financial Projections (Pipeline Burn-Rate) In this section, detail your financial projections.

The cash flow chart (Chart 1) below is derived from the financial table (Table 2), also provided in this section of the report. Both provide a visual representation of the “burn rate” of the activity – both actual and projected. The main categories include:

1) Obligations (the funds authorized to date for expenditure on the activity; this is NOT the Total Estimated Cost, but amount already obligated up to the time of the writing of this report),

2) Actual expenditures through the current reporting period, and

3) Pipeline projection (expenditures expected, by quarter, for the coming three quarters, based on planned activity hiring, procurements, expansions, etc.).

· In addition to updating the table with your relevant data, please record budget notes that document any/all assumptions used to make funding forecasts. Budget notes also discuss any significant financial events from this reporting period.

Chart 1: Obligations vs. Current and Projected Expenditures

· Note: The information used as an example in Chart 1 is a snapshot at the time of a report, and should include the most recent reporting period and the upcoming three reporting periods. These data should be constantly updated by the management staff of the activity, and the AOR/COR should be familiar with the financial conditions at all times. This should not be a chart that is made solely to enter into this periodic report; keeping track of the financial condition of the activity is one of the most important functions of activity management on both the part of USAID and the project team implementing the award. This is intended to serve as a valuable management tool for both parties.

Table 3 (below) should be consistent with the mandatory categories of expenditures submitted in the solicitation (RFP or RFA) and the award stages of the contracting procedure. These should reflect the same categories for which USAID is billed.

· Note: Data in this example table are fictitious and are developed as a sample for a first quarter report. The estimates for quarters 2-4 include all anticipated expenditures that will occur by quarter, which are estimated based on the types of actions in the approved work plan.

The budget notes are as important as the budget details, as they explain the dollar figures presented in the details. Both include past and projected expenditures.

Table 3: Budget Details T.E.C.: $5,000,000 Cum Oblig: $1,700,000 Cum Expenditure: $1,673,174

* When applicable.

Budget notes (List assumptions, major changes, estimations, or issues intended to provide a better understanding of the numbers.)

BUDGET NOTES

Table 4: New Sub-Award Details

Total Amount in the approved budget for sub-awards: $xxxxxxx Total Amount sub-awarded to date: $xxxxxxx

For each sub-award made in this reporting period, please include a table like the following:

DO Title:

Name of Sub-Awardee:

Activity Title:

Agreement Performance Period: to _________

Agreement Amount (Total Estimated Cost):

Geographic Locations for Implementation: (As defined in Section XIII.D.)

Activity Description: (One concise paragraph)

XV. ACTIVITY ADMINISTRATION

(Maximum one page) This section of the report provides an opportunity to officially notify USAID of administrative challenges that occurred in the reporting period and/or are anticipated in the future.

Personnel Address any significant managerial changes or challenges with regard to staffing or personnel. Any personnel changes—to fill or create positions, or progress made on hiring staff—for the reporting period should be discussed here.

· Note: This is not the place to discuss confidential personnel issues which may arise during the implementation of the activity.

Contract, Award or Cooperative Agreement Modifications and Amendments Any modifications and amendments should be noted in this section; those that took place and/or those that are expected in the future.

XVI. INFORMATION FOR ANNUAL REPORTS ONLY

A. Budget Disaggregated by County

Total: $

County #1: _________

County #2: _________

B. Budget Disaggregated by Earmarks (Earmarks for 2012 funds shown below; new should be added if/when appropriate.)

Rule of Law and Human Rights

Good Governance

Political Competition and Consensus-Building

Civil Society

HIV/AIDS (USAID)

Tuberculosis

Malaria

MCH Water

MCH Polio

Other MCH

Family Planning and Reproductive Health

Water Supply and Sanitation

Nutrition

Basic Education

Agriculture

Inclusive Financial Markets

Policy Environment for Micro and Small Enterprises

Strengthen Microenterprise Productivity

GCC- Adaptation

GCC- Clean Energy

GCC- Sustainable Landscapes

Biodiversity

Note: Each year the COR/AOR should be consulted regarding which earmarks are applicable to the activity, and the amounts.

C. Sub-Awards For ALL sub-awards made to date under your agreement, please include/update a table like the one shown below. If your agreement does not use any sub-awardees, please indicate that you do not have any sub-awardees and leave the following table blank. Once a Management Information System is operational at USAID/Kenya, this information will instead be maintained by partners in that system.

Name

D. List of Deliverables List all “products” produced during the reporting period. Products cited here could include: surveys, training designs, trip reports, third country visit reports, studies, etc. Submit all deliverable products from the reporting as attachments to this document, and list them here.

E. Summary of Non-USG Funding Please provide a table identifying any funding that is leveraged from non-USG sources during the reporting period. Describe how leveraged funding will contribute to the achievement of activity objectives.

F. Type of Accounting System Used During Reporting Period Please indicate the type of accounting system used by your organization for the reporting period (e.g., Navision, QuickBooks, Sage Pastel, Sun System, Excel). If this is a change from the prior reporting period, please provide the date on which this change was made and rationale for the change.

XVII. GPS INFORMATION

Through geographic targeting and evidence-based decision making, USAID collects, uses, and exchanges Global Positioning System (GPS) data for all its projects and activities. GPS information must be provided quarterly for all USAID-supported sites, including at implementing organization offices and locations of all sites that benefit from activity resources (schools, clinics, communities, etc.).

The geographic location or coordinate data (latitude and longitude) must be collected according to the guidelines provided by USAID’s Geospatial Unit for each USAID-supported site.

GPS information should be submitted in standard Excel or GIS formats; data submitted in GIS formats must include a description of the content of the data (e.g., in the associated metadata). Use the table below to enter the GPS information for each geographic location for each component. *See section on Guidelines for Documenting Locations for Implementing Mechanisms/Activities for instructions on how to use the table. Examples are shown to illustrate data requirements for each column. Once a Management Information System is operational at USAID/Kenya, this information will instead be maintained by partners in that system.

Implementing Partners who create geospatial data of indicators for monitoring and evaluation purposes with funding from USAID are required to electronically submit their most current geospatial data layers when requested by USAID/Kenya to the USAID/Kenya Geospatial Unit staff.

An example of a GPS table follows.

Implementing Mechanism/ Activity

Local or national capital

Local or national capital

Table X: GPS Information

XVIII. SUCCESS STORY GUIDELINES & PREP SHEETS

Your contract or agreement requires you to submit a minimum number of stories, usually three, each quarter. There is no need to hold stories until the next report is submitted. Stories can be submitted at any time during the quarter and will be counted toward your contractual requirement. There is no limit on the number of stories you may submit.

Guidelines for Transforming Lives Stories You should report stories that:

1. Show broad-scale sustainable development activities/projects: i.e., no one-offs, and nothing that is not being implemented at scale. [While we still would like you to focus on an individual beneficiary to highlight our work, the greater project must impact more than this small group of people.];

2. Relate to presidential initiatives, Feed the Future, Global Health Initiative or Global Climate Change

3. Highlight new, cutting-edge development innovations; or

4. Highlight the USAID Forward Reform Agenda in action. For more information on the USAID Reform Agenda, visit http://forward.usaid.gov.

All stories should point to results!

Length: 350 – 500 words, plus a photo caption How to Write Stories The formula is simple: Use powerful statistics; communicate progress; frame your story around USAID’s larger mission, not a specific activity: and bring it to life with a personal narrative.

The best stories typically include both a human interest lead that illustrates how USAID has improved people’s lives or made a difference in the host country and results to back up our claim to success.

Use quotes from beneficiaries. Do not quote activity staff.

Photographs The quality of the photograph can make or break a story. Please review these guidelines carefully:

· Digital photos should be shot with at least a 3-megapixel resolution, and when possible, maintain at least 300 dpi (dots per inch).

· Send only graphics files (e.g., .jpg, .tif) – do not attach an MS Word document with the photo pasted into it.

· JPEG (or .jpg) files are preferred – GIF files make poor photographs.

· Do not alter, compress, or crop photographs. Send only original images – USAID will make any necessary changes.

· Do not scan images from publications or other printed materials.

· Generally speaking, the larger the file, the better the quality and final result!

Model Stories Before sitting down to write, consider reviewing the model stories on the USAID website. This will give you a sense of what makes for a successful submission.

The Plain Writing Act of 2010 requires the federal government to write all new publications, forms, and publicly distributed documents in a “clear, concise, well-organized” manner that follows the best practices of plain language writing. Check out the site below, which includes some great writing pointers!

http://www.plainlanguage.gov/index.cfm For further assistance, feel free to contact Joan Lewa on the USAID/Kenya Development and Outreach Communications team (jlewa@usaid.gov).

ANNEXES & ATTACHMENTS (MAXIMUM 10 PAGES)

Annexes may include tables, lists, or other supporting information noted in the report that provide additional detail about information presented for this reporting period. Annexes are an integral part of the report and are included in the same document (unlike attachments).

· Schedule of Events: This is a chronological list of the significant events planned in the subsequent quarter that will contribute to accomplishment of the activity indicator’s targets, such as trainings, conferences, monitoring site visits, etc.

· List of Deliverables: List the “products” that were produced during the reporting period, such as surveys, training designs, trip reports, third country visit reports, etc., Attachments may include data sources utilized to support the information provided in the quarterly report, such as: sign-up sheets for events, newsletters, surveys, reports of short-term consultants, copies of newspaper coverage of the activity, activity “deliverables” or other data that supports and contributes to communicating about the implementation and accomplishments of the activity. Attachments are not physically included in the report document itself, but are sent as additional documentation with the report. All attached documents should be combined and preceded by a cover page that describes the contents of the submission. The cover page should identify the:

1) Deliverables –These include all the listed items in Annex II -“List of Deliverables” for each quarter.

2) “Success Stories” – short, content-based stories from the field that support the positive outcome-based goals of the activity or project. “Success Stories” must conform with the USAID Legal and Public Affairs guidelines and/or 2013 Success Stories reporting templates provided for FY13 Performance Plan and Report (PPR).

Annex I: Schedule of Future Events This is a chronological list of significant events planned in the coming quarter that will contribute to accomplishment of the activity’s indicators, such as trainings, opening ceremonies, conferences, etc.

This is not a place to list administration tasks, e.g., hiring of staff.

Annex II: List of Deliverable Products List the “products” that were produced during the reporting period, such as surveys, training designs, trip reports, third country visit reports, etc., and attach them here.

Guidelines for Documenting Locations for Implementing Mechanisms/Activities Documenting Locations for Implementing Mechanisms/Activities

Instructions:

• This template is used to document location information at a Task, Implementing Mechanism (IM)/Activity or Project Level. A Task is a sub-activity or a CLIN line item under an IM/Activity. When documenting location information, use a separate line for each unique location for the Task, IM or Project. For example, if an IM has a Task in two new provinces, add a separate line for each location. In the process, you will repeat the name of the Task, IM and Project for the two lines.

• There are eight mandatory (Required) fields - columns denoted by green (IM/Activity, Project, Implementing Partner, Admin 1, Start Date, End Date, Nationwide, Location Name)

• There are six recommended fields - columns denoted by blue (Task, Sub-Awardee, Amount, Longitude, Latitude, and Precision Code)

• There are four optional fields (Only optional if the Task covers national or Admin 1(county) or National) - columns denoted by orange (Admin 2, Admin 3, Admin 4, Admin 5).

• If an IM/Activity has Tasks or sub-activities at different locations, use one line for each Task and mark the location information. Repeat the name of IM/Activity, Project Name, Implementing Partner, Start and End Dates on those lines.

• Also, if an IM/Activity is conducted at multiple locations, use a different line for each location. Repeat the name of IM/Activity, Project Name, Implementing Partner, Start and End Dates on those lines.

• Admin 1 level is mandatory, but lower geographic levels (Admin 2 - 5) may be entered, as needed. The Admin 1 column has a prepopulated list that has the counties in the Excel spreadsheet. Admin 2 has also been prepopulated with the Constituencies. For Admin 3,4,5 please refer to the reference sheet in the excel spreadsheet.

Geographical Precision http://iatistandard.org/codelists/geographical_precision/

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