Progress Updates/Disbursement Request (PU/DR)

Note: at the time of revision of this chapter, Global Fund organized an information session on changes to the Progress Update and Financial Closure Report (on 2 July 2024). The content of reporting is remaining largely the same, but the format of submission is changing from Excel to an online tool. Therefore, please refer to the Global Fund website for the presentation (download in English, Français) and session recording (English, Français) for further information.

During the lifetime of a grant, the Global Fund periodically disburses funds to the Principal Recipient (PR) based on demonstrated programme performance and financial needs for the following period of implementation. A progress update/disbursement request (PU/DR) is both a progress report on the latest completed period of programme implementation and a request for funds for the following execution and buffer period. Its purpose is to provide an update on the programmatic and financial progress of a Global Fund-supported grant, as well as an update on fulfilment of conditions, management actions and other requirements. The PU/DR completed by the PR and verified by the Local Fund Agent, as required, forms the basis for the Global Fund’s annual funding decision by linking historical and expected programme performance with the level of financing to be provided to the PR. The PRs and LFAs download and submit the PU/DR form through the Global Fund Partner Portal.

The PU/DR contains three sections—one each for the PR, Local Fund Agent (LFA) and Global Fund Country Team. Based on the reporting period and schedule agreed during the grant-making process, the PR prepares and submits either the PU or the PU/DR with their relevant sections completed.

Differentiated approach to reporting

In order to “maximize impact against HIV, TB and malaria by tailoring investments and processes to specific characteristics of a country portfolio,” the Global Fund has adopted a differentiated approach across its portfolio from its 2017-2019 allocation period onwards. The approach not only differentiates processes (including access to funding and reporting) across predefined categories of countries, it also accordingly aligns Global Fund human resources dedicated to grant management.

All Global Fund recipient countries have been divided into three categories, based on a combination of three criteria: (1) size of current funding allocation, (2) disease burden, and (3) impact/criticality for the achievement of the Global Fund’s objectives.

The three portfolio categories are:

• Focused countries (smaller portfolios, lower disease burden, lower ‘mission risk’ - i.e. less critical to the Global Fund’s ‘mission’): all countries with a current total country allocation under US$75 million, plus most regional grants.
• Core countries (larger portfolios, higher disease burden, higher risk): countries with a current allocation between $75 million and $400 million.
• High-impact countries (very large portfolios, ‘mission critical’ disease burden): includes countries with a current allocation of $400 million or more + 1 malaria regional grant managed by UNOPS.

Reporting requirements are different for each of the portfolio categories:

• Focused countries are required to submit an annual PU/DR covering programmatic, finance, health product management, and grant management. The LFA reviews the PU/DR but doesn’t verify programmatic results, and completes high-level analytical review of expenditures versus budget.
• Core and high-impact countries must submit two progress updates per year: one mid-year PU (expenditure reporting optional for core countries; scope of LFA review to be determined by the Country Team) and one yearly full PU/DR subject to full LFA review.

Unless decided otherwise by the Global Fund Country Team, the following is a list of the forms that need to be submitted as part of the annual PU/DR or the semi-annual PU:

In July 2024, the Global Fund has updated the guidelines for the reporting through the Progress Update and Disbursement Request (PU/DR). Now, the forms must be completed and submitted online through the Global Fund Partner portal. The updated guidelines include detailed instructions on how to access and complete the forms.

The Grant Agreement stipulates that the PRs must submit PUDRs no later than 60 days after the close of the agreed periods, while PUs must be submitted 45 days after the close period.

Since February 2022, PRs no longer receive the excel template of the PU/DR via email, as this is accessed and submitted through the Global Fund Partner Portal. The Performance Letter is also accessed through the portal and the PR receives a notification, once the letter is ready.

The PU/DR provides the following:

• Progress report on the latest completed period of programme implementation;
• Request for funds for the next/following execution and buffer period;
• Update on the programmatic and financial progress of a Global Fund-supported grant;
• Update on the implementation of health product management activities together with the stock status analysis and progress in completing the Price and Quality Reporting (PQR);
  • Please refer to the “Health Product Management” Section of the Manual for detailed information on what should be reported in PQR.
• Update on fulfilment of conditions, management actions and other requirements;
• The basis for the Global Fund’s annual funding decision by linking historical and expected programme performance with the level of financing to be provided to the PR.

The PU/DR should be carefully prepared and cross-checked, as errors can delay disbursements. The following errors have been cited as reasons for delaying disbursements:

• The disbursement request was not signed;
• The disbursement request was not dated;
• The cash reconciliation was not completed correctly;
• The progress update and disbursement request periods under the ‘General Information’ of the report were not correct;
• The signature was not the same as the one on the specimen document, or no specimen document was provided;
• The indicators and/or targets reported on in the ‘Programme Progress’ section of the report were not those agreed for that period in most recently approved Performance Framework; and
• Prices of medical products were not reported on in the Global Fund’s PQR database