EATAP_SOW_posted_FBO_FINAL_DRAFT_10.27.2015.pdf

Introduction The U.S. Agency for International Development, Bureau for Global Health, Office of HIV/AIDS (USAID/GH/OHA) is seeking services for the provision of technical assistance (TA) to support the President’s Emergency Plan for AIDS Relief (PEPFAR) Expenditure Analysis (EA) Initiative’s implementation process, improve expenditure data quality, and strengthen the use of expenditure analysis data for program planning and budgeting.

Expenditure Analysis is the routine financial monitoring of the PEPFAR portfolio. The purpose of EA is to better understand the expenses the U.S. Government (USG) incurs to provide a broad range of HIV/AIDS services. It improves the accountability and oversight of PEPFAR’s contribution globally by tracking spending and accomplishments over time, as well as supports the strategic planning process with country government counterparts and other key stakeholders.

Background PEPFAR is the USG initiative to help save and improve the lives of those impacted by HIV/AIDS globally.

This historic commitment is the largest by any nation to combat a single disease internationally, and PEPFAR investments also help alleviate suffering from other diseases across the global health spectrum.

PEPFAR is driven by a shared responsibility among donor and partner nations and others to make smart investments to save lives. It is managed by Office of the U.S. Global AIDS Coordinator (S/GAC) and provides prevention, care and treatment services for people living with HIV/AIDS (PLHIV) and supports key systems investments through implementing partners in Cooperating Countries. Phase 1 (2003-2007) of PEPFAR focused on building an Emergency Response that brought HIV prevention, treatment, and care services to millions while Phase 2 (2008-2012) emphasized sustainability, where PEPFAR established Partnership Frameworks – joint strategic roadmaps developed, agreed to and signed by the U.S. and partner governments, promoting mutual accountability and sustainability. The program is now in Phase 3 (2013 – present) which is focused on sustainable control of the epidemic through transparency and accountability for impact, as well as accelerating core interventions for epidemic control.

To reach the Joint United Nations Programme on HIV/AIDS’ (UNAIDS) ambitious 90-90-90 global goals:

90 percent of people with HIV diagnosed, 90 percent of them on ART and 90 percent of them virally suppressed by 2020 – PEPFAR is committed to shifting the way of doing business by pivoting to a data-driven approach that strategically targets geographic areas and populations where it can achieve the most impact for its investments and get the world closer to HIV epidemic control.

Among the five key action agendas of PEPFAR 3.0, the Efficiency Action Agenda’s goal is to increase transparency, oversight and accountability across PEPFAR and its interagency partners to ensure every taxpayer dollar is optimally invested and tracked.1 In 2014, PEPFAR increased data access in an unprecedented way, making data accessible and actionable for impact. Increasing transparency, oversight and mutual accountability will remain a PEPFAR priority as it works to achieve an AIDS-free generation.

Use of financial data for decision-making has become a cornerstone for PEPFAR as it realigns itself to achieve greater targets within a budget constrained environment. PEPFAR has pioneered the use of

1 http://www.pepfar.gov/about/agendas/efficiency/index.htm results-linked financial indicators through the institutionalization of its Expenditure Analysis Initiative to support the routine generation of financial data for decision-making. The resulting data is also shared with partner governments and other stakeholders to improve country specific program planning and budgeting.

Purpose and Rationale for the Proposed EATAP II Project The Expenditure Analysis Technical Assistance to Partners (EATAP) II contract will leverage and build on the successes of the current EATAP project. The purpose of EATAP is to provide technical assistance to PEPFAR IPs in completing the EA reporting requirements as required by S/GAC and document lessons learned from the implementation of the Expenditure Analysis Initiative, as well as develop a PEPFAR budget planning tool and user manual that specifically support USG teams with their budget development process.

Technical assistance was provided to five countries (Cameroon, Cote d’Ivoire, Haiti, Rwanda, and Vietnam) during year one of the EATAP contract. The TA process, overall, was successfully completed with an average of 94 percent of PEPFAR IPs across all five countries submitting their data collection templates by the deadline. In addition, an Excel-based budgeting tool and accompanying user manual was developed to support the budget development process. An additional eight countries and two regions (Burma, Burundi, Cambodia, Democratic Republic of Congo, India, Indonesia, Papua New Guinea, Ukraine, Asia Regional, and Central Asia Regional) were added during year two of the EATAP contract, bringing the total number of countries receiving TA to 13 plus two regions. By the end of data cleaning and review, 100 percent of PEPFAR IPs across all countries and regions successfully uploaded their templates in the data collection system. Further revisions were also made to the Excel-based budgeting tool and accompanying user manual, and disseminated for country use.

EATAP II expands upon the current EATAP project by coupling the provision of technical assistance to PEPFAR IPs in completing the EA reporting requirements with greater focus on data quality assurance (DQA), as well as an emphasis on capacity development on EA data use for decision-making. The purpose of EATAP II is to provide technical assistance to help facilitate the implementation of the PEPFAR EA Initiative, specifically to support the EA data collection process, improve the quality of EA data, and strengthen the use of EA data for program planning and budgeting. Activities under this contract will increase technical knowledge on EA methodology and application of EA data for improved decision-making among USG teams and PEPFAR implementing partners (IP).

Expenditure Analysis is an annual reporting requirement beginning on or around late August with pre-data collection planning and ending in late May. Data collection typically begins on October 1st, immediately after the USG fiscal year in order for PEPFAR IPs to have one fiscal year of financial data readily available, and ends on or around November 15th. The EA cycle consists of several steps, including:

1) Pre-data collection planning;

2) EA reporting implementation/launch teleconference/webinar/in-country visit;

3) Data Collection;

4) Data Cleaning;

5) Data Review;

6) Data Analysis;

7) Data Dissemination;

8) Data Vetting and Finalization; and

9) Data Use.

Data quality assurance (DQA) is a critical and integral component throughout all phases of the EA cycle.

Generating quality financial data is important, especially since EA is a global exercise and requires consistent interpretation of EA methods by PEPFAR IPs across all countries in order to standardize the expenditure data collected and generate meaningful results.

Prior experience has highlighted the importance of having readily available technical assistance during the data collection, cleaning, and review period for USG teams and PEPFAR IPs to successfully respond and complete the annual reporting requirement – with the majority of questions focused on understanding and interpreting the EA guidance manual. Moving forward, however, it is expected that technical support will be needed throughout the EA cycle as countries are increasingly being expected to utilize EA data for decision-making. USG teams may require additional support during the data vetting, finalization, and use period as they strive to better understand their EA data and potential application for program planning and budgeting.

Implementation of the PEPFAR EA Initiative has gone through an extensive piloting and phased institutionalized approach. From 2009 to 2012, EA was piloted in eight countries (Mozambique, Guyana, Democratic Republic of Congo, Nigeria, Uganda, Zambia, Republic of South Africa, and Vietnam). Over the course of three years, the scope of EA grew from capturing expenditure data for only a handful of HIV/AIDS clinical services in a given country to entire PEPFAR country portfolios. In FY 2012, the first phase of institutionalization was implemented in nine countries representing approximately 75 percent of the PEPFAR global portfolio. An additional ten countries were added for the second phase of institutionalization in FY 2013, bringing the total to 19 countries representing approximately 95 percent of the PEPFAR global portfolio. The last phase of institutionalization, in FY 2014, added the remaining PEPFAR countries with budgets less than $5 million bringing the total number of countries participating in EA to 36 accounting for 100 percent of the PEPFAR global portfolio.

The past three phases of institutionalized roll-out of launching EA in PEPFAR countries globally has shown the importance of having readily available TA for PEPFAR implementing partners to successfully and accurately complete the annual reporting requirements. Workshops, one-on-one TA meetings, and virtual TA sessions are examples of the different types of technical assistance avenues that have proven to be extremely useful in standardizing implementing partner response criteria, generating allocation estimates for expenditures shared across the programs, and categorizing expenditures in a manner consistent with EA guidance across all IPs globally.

Expenditure Analysis data played a pivotal role in informing the fiscal year (FY) 2015 country/regional operational planning and budgeting process. This has highlighted the need for improved data quality through greater technical oversight of IPs reporting for EA and assisting USG teams in reviewing IP submissions. Availability of tools that helped with organizing and analyzing EA data proved extremely helpful to the country teams when using EA data.

Statement of Expected Results The overall purpose of EATAP II is to provide technical assistance to support the Expenditure Analysis Initiative’s implementation process, improve expenditure data quality, and strengthen the use of expenditure analysis data for program planning and budgeting. The contractor is expected to address all three Intermediate Results (IR) critical to achieve the overall project purpose:

1) Provide technical assistance to support the successful implementation of the EA process and ensure quality expenditure data is collected;

2) Support capacity building activities to increase EA technical knowledge and strengthen use of EA data for program planning and budgeting; and

3) Provide technical expertise to strengthen and streamline EA data use through the development of program planning and budgeting tools.

Close coordination with the project Contracting Officer’s Representative (COR) will be necessary to determine the level of effort required for each IR as it may vary depending on country-specific needs. In addition, it will be important to establish a continuous feedback loop that allows room for scope of work adjustment throughout the contract. The contractor is also expected to develop a Performance Management Plan (PMP), in coordination with the project COR and Technical/Activity Manager, within X days of signing the contract. The PMP will need to include how the contractor plans to monitor, analyze, evaluate, and report progress toward achieving the project purpose and IRs. The contractor will submit an accompanying report highlighting the current status of the project every X months including significant project successes, as well as identify problems, challenges, delays or adverse conditions impairing the contractor from meeting the objectives of the contract.

The successful contractor is expected to have skill sets in accounting, financial management, costing, and/or similar expertise; knowledge of HIV/AIDS programming is a plus. Organizations currently receiving PEPFAR funding that implement programs and/or deliver HIV/AIDS services are not eligible to apply due to possible conflict of interest in accessing procurement sensitive financial data of other implementing partners with similar scopes. The contractor must perform a good faith assessment of possible conflict of interest that may arise from performing the resulting contract and present a statement or short paragraph of its determination.

Intermediate Result 1: Provide technical assistance to support the successful implementation of the EA process and ensure quality expenditure data is collected.

Expenditure Analysis is an annual reporting requirement beginning on or around late August and ending in late May. The EA cycle consists of several steps, including:

10) Pre-data collection planning;

11) EA reporting implementation/launch teleconference/webinar/in-country visit;

12) Data Collection;

13) Data Cleaning;

14) Data Review;

15) Data Analysis;

16) Data Dissemination;

17) Data Vetting and Finalization; and

18) Data Use.

Prior experience has highlighted the importance of having readily available technical assistance for USG teams and PEPFAR IPs to successfully respond and complete the annual reporting requirement. In addition, technical assistance has played an important role in ensuring consistent interpretation and application of EA methods, which in turn has improved the quality of expenditure data collected.

This intermediate result supports the overall EA process and data quality through the provision of technical assistance at all stages of the implementation period for up to 36 PEPFAR countries, USAID and USG teams, and PEPFAR IPs. The contractor is expected to coordinate with the project COR and Technical Advisor/Activity Manager to determine the level of TA required for each country.

Expected deliverables include:

• Weekly report to EA Advisors highlighting the type of queries from USG teams and PEPFAR IPs, outcome of TA requests, and status of PEPFAR IP template submission rates

• Separate version of weekly report including an extra section on the associated costs per activity to the project COR and Technical/Activity Manager

• Yearly activity report to project COR and Technical/Activity Manager highlighting lessons learned and recommendations for future rounds of the EA Initiative

Sub-Intermediate Result 1.1: Support facilitation of the EA planning phase in collaboration with EA Advisors.

The pre-data collection planning phase takes into account a series of steps from updating materials, to establishing communication with USG teams and PEPFAR IPs, and reviewing EA methodology.

Preparation for the upcoming EA cycle involves applying lessons learned from the prior implementation period. This may require updating EA methodology in terms of revising the data collection template, as well as the analyses involved in generating results.

Activities under this sub-intermediate result will support the facilitation of the EA planning phase based on the Country and Regional Operational Plan (COP/ROP) and other S/GAC guidance. The contractor is expected to identify TA providers in-country or regionally with the appropriate skill set required to provide technical assistance throughout the EA implementation period. It will be critical for the contractor, along with the identified TA providers, to attend the TA providers’ EA training in order to become familiar with the upcoming EA process as well as the methodology. In addition, it will be important to determine the appropriate communication protocol with EA Advisors, USG teams, and PEPFAR IPs early in the process given the short time frame for data collection.

Tasks include:

• Identify staff in-country or regionally with the appropriate skill set required to fulfill the requirements of contract

• Attend TA providers’ training on EA process and methodology

• Establish communication with EA Advisors and coordinate schedule for delivery of technical assistance to IPs during the data collection timeframe

• Establish communication protocol with USG EA point-of-contacts (POC)

• Initiate and establish communication with PEPFAR IPs

• Review and finalize sub-national unit (SNU) and implementing mechanism lists with EA Advisors and USG field teams

• Participate and help coordinate the initiation of EA process in country virtually or in-person along with EA Advisors

Sub-Intermediate Result 1.2: Provide technical support on EA methodology and data collection system to ensure quality expenditure data is collected in a timely manner.

The PEPFAR EA Initiative is a global exercise, which requires consistent interpretation of EA methods by PEPFAR IPs across all countries in order to standardize the expenditure data collected and generate meaningful results. The EA guidance manual provides allocation methods for expenditures, definition of program areas and cost categories, and examples from previous EA cycles to help implementing partners complete the EA reporting requirement. Workshops, one-on-one TA meetings, and virtual TA sessions are additional examples of the different types of TA that have proven to be extremely useful in standardizing the way expenditures are categorized in a manner consistent with the EA guidance manual across all IPs globally.

Activities under this sub-intermediate result will support the timely completion of the EA reporting requirement, as well as the quality of expenditure data captured. The contractor and identified TA providers are expected to provide technical assistance on EA methodology, as well as address queries related to the data collection system. Identified TA providers will need to be available to provide both in person and virtual TA (i.e. email, web-based conferencing tool) throughout the data collection, cleaning, and review period.

Tasks include:

• Provide one-on-one in person and virtual technical assistance (i.e. office visits, phone, email, web-based conferencing tool) on understanding EA methods such as allocation methods for expenditures, as well as navigating the data collection template to PEPFAR IPs

• Monitor EA data collection system and submission activity

• Maintain communication with EA Advisors and USG EA POCs for assistance with initiating contact with PEPFAR IPs and resolving queries not addressed in the EA guidance manual

• Resolve EA content and data queries raised by USG EA POCs and PEPFAR IPs

• Review PEPFAR IPs’ EA templates for accuracy and completeness prior to submission

Sub-Intermediate Result 1.3: Ensure the collection of quality expenditure data through the provision of technical assistance throughout the EA data collection and review process and maintain a continuous feedback loop with USAID project management team.

Data quality assurance is a critical and continuous component of the EA process. Generating quality financial data is important, especially as countries are expected to use their EA data for evidence-based budgeting. Expenditure Analysis results were extensively used during the FY 2015 COP/ROP Reviews to support the decision-making process as countries were required to make significant program pivots with finite resources. As the need to utilize EA data for improved decision-making continues to gain momentum, it will be critical to strengthen the quality of expenditure data collected.

Activities under this sub-intermediate result will support the quality of expenditure data collected. The contractor and identified TA providers are expected to support the DQA process through the provision of technical assistance, as well as the implementation of a continuous feedback loop in order to apply lessons learned and take corrective action on an ongoing, real-time basis. Timely communication with EA Advisors and USG EA POCs will be necessary to quickly identify and address data quality concerns given the back-and-forth process required for PEPFAR IPs to rectify their data collection templates.

Tasks include:

• Provide support to USG EA POCs, Contract Managers and Activity Managers, and respond to queries during the EA review and approval process

• Support the EA Advisors and USG EA POCs to identify additional data quality issues not highlighted during the template submission and/or DQC process

• Assist PEPFAR IPs in resolving data quality issues identified during the template submission and data quality check (DQC) process

• Maintain communication with EA Advisors, USG EA POCs, and PEPFAR IPs to ensure quality expenditure data is collected in a timely manner

• Communicate with project COR, Technical Advisor/Activity Manager, and EA Advisors on evolving questions beyond the purview of the EA guidance manual for consistency in methodology

Intermediate Result 2: Support capacity building activities to increase EA technical knowledge and strengthen use of EA data for program planning and budgeting.

Capacity building to increase EA technical knowledge and strengthen data use is an important component of the EA institutionalization process. Training sessions on EA methods, one-on-one meetings, and workshops on EA data use for program planning and budgeting are examples of the different type of activities that have been used in previous EA cycles to successfully build capacity among USG teams and PEPFAR IPs. Increasing capacity is ultimately more than training and involves equipping individuals with the technical knowledge and skills to independently and effectively carry out specific tasks, such as utilizing EA data for strategic planning with country government counterparts and implementing partner management.

The long-term sustainability of the PEPFAR EA Initiative requires USG teams and PEPFAR IPs to increasingly take ownership of the implementation process. EA Advisors currently support all phases of implementing EA from conducting country EA launch visits to working with USG teams on using their EA data for decision-making. As countries are increasingly expected to utilize EA, it will be necessary for USG teams to understand EA methodology as well as its application for improved program planning and budgeting. Increased technical knowledge among USG teams and PEPFAR IPs strengthen the quality of EA data collected due to implementing partners having a better understanding of how to categorize their expenditures. In addition, USG Contract and Activity Managers play a critical role in reviewing IP template submissions and raising data quality concerns.

This intermediate result supports the EA institutionalization process by increasing EA technical knowledge and strengthening the capacity of USG teams to utilize EA data for decision-making. The contractor is expected to collaborate with the project COR, Technical Advisor/Activity Manager, and EA Advisors on assessing the capacity development needs of USG teams and PEPFAR IPs.

Expected deliverables include:

• Training materials on EA methodology and tools, as needed

• Reference materials with illustrative examples of EA data use for program planning and budgeting, as needed

Sub-Intermediate Result 2.1: Provide support to increase EA technical knowledge for improved data collection and quality.

USG/USAID Contract and Activity Managers serve an important role in ensuring quality expenditure data is reported by PEPFAR IPs. EA Advisors rely on Contract and Activity Managers to provide the contextual knowledge when reviewing their implementing partner templates to identify additional data quality issues not singled out during the automatic data quality checks. It is important for Contract and Activity Managers to couple this contextual knowledge with a strong understanding of EA methods in order to identify the more nuanced data quality issues in their IP template submissions (i.e. misallocation of expenditures). In addition, strengthening the capacity of IPs on their EA technical knowledge improves the quality of data reported.

Activities under this sub-intermediate result will support capacity development activities to increase EA technical knowledge among USG teams and PEPFAR IPs. The contractor is expected to coordinate with the project COR, Technical/Activity Manager, and EA Advisors to determine the capacity needs of USG team and PEPFAR IPs. TA providers in-country and/or regionally may be utilized to provide technical support and training sessions on EA methodology.

Tasks include:

• Provide training sessions on EA methodology to USG teams and PEPFAR IPs

• Provide technical support to USG teams and PEPFAR IPs on navigating the data collection template and EA guidance manual

Sub-Intermediate Result 2.2: Provide technical support to strengthen capacity on EA data use and application for improved program planning and budgeting.

Several Excel-based tools have been developed to assist countries on using EA data for program planning and budgeting. Data-driven decision-making is an iterative process that involves a series of back-and-forth steps. As expectation to utilize EA data for decision-making continues to increase, it will be important for USG teams to become familiar and comfortable with using the tools even when TA is not readily available. In addition, effective collaboration with country government counterparts and multilateral partners will require a level of capacity development where external stakeholders have an understanding of PEPFAR’s contribution through EA.

Activities under this sub-intermediate result will support activities to strengthen the capacity of USG teams to effectively utilize EA data for program planning and budgeting. The contractor is expected to coordinate with the project COR, Technical Advisor/Activity Manager, and EA Advisors on assessing the needs of USG teams. The contractor may be utilized to conduct additional analyses as needed, as well as support efforts to provide additional TA to USAID Missions, USG PEPFAR technical teams/working groups, country government counterparts and other stakeholders on EA data use.

Tasks include:

• Coordinate with project COR and Technical Advisor/Activity Manager on providing support to the Office of HIV/AIDS efforts to capacitate USAID Missions (USG teams/Technical Working Groups) with understanding and using EA data and tools for program planning and budgeting

• Coordinate with EA Advisors on providing training workshops on EA methodology, tools and data application

• Coordinate with project COR and Technical Advisor/Activity Manager on assessing the needs of USG teams to provide technical support to country government counterparts and other stakeholders on EA methodology and potential application of EA data for PEPFAR program planning and budgeting, as well as harmonization of resource tracking efforts for national strategic planning

Intermediate Result 3: Provide technical expertise to strengthen and streamline EA data use through the development of program planning and budgeting tools.

Effective program planning and budgeting involves bringing together multiple data streams for improved decision-making. Tools analyzing both programmatic and financial data were developed for the FY 2015 COP/ROP Reviews to support USG teams with making significant program pivots. Excel-based workbooks consolidating EA data, as well as tools combining epidemiology and financial data to highlight the expenditure per PLHIV are examples of the types of tools developed for USG teams.

This intermediate result improves existing and develops new EA program planning and budgeting tools to support the application of EA data. The contractor is expected to coordinate with the project COR and Technical Advisor/Activity Manager to assess the needs of USG teams and develop new tools to support EA data use. The contractor is also expected to update existing tools based on feedback from the project COR, Technical Advisor/Activity Manager, USG teams, and EA Advisors.

Expected deliverables include:

• Modified existing EA tools/Excel-based workbooks, as needed

• Additional EA tools/Excel-based workbooks, as needed

• User manual to accompany new EA tools

Sub-Intermediate Result 3.1: Provide technical expertise to update existing and develop new tools to improve EA data use.

Several Excel-based tools were developed for the FY 2015 COP/ROP Reviews to support USG teams with their use of EA data for program planning and budgeting. Continuous modification of these tools may be necessary as issues are identified. In addition, as capacity among USG teams differ, it may be necessary to develop new tools to support the COP/ROP planning, implementation and monitoring process.

Activities under this sub-intermediate result will support the development of new EA tools, as well as update existing tools. The contractor is expected to coordinate with the project COR and Technical Advisor/Activity Manager to solicit feedback from USG teams to determine if additional tools need to be developed and/or existing tools need to be updated.

Tasks include:

• Coordinate with project COR and Technical Advisor/Activity Manager to solicit feedback from USG teams on application of current tools

• Coordinate with project COR and Technical Advisor/Activity Manager to assess the needs of USG teams for additional program planning and budgeting tools, including tools linking expenditure data with targets and program results

• Develop new or update existing EA program planning and budgeting tools, as needed

Sub-Intermediate Result 3.2: Provide technical support for improved data organization and analysis across different data streams.

Additional tools analyzing different data streams – other data streams used in conjunction with expenditure data include planned PEPFAR funding/budget information and planned targets and realized PEPFAR achievements/results – as well as streamlining the use of EA data may be necessary as USG teams are expected to utilize both programmatic and financial data for decision-making. Potential application of these new tools include increasing allocative efficiency at the site-level to strategically targeting PEPFAR investments to yield the greatest impact for HIV/AIDS.

Activities under this sub-intermediate result will support the development of tools for improved data organization and analysis across different data streams. The contractor is expected to coordinate with the project COR and Technical Advisor/Activity Manager to determine the needs of USG teams. In addition, the contractor will work closely with the project COR and Technical Advisor/Activity Manager to develop and finalize any new tools. It will be important to pilot test these tools in select countries prior to global dissemination.

Tasks include:

• Coordinate with project COR and Technical Advisor/Activity Manager to develop additional tools to support data organization across different data streams, as well as pilot test tools prior to dissemination

• Develop user manual to accompany new EA tools