Global Development Annual Progress Report Guidelines



Annual Progress Report Guidelines

As stated in your grant agreement letter, annual payments will be made following receipt and review of narrative and financial reports. Please follow the format outlined below. Please note that Final Reports will have a slightly different format. If you have any questions, please contact your Program Officer/Grant Administrator. Please delete this page and all instructions in the form itself prior to submitting your report.

The Annual Progress Report includes six components:

I. Summary Information

• Report due date

• Date range for activities reported on

• Project name

• Organization

• Primary contact information

• Grant amount/months

• Project end date

• Location of project activities

• Person preparing report

II. Grantee Geography Reporting Request

III. Narrative Report

• Reports should be concise and range between 5-10 pages.

• 12 pt font, 1” margins and single spacing; include the page number in footer and the organization name and Grant ID# in the header.

• Do not include appendices or attachments in your report unless requested by your Program Officer.

• Please follow the guidelines provided on the following pages and use the numeral headings in your report.

• For reference, basic definitions of terms in the narrative section are defined on

Page 6.

IV. Impact Planning and Assessment (IPA) Report (Appendix A)

Please see the attached tables and questions for guidance. You may adapt the tables if that proves more feasible for your organization.

This report will track data and findings from your Impact Planning and Assessment work, including your IPA framework. Background information and definitions are covered in GL’s

IPA Road Map (especially pgs. 9-19, and Appendix B: pgs. 27-29), Toolkit link:

V. Timeline (Appendix B)

Please update the project timeline and milestone tables you provided with your original submission if appropriate.

VI. Financial Report (Appendix C)

Using the “Financial Reports” worksheets provided by your Program Officer, specify actual expenditures for the specified period for each line item. These worksheets are built using information provided in the Total Cost of Ownership model submitted with your full proposal.

Annual Progress Report – Summary Information

|Grant ID#: | |

|Report Due Date: | |Date Range of Activities Reported: |MM/YYYY-MM/YYYY |

|Project Title: | |

|Organization Name: | |

Primary Contact:

|Last name | |First name | |

|Title | |Telephone | |

| | | Fax | |

|Address | | | |

| | | |

|E-mail | |

|Web site | |

|Grant Amount (U.S. dollars): | |Project Duration (months): | |

|Project End Date: | |

|Has this project been granted a no-cost extension? |If yes, indicate extension date in parentheses |

|Geographic Location(s) of project: | |

|Report Prepared by: | |Date Submitted: |mm/dd/yyyy |

| | | | |

List below all Sub-Grantees and/or Subcontractors who received funds in the last project period:

|Name |Total Amount $U.S. |Duration |Grant or contract |

| | |From/to dates | |

| | | | |

| | | | |

| | | | |

| | | | |

Grantee Geography Reporting Request

1. Geographic Location(s) of Work refers to all locations (country, and sub-region/state if known) in which work is being performed with funds from this grant. This includes locations in which sub-grantees or sub-contractors funded by this project are working. Please provide educated estimates for the location and the approximate amount, based on the total grant that has already been spent or is estimated to be spent in each location. For example: A $1,000,000 grant may reflect $400,000 spent and $200,000 yet to be spent in the United States and $100,000 spent and $300,000 yet to be spent in South Africa. If you have staff working in multiple locations, costs may be allocated to the location where they spend the majority of time. Please reflect the total grant amount, both spent and yet to be spent funds, in the space provided and add rows as necessary.

|Geographic Location(s) of Work |

|Location |Spent ($) |Yet To Be Spent ($) |Total Planned Spend ($) |

|(Country and Sub-Region/State if known) | | | |

| | | | |

| | | | |

|Total Grant Amount |$ |

2. Geographic Areas Served refers to all countries benefitting or intended to benefit from this grant. This is where the target population is located not where the work is occurring. Please provide educated estimates for the location and the approximate amount, based on the total grant, that is estimated to benefit each location. For example: A $1,000,000 grant may include field work in Kenya and research at the headquarters in the UK but the $1,000,000 grant is ultimately intended to benefit the people of Kenya. For India and China, include the names of states. “World” is an acceptable response if there will be broad public benefit or if the intended geography(s) are unclear. Please reflect the total grant amount in the space provided and add rows as necessary.

|Geographic Area(s) Served |

|Location |Benefit ($) |

|(Country, include States for India and China) | |

| | |

| | |

|Total Grant Amount |$ |

Frequently Asked Questions (FAQs)

Geographic Location of Work

Where do I allocate overhead costs such as administrative, indirect, travel, general, etc?

Overhead costs should be assigned to the location where the project is being managed (i.e. headquarters)

Example: If $400k is going to a sub-grantee in Tanzania to purchase and distribute supplies (of which $50k has been spent), $600k is going to Kenya to perform a soil study (of which $200k has been spent), and $100k is allocated to manage the grant (of which $40k has been spent).

|Geographic Location(s) of Work |

|Location |Spent ($) |Yet To Be Spent ($) |Total Planned Spend ($) |

|(Country and Sub-Region/State if known) | | | |

|Tanzania |$50,000 |$350,000 |$400,000 |

|Kenya |$200,000 |$400,000 |$600,000 |

|Washington DC (HQ) |$40,000 |$60,000 |$100,000 |

|Total Grant Amount |$ 1,100,000 |

What if staff are working in multiple locations?

If staff are working across multiple locations, costs should be allocated to the location where they spend a majority of their time. If this is unclear, default to where the staff are based (e.g. Headquarters).

What if I don’t know where we will be working?

If an educated guess cannot be made at where work will be performed, funds should be allocated to the headquarter location until the next reporting cycle when the location(s) become clearer.

Where should I assign work that has no specific location?

All non-specific activities should be allocated to the headquarter location.

Geographic Areas Served

Where do I allocate overhead costs such as administrative, indirect, travel, general, etc?

The same allocation percentage used to define the geography(s) served should be used for allocating overhead costs.

Example: If you have a $1.1M grant of which $400k will serve Africa, $600k will serve Asia, and $100k is overhead, allocate the overhead as $40k to Africa (40%) and $60k to Asia (60%).

What if the benefiting geography(s) are unclear at this point?

The funds should be allocated to the lowest geographical denominator possible. If you are unable to specify country, region, or even continent, please allocate to “World”.

What if the geography(s) have been identified but the amount of benefit has not been determined?

If an educated estimate can’t be made on the allocations across the known geographies, then the funds should temporarily be spread evenly across the applicable geographies.

|Geographic Area(s) Served |

|Location |Benefit ($) |

|(Country, include States for India and China) | |

|Tanzania |$500,000 |

|Kenya |$500,000 |

|Ghana |$500,000 |

|Total Grant Amount |$ 1,500,000 |

What if the grant is not specifically intended to impact a particular geography (i.e. broad public benefit)?

Allocate the funds to the geography “World”.

Please contact your Program Coordinator or Program Officer if you have questions regarding geography reporting.

Annual Progress Report – Narrative

I. Objectives: Please describe progress made toward the objectives, outputs, and outcomes outlined in your original proposal or any proposal amendment/s submitted thereafter.

a. Briefly describe the activities carried out during this reporting period helping to meet each objective described in your proposal. Please provide supporting data as appropriate.

b. Briefly describe if the established milestones for the past year were met for the activities described in your proposal? If milestones were not met according to the proposed plan, briefly discuss the reasons they were not completed and the proposed corrective actions. Please update the timeline and milestones table provided with your original proposal as required.

c. If activities completed differ from your proposal, what caused these changes? Did you notify your Program Officer of this shift in activities?

d. For each objective, briefly describe the measurable output and outcomes—both expected and unexpected—you are already seeing as a result of this project. (Please use the attached table format in Appendix A, and add narrative as necessary.)

e. For each objective, briefly describe how the accomplished outputs and outcomes generated knowledge that moved the field forward.

f. Identify and explain the circumstances concerning any activities that you will not be able to complete during the grant period.

II. Management Updates: When appropriate, include a brief description of significant updates to the management team or approach to management of your project.

III. Lessons Learned: What lessons have you learned during the past year that will help you to achieve your intended outcomes? With the benefit of hindsight, how might you have designed the project activities differently? What have you learned about the potential for scale/impact/sustainability of your approach after the project is completed? These lessons should be both project specific as well as broader lessons (i.e. best practices, context specific issues/attitudes, etc.).

IV. Changes: Describe any major changes that have had, or will have an impact on the project that have occurred during the past year within your organization (i.e. strategic direction) or outside of your organization (i.e. in the community, the political landscape, etc.). How have you responded to these changes, or how do you plan to respond to these changes?

V. Risks: With respect to the specific risks you identified in your grant proposal, which have resulted in challenges for the project? How did you deal with these challenges? Were any of the steps you took to mitigate the anticipated risks effective in reducing or averting the risks you had anticipated? Why/why not? Were there any risks that affected the project that you had not anticipated? Going forward, are there additional risks that could potentially inhibit the success of this project? Please describe the efforts your organization is making to mitigate these risks. Is there anything the foundation can do to assist you?

VI. Sustainability: Please describe progress made toward achieving program sustainability outlined in your original proposal or any proposal/amendments submitted thereafter.

a. Briefly describe the activities carried out during this reporting period targeted at achieving sustainability. Are you on target to achieving sustainability? If not, why not?

b. Describe any major changes that have had, or will have, an impact on the sustainability of public access in public libraries that have occurred in the past year within your organization or outside of your organization? How have you responded to these changes, or how do you plan to respond to these changes?

c. With respect to the specific risks you identified in your grant proposal, which have resulted in challenges for sustainability? How will you deal with these challenges? Were there any risks that affected sustainability that you had not anticipated?

d. Going forward, are there additional risks that could potentially inhibit sustainability? Please describe the efforts your organization is making to mitigate these risks. Is there anything the foundation can do to assist you?

VII. Other: Please use this space to provide other details of the project that you would like to share.

Appendices

Appendix materials do not count against page limits. Please do not include additional appendices beyond the materials requested below unless specifically requested by program staff.

Appendix A: Project Objectives and Outcomes

Please see the attached tables and questions for guidance. You may adapt the tables if that proves more feasible for your organization.

This report will track data and findings from your Impact Planning and Assessment work, including your IPA framework. Background information and definitions are covered in GL’s

IPA Road Map (especially pgs. 9-19, and Appendix B: pgs. 27-29), Toolkit link:

Appendix B: Timeline

Please update the project timeline and milestone tables you provided with your original submission if appropriate.

Appendix C: Budget Spreadsheet

Using the “Financial Reports” worksheets provided by your Program Officer, specify actual expenditures for the specified period for each line item. These worksheets are built using information provided in the Total Cost of Ownership model submitted with your full proposal.

Privacy and Confidentiality Notice

To help evaluate progress, Annual reports and associated materials submitted to the foundation (collectively, “Submission Materials”) occasionally may be subject to confidential external review by subject matter experts. The foundation recognizes that some grantees may provide Submission Materials containing confidential information. When Submission Materials contain trade secrets or other confidential information, the grantee must provide:

(a) Notice. Include a conspicuous notice on the front page of each applicable document, stating that the Submission Materials contain confidential information. For example:

This (annual report) contains confidential information, identified by bars in the margin. The confidential information is furnished to the Bill & Melinda Gates Foundation in confidence pursuant to the foundation’s annual reporting guidelines.

(b) Bars: Such information should be identified by bars in the [right-hand/left-hand] margin next to the information. Such material may, at the written request of the Grantee, be deleted from any materials shared with external consultants for purposes of review of progress.

(c) Warranty. By submitting any Submission Materials, the grantee warrants to the foundation that they have the right to provide the information submitted to the Foundation.

Please consider carefully the information included in Submission Materials. If you have any doubts about the confidential or proprietary nature of any information, the foundation recommends you consult with your legal counsel. You may wish to consider whether such information is critical for evaluating progress, and whether more general, non-confidential information may be adequate as an alternative for reporting purposes. The foundation agrees to keep confidential any confidential information included in Submission Materials, provided it has been properly identified as required above.

The foundation may disclose all confidential information in Submission Materials in connection with evaluation (and funding, if applicable), including to external reviewers under terms of confidentiality, and as required by law. The obligation of confidentiality does not apply to any information that: (i) is or becomes publicly available without breach of confidentiality owed to the applicant; (ii) became known prior to disclosure of such information by the applicant; (iii) became known from a source other than the applicant without breach of confidentiality owed to the applicant; or (iv) is independently developed without use of any applicant’s confidential information.

Applicants with questions concerning the contents of their Submission Materials may contact the foundation Program Officer.

Key Terms

Activity: A task or process that uses inputs to produce a project’s output(s). Each major project activity should be identified clearly on the timeline and the budget worksheet.

Baseline: The situation prior to the start of the project. This can be used as a reference point against which the outputs and outcomes of the project are measured.

Indicator: Specific unit of information that measures aspects of a project’s performance.

Milestone: A significant point of achievement or development during the implementation phase of a project activity. Milestones must be measurable as subsequent funding disbursements may depend on reaching a milestone or milestones.

Objectives: The conceptual aim of the project; the condition that will exist when the project has been successfully completed. The objective should include the desired long-term impact or effect of the project that will result if the project’s outcomes are achieved.

Output: The work product or service (also called a ‘deliverable’) that results directly from a project activity.

Outcome: The measurable consequence of an activity and an output.

Scalability: The capacity of the approach used in a project to be readily expanded in the same location and/or replicated elsewhere at a large scale.

Sustainability: The capacity of an activity implemented in a project to continue after the project has been completed. To be sustainable, an activity must demonstrate that it will receive all needed operational (e.g. maintenance and spare parts) and financial (e.g. collection of adequate fees) support for the foreseeable future.

Vision of Success: Description of the desired state of the field in the future, where the number of years in the future is specified. This description should not be abstract - it should contain as concrete a picture as possible, and also provide the basis for formulating the proposed project and objectives.

Appendix A - Impact Planning and Assessment (IPA) Report

Important guidance for completing Appendix A: performance metrics definitions and pertinent measurement instructions are included in GL’s IPA Road Map (especially pgs. 9-19, and Appendix B: pgs. 27-29). The IPA Road Map is available at the following Toolkit link:

Date range covered by this report: _________________

Grant year being covered by this report: ________________

For your grant, does this Appendix A report cover: (1) IPA planning and stakeholder consultation; (2) baseline, or (3) IPA annual performance report? _____________

1. The Performance Metrics:

| |Data (count or description) |Time Period |Description of Data Collection / Notes |

| |Example |Example |Example |

|Required Metrics | | | |

|1. Number of public library service points providing public access computing | | |For all of metric one, the counts refer to individual library |

| | | |buildings. |

|1.a Supported by the GL grant |300 |As of Dec. 31, 2008 |Grant records. |

|1.b Supported by all other sources |200 |As of Dec. 31, 2008 |Estimate based on needs assessment. Includes 150 libraries being |

| | | |covered by the XYZ national program. |

|1.c Total # of libraries providing public access |500 |As of Dec. 31, 2008 |Estimate based on needs assessment. Includes 150 libraries being |

| | | |covered by the XYZ national program. |

|1.d Total # of libraries |1,000 |As of Dec. 31, 2008 |Per our grant plans, we intend to cover the remaining 500 libraries|

| | | |by grant end. |

|2. Number of physical visits to public libraries |30,000 |During 2008 year |Mixed method. Door count in large city libraries. In smaller |

| | | |libraries, we chose two weeks in the year and sent surveyors to |

| | | |count the number of people entering the buildings. Includes |

| | | |repetition (that is, the number does not gauge unique users). |

|3. Number of workstations available (in the country/target region) |2,300 |As of Dec. 31, 2008 | |

|3.a Paid for by GL |1,500 |As of Dec. 31, 2008 |Grant records. |

|3.b Paid for by all other funds |800 |As of Dec. 31, 2008 |Estimate based on experiential knowledge of a few venues which each|

| | | |have 4 computers per library. |

|4. Workstation use rate |Public use computers |Average for 2008 |Calculated per ISO 11620:2008 B.2.3.2 |

| |(n=2,300): 75% | |Counted at 20 sample times during the year, reduced the # of |

| |Catalog search computers | |computers available by those out of service at that time, and |

| |(n=20): 30% | |averaged the findings to arrive at an annual rate. |

|5. Loans of library materials |30,000 |Total for 2008 |Taken from National Library statistics. 70% loans of print |

| | | |materials, 20% digital equipment (such as CD’s), 10% electronic |

| | | |documents (eBooks). |

|6. Number of library workers trained under the GL grant |1,000 |As of Dec. 31, 2008 |Grant records. 700 of these library workers were trained in 2008, |

| | | |the remainder were trained in 2007. |

|7. Number of library users trained by the GL program in information |4,000 |During 2008 year |Grant records. |

|seeking/use of ICT | | | |

|8. Non-GL spending |$2,5000,000 |During 2008 year |This is an estimated 5% raise since 2007. In fact, we know library|

| | | |workers’ salaries were raised, so that accounts for much of this |

| | | |difference. |

|8.a Non-GL spending on public access computing in public libraries |$500,000 |During 2008 year |This is a combination of (a) $300,000 in local match for our |

| | | |project (primarily to cover broadband costs) and (b) an estimated |

| | | |$200,000 for XYZ government program + non-GL program remainder of |

| | | |the libraries offering public access services (n=200). Costs for |

| | | |(b) were estimated at our program’s costs of providing computers |

| | | |and Internet services. |

|8.b Non-GL spending on general library services |$2 million |During 2008 year |Converted to US currency on the date of this report. Based on |

| | | |government budget. |

|9. Users’ activities in the library / on the computers |10% academic (from children|During 2008 year |Based on user surveys performed 20 times during 2008, in which |

| |to university level) | |surveyors asked users at random, on a given day, what they were |

| |40% communications (mostly | |doing on the computers. |

| |e-mail) | | |

| |30% research on government | | |

| |services | | |

| |20% research for small | | |

| |business | | |

|Recommended Metrics | | | |

|10. Number of unique users of public access computing in public libraries |10,000 |During 2008 year |Users log-in with a library code, so we can track unique users. |

|11. Number of virtual visits to public libraries |5,000 |During 2008 year |Only covers the 5 largest libraries, which are the only ones that |

| | | |offer virtual services. Training librarians on building their own |

| | | |websites is one of our goals for 2009, so this number can increase.|

|12. Repeat patron usage |On average, computer users |During 2008 year |Based on survey described above, where we asked people what they |

| |return once a week. | |did in computers. Full information is attached below, as different|

| | | |user groups have different repetition rates. |

|13. User demographics |Information on users’ age, |During 2008 year |Based on survey described above. Also vetted with library workers’|

| |gender, and other locally | |perceptions of their users. |

| |important differentiating | | |

| |criteria. | | |

|14. State of training of public library staff |N/A | |We are still figuring out how to assess this. We are in the process|

| | | |of crafting a pre-test for ICT training which will give us some |

| | | |information. |

2. The Country-Specific Impact Indicators

Grantees may modify this table as best fits reporting on their IPA Framework and plans. Please include quantitative and qualitative findings.

|Vision of Success: |Within 10 years, we have reduced by half the number of homeless people in our city |

|Project Objective 1: |To enable homeless people to get jobs and stay employed over the long-term |

|Activities |Targeted Outputs |Baseline |Progress |

|Designed training program | 20 staff trained |0 |15 staff trained |

|Hired staff to run the training program |1,000 of 1,100 participants graduated |0 |250 of 260 participants graduated |

|Conducted training programs |24 three-month training sessions conducted |0 |3, three-month training conducted |

|Referred graduates for job placement |750 of 1,000 graduates receiving a job within 90 of days after graduation |0 |190 of 250 graduates received a job with 90 days |

|Conducted post-placement training services |Measurement tools and instruments developed | |after graduation |

| |“Promising” and “best” practices identified & published |0 | |

| | | | |

| | |0 | |

| |Targeted Outcomes |Baseline |Progress |

| |950 of 1,000 graduates obtain a job and stay employed for more than one |0 |225 of 250 graduates obtain a job and stay |

| |year | |employed for more than one year |

| |850 of 1,000 graduates are successful in finding a home within one year |0 |200 of 250 graduates are successful in finding a |

| |90% of students extremely satisfied with training program after 3 years | |home within one year |

| |since graduation |0 | |

| |5 other training facilities incorporating best practices | | |

| | | | |

| | |0 | |

|Project Objective 2: |To expand affordable housing for the homeless |

|Activities |Targeted Outputs |Baseline |Progress |

|1. | | | |

|2. | | | |

| |Targeted Outcomes |Baseline |Progress |

| | | | |

| | | | |

| | | | |

3. Narrative Questions Pertaining to Impact Planning and Assessment Reporting:

Please answer questions in ONE of the following sections based on grant stage for which you are reporting:

1. IPA planning and stakeholder consultation

2. Baseline

3. PA annual performance report

Report 1: For reporting on IPA planning and stakeholder consultation, often covered in final report of planning grant OR as part of country grant application:

a. Description of the stakeholder consultation process

b. Outline of national/local priorities

c. Attach the program’s country-specific impact goals and indicators (the “IPA Framework”).

d. Discuss measurement plans

Report 2: For baseline report, to be submitted with the annual report covering the first year of country grant:

a. Description of baseline data collection: what was done where, how, and on what scale

b. Planned activities to ensure continuation of impact assessment work: comments on upcoming measurement plans, relationship of this work to advocacy and any implications for the collection of national statistics

c. Attach the program’s country-specific impact goals and indicators (the “IPA Framework”). Comments on whether and how the baseline findings have changed the program’s impact goals

Report 3: For IPA annual performance report, to be submitted with annual reports, covering second, third, fourth (and fifth, as appropriate) years of country grant:

a. Discussion of data collection: data collection process, sampling methods, reliability of information

b. Comparison of data with baseline indicators, as appropriate

c. Success stories, including discussion of where they were collected and estimate for how representative they are of people’s experience throughout the program

d. Comments on whether and how baseline findings have changed the program’s impact goals

e. Comments on whether and how data are being used in advocacy processes

-----------------------

Please submit your report electronically to your Program Officer and include “Annual Progress Report – Grant ID” in the subject line using the form that begins on page 2.

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