Global IEE Annex I_Template for Quarterly Progress Report.pdf

JULY 2008 1

[PROJECT TITLE]

Quarterly Report [XXXX] Quarter – MM/DD/YYYY to MM/DD/YYYY

Submission Date: MM/DD/YYYY

Grant / Cooperative Agreement Number: [insert number]

Activity Start Date and End Date: MM/DD/YYYY to MM/DD/YYYY

AOR Name: [insert name]

[Insert partner and/or project logo here]

ANNEX I: TEMPLATE FOR THE QUARTERLY PROGRESS REPORT

PROJECT OVERVIEW/SUMMARY

Project Name:

Activity Start & End Dates:

Name of U.S. Partner

(USO):

Name of Overseas Partner (OSI):

Award Number:

Geographic Coverage of Project (city/ies and or country/ies)

Reporting Period:

[# QUARTER: MM/YYYY – MM/YYYY]

ACRONYMS AND ABBREVIATIONS

List all acronyms and abbreviations pertinent to the activity. The first time a word requiring an acronym or abbreviation is used in the body of the report, spell out the word in full with the acronym in parentheses. Thereafter, use only the acronym.

1. PROJECT DESCRIPTION/INTRODUCTION

Provide a concise introductory section that gives a quick overview of the project, goals/objectives, target beneficiaries, geographical locations, etc. This is a standardized paragraph that can be used in each quarterly report. Also clearly indicate the award’s specific public diplomacy objective(s). It should be BRIEF, no more than one paragraph.

2. ACTIVITY IMPLEMENTATION PROGRESS

PROGRESS NARRATIVE

This brief narrative (1 or 2 pages) should highlight key achievements and whether the program is on/off track as far as specific work plan/targets in terms of (1) overall program progress for the quarter and (2) expected progress for the year the current reporting period (quarter). For construction projects, quarterly reports MUST include clear photographs of stages of construction, specific to the narrative and/or the implementation plan.

IMPLEMENTATION CHALLENGES

[Same comment regarding construction and including photographs if applicable to this section].

ACTIVITY MONITORING AND EVALUATION PLAN (AMEP) UPDATE

Brief narrative; include data collection/quality issues; staff and sub-partner training on data quality protocols/methodologies; anticipated AMEP revisions needed to indicators and/or out year targets.

[This section explains Annex A: AMEP Table].

3. PUBLIC DIPLOMACY ACTIVITIES

In about one page, describe public diplomacy activities engaged in this quarter and general results, or impact, or progress against the activities’ public diplomacy objectives.

4. CROSSCUTTING ISSUES

PARTNERS ARE EXPECTED TO PROVIDE AT LEAST ONE EXAMPLE OF GENDER,

SUSTAINABILITY AND LOCAL CAPACITY DEVELOPMENT EACH FISCAL YEAR.

GENDER EQUALITY AND FEMALE EMPOWERMENT

This brief narrative of one-two paragraphs should highlight the gender gaps that exist in the project implementation area and key gender achievements that help positively address gender disparities.

SUSTAINABILITY MECHANISMS

This brief narrative of one to two paragraphs should highlight any project sustainability issues and how the partner plans to address them, including Operations and Maintenance (O&M) plans, in order to ensure sustainability of project investments.

ENVIRONMENTAL COMPLIANCE MONITORING

This brief narrative of one to two paragraphs should highlight compliance with the approved P-IEE and CRM Screening, including any unanticipated difficulties. [This provides additional explanation on the monitoring of your approved EMMP and CRM Screening Table, which are reported in

ANNEX B].

5. MANAGEMENT AND ADMINISTRATIVE ISSUES

Such as project staff changes, software and procurement issues, etc. Please also list all upcoming procurement actions that will require AOR approval/notification.

6. LESSON LEARNED

If applicable to this quarter, please provide a few examples of highlights of project learning. These can either be successes or failures, but show how adaptive learning is used in the program to improve implementation.

7. HOW IMPLEMENTING PARTNER HAS ADDRESSED AO/AOR,

BEO OR CIL COMMENTS FROM THE LAST QUARTERLY OR

SEMI-ANNUAL REPORT

Complete as applicable. If issues were raised by the AO, AOR or BEO/CIL in the previous quarter, please describe how you have addressed them specifically.

8. PLANNED PROJECT IMPLEMENTATION ACTIVITIES FOR NEXT

QUARTER

Also indicate any opportunity/need for USAID or other USG involvement, particularly for USAID project monitoring site visits.

ANNEX A: ACTIVITY M&E PLAN REPORTING

(THIS SECTION IS REQUIRED: Achieved progress versus planned for the period disaggregated by gender, geographic area, and other relevant factors (use table below)) *The ASHA custom indicators will be shared with you.

Table 1: AMEP Indicator progress – [Standard Foreign Assistance Indicators (F indicators) and USAID/DCHA/ASHA Custom Indicators*]

CALENDAR YEAR 20xx: [Activity Objective]

Indicator Unit of Measure

Baseline Data

Quarterly Status Cumulative Data Note(s)

Q1 Jan-Mar

Q2 Apr-Jun

Q3 Jul-Sept

Q4 Oct-Dec

Annual/LO P Target

Annual/LO P Actual

Intermediate Result (IR): EXAMPLE – American Practices in health care services expanded

Sub-IR: EXAMPLE – Access to emergency health care improved

EXAMPLE – Program Element HL.4.6: Cross-cutting Health Systems Strengthening (GHSD)

EXAMPLE – Program Element STIR.11: Number of innovations supported through USG assistance with demonstrated uptake by the public and/or private sector

Sub-IR:

Intermediate Result (IR): EXAMPLE – Outreach and Communications expanded

Sub-IR:

EXAMPLE – Public Diplomacy* custom

ANNEX B: ENVIRONMENTAL MITIGATION & MONITORING PLAN (EMMP) REPORTING

[THIS SECTION IS REQUIRED: Use the information from your BEO-approved EMMP and CRM Screening Table. Please add rows to capture the climate risk management measures identified in the CRM Screening Table. The table below is simply a place holder.]

Person Responsible for Overseeing EMMP: ______________________

Role in Organization: ______________

Contact information: ______________

Activity 1: [name of activity]

Mitigation Results

Environmental Impact /

Climate Risk

Mitigation Measure(s)

Indicator/Method of

Verification

Responsible Person / Entity Mitigation Effectiveness Problems Encountered /

Comment

ANNEX C: ANNUAL AUDIT SUBMISSION

(THIS SECTION IS REQUIRED)

Per 2 CRF 200.501 for USOs and ADS 591maa for OSIs, both organizations are required to submit an audit if $750,000 or more was received from a combination of USG funding. Per the Award section “Non-Federal Audits” for USOs and OSIs, both organizations are required to submit a program specific audit on all ASHA awards for less than $750,000 received from a combination of USG funding.

USOs must submit their audits to the Federal Audit Clearinghouse at https://harvester.census.gov/facweb/.

OSIs must submit their audits to the Cognizant Regional Inspector General’s office (RIG). USOs must inform ASHA that the OSI’s audit has been submitted. The Cognizant Regional Inspector General's Office is determined based on the Headquarters location. All audit submissions are subject to ASHA review.

Question USO OSI

First time USG Recipient Pre-Award Survey

If Inadequate please provide update on progress of rectifying

Provide steps that the USO has done to ensure the OSI’s has capacity and adequate systems to manage a USG award?

Existing USG Recipient

Expenditures of $750,000 or higher

Please provide status/findings on most recent Single Audit

Please provide status/findings on most recent Single Audit

Existing USG Recipient

Expenditures less than $750,000

Please provide status/findings on most recent Program Specific Audits on all ASHA awards

Please provide status/findings on most recent Program Specific Audits on all ASHA awards

1. If USO is a first time USG Recipient and with a Pre-award survey that had findings, please provide update on progress of rectification.

USO: PRE-AWARD SURVEY FINDINGS

Date pre-award survey was completed

Yes No

1. Prospective recipient's accounting system is adequate for accounting for costs under USG awards?

RECOMMENDATION – SECTION II Yes No

1. Is accounting system in accordance with GAAP or

IAS

2. Accounting system provides for following:

Indicate what progress has been made on addressing delinquent areas and/or whether the standard has been met: a, b, c, d, e, f, g, h, i

3. Accounting system provides financial information

Indicate what progress has been made on addressing delinquent areas and/or whether the standard has been met: a, b, c,

4. Is the accounting system adequate for pricing follow-on awards and satisfy the requirements of 2 CFR §200, subpart d?

5. Is the accounting system currently in full operation?

If not, describe what progress has been made by sharing which portions are (1) in operation , (2) set up, but not yet in operation, (3)anticipated, or (4) nonexistent.

2. If OSI is a first time USG Recipient please do the following

a. At the first QPR report please provide results of the USO’s on whether the OSI‘s accounting system is adequate for accounting for costs under USG awards and any findings. Please note that ASHA has the right to request background documents to justify this review.

b. At subsequent QPR reports please provide any progress the OSI has made on rectifying any findings from the initial review.

2. If USO or OSI has received USG funds in the past, please provide a status on their Single Audit, Recipient Contracted Audit or Program Specific audit. If the USO or OSI does not have an audit requirement for the prior years, please provide an update on their audited financial statements.

USO SINGLE AUDIT OR PROGRAM SPECIFIC AUDIT

Audit FYE date

Audit firm name

Financial Statements Summary Modified Unmodified

Type of Audit ☐ ☐

Financial Statements Summary Yes No

Is a 'going concern' emphasis‐of‐matter paragraph included in the audit report?

Is a significant deficiency disclosed? ☐ ☐

Is a material weakness disclosed? ☐ ☐

Is a material noncompliance disclosed?

Federal program Summary Yes No

Did the auditee qualify as a low risk-auditee ☐ ☐

Were Prior Audit Findings related to direct funding shown in the Summary Schedule of Prior Audit

Findings?

List Audit Findings below (please list headings only)

OSI RECIPIENT CONTRACTED AUDIT OR PROGRAM SPECIFIC AUDIT

Audit firm name

Financial Statements Summary Modified Unmodified

Type of Audit ☐ ☐

Financial Statements Summary Yes No

Did the auditee qualify as a low risk-auditee ☐ ☐

Were Prior Audit Findings related to direct funding shown in the Summary Schedule of Prior Audit

Findings?

AUDITED FINANCIAL STATEMENTS

Audit firm name

Financial Statements Summary Modified Unmodified

Type of Audit ☐ ☐

Financial Statements Summary Yes No

Did the auditee qualify as a low risk-auditee ☐ ☐

Were Prior Audit Findings related to direct funding shown in the Summary Schedule of Prior Audit

Findings?

___ NOT APPLICABLE THIS QUARTER/NOTHING TO REPORT THISQUARTER

ANNEX D: LEVERAGED FUNDS (RECIPIENT SHARE)

(THIS SECTION IS REQUIRED)

While leveraged funds are not subject to audits, ASHA requires reporting on leveraged funds as a means to determine the overall status of the project.

a. Total Leveraged funds commitment amount

b. Total Leveraged funds expenditures to date

c. Remaining leveraged funds to be provided (line a minus b)

ANNEX E: U.S. VENDOR INFORMATION

(THIS SECTION IS ENCOURAGED)

Dear ASHA Partners:

As you know, ASHA works hard to tell our story, and therefore, your stories, to a number of important audiences. We routinely tell the story of the impact of ASHA funding in the more than 80 countries where we work. However, we are also often asked about the impact of our funding within the US. While this is an important question, it is not one that we have been able to easily answer. So we are asking for your help!

We’d like to ask you to provide us with some very basic information on expenditures you have made or plan to make from American vendors from your active grants. Below, on the following page, is a table for that purpose. Please list any expenditure for more than $3,000 to a US vendor. Feel free to email ASHAInformation@usaid.gov if you have any questions.

Thank you for considering this request! It will help us tell another important aspect of the ASHA story!

Sincerely, Anne M Dix

Director

U.S. VENDOR:

NAME &

ADDRESS

CITY STATE &

Zip Code

AMOUNT

SPENT IN

USD

TIMEFRAME

e.g. Month/year or 1st Q 2016

NOTHING TO

REPORT THIS

QUARTER

Tab to add rows.

[ANNEX F: AT LEAST 1 STORY REQUIRED PER QUARTER. INSERT

SUCCESS STORY HEADLINE]

[INSERT SUBHEAD HERE]

USER INSTRUCTIONS:

TO ACCESS OR MODIFY THE ITEMS

IN THIS SIDEBAR, THE HEADLINE,

OR THE COUNTRY LOCKUP AT THE

TOP OF THIS PAGE, MODIFY THIS

PAGE’S HEADER.

[I ns er t

Ph ot o C re di t]