IATI Implementation Schedule for the Hewlett Foundation Ver. March 30th 2011 Part 1: Public donor implementation plan 1. When will data be published? Timetable and frequency of publication 2. Exclusions and constraints: Overview of exceptions, thresholds & constraints 3. How will data be published? How published data will be presented to users 4. What data will be published? Overview coverage. For each area of the standard: a. Timetable for publication b. Terminology used within donor systems c. Exceptions, thresholds & constraints Part 2: Implementation plan appendices for TAG secretariat only 5. Donor contacts 6. How will data be published? Overview of systems and processes for implementing IATI 7. What data will be published? Detailed coverage. For each data item: a. An indication whether system changes are required b. Timetable for publication c. Terminology used within donor systems d. Exceptions, thresholds & constraints 8. Implementation support needs 1 Part 1: Public donor Implementation schedule 1. When will data be published? Timetable and frequency of publication Which organisations/agencies will your IATI data cover? (What % of your total development flows does this cover? What is missing?) The William and Flora Hewlett Foundation, Menlo Park, CA Note that the Hewlett Foundation is a private foundation and funds are not considered Official Development Assistance. Initial publication is expected to cover internationally-focused resources from 2006 to present, from the Hewlett Foundation’s Global Development and Population program areas. Publication will include both active and closed grants. During later phases of IATI publication, the inclusion of additional data items for each grant will pertain to new grants only. The majority of Hewlett’s grantmaking is domestically focused on programs in the United States. The IATI data will cover approximately 21% of Hewlett’s overall grantmaking. Overall timetable for publication (Provide a date for when these organisations will publish a) an initial set (incomplete) of IATI data b) full IATI implementation) First stage of information available in the first quarter of 2011. Timeliness and frequency of publication (How soon after data is captured and available internally will data be published? Will data be published on a monthly or quarterly basis?) Initially, quarterly publication and updates; in the future, providing a higher frequency of publication may be considered. New data will be available in the quarter following being captured in Hewlett’s systems. How early in lifecycle will activity details be published? (Will activity details be published during the pipeline/identification stage or not until they are approved and in the implementation stage) “Implementation” stage – grant approved Data quality status (Do you want to identify the status of the quality/audit/statistical verification of data that is published in registry? Please indicate whether you anticipate doing this, and the likely timing of moving from unverified data to verified data) As the initial publication of Hewlett data will include data that is already published and provided to the Foundation Center, the same data quality verification processes that are already in place will apply to the publication of data in the IATI format. Resources available to implement IATI? (Please outline what staff and system resources are being made available to implement IATI, any relevant organisational structures e.g. working groups, and who is leading on IATI implementation) Staff from the Global Development, Communications, Grants Administration, Legal, and Information Technology departments are working collaboratively to implement IATI. 2 Other notes 2. What are the exclusions from publication? Exceptions and constraints: general rules that exclude activities from being published. Any specific data item exclusions should be listed in section 4 Thresholds (are there any thresholds on the value of activities or transactions to be published. Please specify what the general threshold limits are for publication) There is no anticipated threshold for grant amounts. Exclusions (Please identify any rules for excluding data or information that will either be applied automatically or used as a basis to manually exclude publication. Note that exceptions for publication should be kept to a minimum and based on existing national or other regulations) Initially, the Hewlett Foundation will not publish information about Direct Charitable Activities (DCAs) because Hewlett currently only publishes information about its grants, not DCAs. Further internal consultation will be required before determining if DCA details will be published. It may not be practical to publish DCAs dues to the diverse nature of the recipients and often small monetary value. Any general issues or other constraints The Hewlett Foundation may choose not to share grant description/detail for the following types of reasons: the grant agreement letter contains a confidentiality provision; the grant data field requested implicates privacy concerns; the Foundation has not received the appropriate legal permissions to share the data; or other legal concerns. 3. How will data be published? Information for prospective users of information Licensing (Under which license will data be published: public domain or attribution? If the license does not meet the IATI standard please specify why. Please state whether you intend to use the IATI authorised license or another) Data that the Hewlett Foundation already owns or that the Foundation has obtained permission to publish will be published under a Creative Commons Attribution 3.0 United States License. For all other data – e. g., data owned by a grantee for which the Foundation has not already sought permission to publish – appropriate processes and resources will need to be determined before publication can proceed. Definition of an activity and multi-level activities (How is an activity defined e.g. projects and programmes, or some other structure? Do you have multi-tiered project structures e.g. projects and sub-projects or components? AT which level do you intend to publish details?) In Hewlett’s systems, a grant is considered an “activity”. There is not a multi-tiered project structure, and there are no systematic links between grants. Segmenting data for publication (The recommendation is to publish data segmented by country i.e. one data file for each country. Duplicate project data must not exist within different files, so projects 3 targeting multiple countries or regional/worldwide by nature should be held within a non-country specific file(s). Is this a practical suggestion for your programme? How many projects are not specific to one country and what non-country files best suit your programme?) Publishing with 2 XML files, one for organization and one for activities -- no segmenting by country. Approximately 79% of Hewlett’s international grants are not specific to one country. Do you intend to provide a user interface in addition to raw IATI data? (Will IATI data be accessible for end users through an existing or a new user interface on your website? [Note: this is not an IATI requirement]) There will be a web page on the www.hewlett.org website, where users can learn about Hewlett’s participation in IATI and access the data files. 4. What data will be published – data coverage for IATI implementation Green Able to publish Orange Able to publish but with either some caveats or some further work to do. Refer to publication notes. Red Unable to publish. Refer to publication notes. Coverage: publish as much data as possible for all new and ongoing projects. For each data item: Colour code according to the definitions above When data can start being published (with reference to the overall timetable for publication described above in section 2, indicate when in the publication timetable this data item will be published) Exclusions & thresholds (highlight any data specific thresholds or exclusions that you require for specific data items. Identify the reason the exclusion is sought: a) Not applicable to organisation b) A non-disclosure policy c) Not currently captured and prohibitive cost d) Other, specify) Terminology used within donor systems (IATI aims to produce a glossary that maps the terminology used within the IATI standard to terminology used within donor agencies and international institutions. Please describe the term for each data item used within your organisation/systems) Any issues or constraints relating to specific data items (add any notes relevant to public users about the publication of this data item and any reasons for orange or red coding) Note: All items IATI Phase 1, unless indicated otherwise with hatched shading . The Standard is a “living standard” that will be subject to modifications in the light of implementation experience. a) Organisation Note: definitions and code lists can be found at http://iatistandard.org/standard/organisation Information Area [to be colour coded as above] Publication Date Exclusions (a, b, or c) and Thresholds 4 Donor definition Publication notes Information Area [to be colour coded as above] Annual forward planning budget data for agency Publication Date Exclusions (a, b, or c) and Thresholds May consider for later phases Donor definition Publication notes B, C Currently not captured as data; Hewlett Foundation has only annual budgets approved by the Board each year. Further consideration required before determining if publication of any forward planning budget data may be possible after Phase 1. Annual forward planning budget data for funded institutions N/A A Hewlett does not make forward planning commitments to grantees. Annual forward planning budget data for countries N/A A Hewlett does not make forward planning commitments based on countries Organisation documents Q1 2011 Annual Report; Audited Financial Statement; IRS Form 990PF (Phase 1 those already published; Phase 2 others) b) Activities Note: definitions and code lists can be found at http://iatistandard.org/standard/activities Information Area [to be colour coded as above] Publication Date Reporting Organisation Q1 2011 Participating Organisation Q1 2011 Exclusions (a, b, or c) and Thresholds Donor Definitions Publication notes (Funding) Participating Organisation Q1 2011 (Extending) Participating Organisation Grantee Q1 2011 (Implementing) Participating Organisation N/A C Currently not captured. (Accountable) Recipient Country Q1 2011 (reporting Hewlett’s codes) Recipient Region Q1 2011 (reporting Hewlett’s codes) Collaboration Type Perhaps by 11/2011 Default Flow Type Q1 2011 C Geographical area served Not available for global/multi-country grants; Hewlett’s geocodes differ from IATI codes. Geographical area served Hewlett’s geo-codes differ from IATI codes. Currently not captured; need further assistance in mapping IATI codes to Hewlett grantmaking. Currently not captured, but all flows are “Private Grants”. 5 Information Area [to be colour coded as above] Publication Date Exclusions (a, b, or c) and Thresholds Donor Definitions Default Aid Type Q1 2011 (reporting Hewlett’s codes); Perhaps by 11/2011 (mapped to IATI codes) D General support/ organization or program, or project support Currently captured, but Hewlett definitions and codes differ from IATI codes; requires further discussions with IATI to determine relevancy. Q1 2011 C Request type Phase I includes grants only. Publishing of DCA’s is currently cost prohibitive. Request ID Hewlett’s unique internal identifier, preceded by Hewlett’s organization code. Default Finance Type Exclusion: Direct Charitable Activities IATI activity identifier Other activity identifiers Activity Title (Agency language) Activity Title (Recipient language) Activity Description (Agency language) Activity Description (Recipient language) Sector (CRS) Sector (donor specific) Q1 2011 N/A A N/A Q1 2011 N/A May consider in later phases Publication notes Project Title C Currently not captured; no plans to capture. B, C Docket summary paragraph Currently not captured as data; establishing an internal system for creation, review, and approval may be cost prohibitive; further consideration required to determine if publication may be possible. N/A C Currently not captured as data; establishing an internal system for creation, translation, review, and approval may be cost prohibitive; further consideration required to determine if publication may be possible. Perhaps by 11/2011 (mapped to IATI codes) C Currently not captured; need further assistance in mapping IATI codes to Hewlett grantmaking. Q1 2011 (reporting Hewlett’s codes) Program area and sub-program area First level Program Area only (which Hewlett already publishes). Further consideration required for sub-levels. (UNDER DEVELOPMENT) Recipient Country Budget Identifier N/A Activity Dates (Start Date) Q1 2011 Project Start Date “Start Date” is the date the grant is approved. Activity Dates (End Date) Q1 2011 Project End Date Currently, only the anticipated end date is published. D Most grants are to NGOs. 6 Information Area [to be colour coded as above] Default Tied Aid Status Policy / Thematic Markers Activity Status Publication Date Exclusions (a, b, or c) and Thresholds Donor Definitions Q1 2011 Currently not captured, but all Hewlett grantmaking is “untied”. N/A A Perhaps by 11/2011 B Hewlett does not track international policy and Rio markers Status Currently not published; further consideration required to determine if publication may be possible. Hewlett already publishes the organization, its website and address. Activity Contacts Q1 2011 Primary Contact Activity Web Site Q1 2011 Grantee Website Related Activity Financial transaction (Commitment) N/A Publication notes A Q1 2011 Grant Amount Already published. All grants are considered “Commitments”. Financial transaction (Disbursement & Expenditure) N/A B,C Currently not published; further consideration required to determine if publication may be possible. Financial transaction (Reimbursement) N/A B Currently not published; further consideration required to determine if publication may be possible. Financial transaction (Incoming Funds) N/A B Currently not published; further consideration required to determine if publication may be possible. Financial transaction (Loan repayment / interest repayment) N/A A Hewlett does not make loans. Activity Budget N/A D Currently not captured; grantees develop budgets that are not necessarily aligned with either financial or calendar years. Planned Disbursements N/A B Currently not published; further consideration required to determine if publication may be possible. 7 Information Area [to be colour coded as above] Activity Documents Publication Date N/A Exclusions (a, b, or c) and Thresholds Donor Definitions Publication notes C Currently not published; confidentiality and privacy concerns; further consideration required to determine if publication may be possible, or to what degree of specificity. (Phase 1 those already published; Phase 2 others) Conditions attached Y/N N (OPTIONAL) Sub-national Geographic Location N/A C Currently not captured; further consideration required to determine if publication may be possible. (OPTIONAL) Results data N/A B, C Currently not captured as data; further consideration required to determine if publication may be possible. (OPTIONAL) Text of Conditions N/A C Currently not captured as data; further consideration required to determine if publication may be possible. 8 Part 2: Implementation schedule - details for TAG secretariat use only 5. Donor Contacts Please add the name and contact details for any technical and policy staff we can contact for further discussions during implementation Technical lead Policy lead Others Patrick Collins Kevin Bohrer June Wang Lilly Giraldo Kathy Nicholson pcollins@hewlett.org kbohrer@hewlett.org jwang@hewlett.org lgiraldo@hewlett.org knicholson@hewlett.org Trinh Liu Ken Houk tliu@hewlett.org khouk@hewlett.org Project Manager Program Associate Applications Manager IT Analyst Developer 6. How will data be published? Relevant Systems (Please list any current or planned systems that are relevant to the publication of IATI data. Include any relevant documents or spreadsheets) System name GIFTS GIFTS Portal Database Technology (e.g. Oracle) MicroEdge SQL Server HQ or Local Notes (e.g. implications of IATI, constraints, flexibility to modify date of next upgrade) HQ HQ Systems and processes The role of headquarters and country offices? (Will data be published from headquarter or local country offices? Or both? Please describe how you intend to approach this?) Data will be automatically published from HQ systems. Systems and publication process (please provide an overview of which systems contain the required data, who enters the data (e.g. staff in country offices), and what steps are required for the data to be published from the internal systems.) Hewlett Foundation will create a program to produce the XML file. System and process changes required (What changes are required to implement IATI? Consider data mapping, additional fields in systems, and changes to QA procedures. Please specify whether changes involve new systems, significant changes to existing systems or minor changes.) For Phase 1, there is no anticipation of system or process changes. For later Phases, new work flow and quality assurance systems will need to be established in order to publish data items that are currently coded as orange or red. Quality assurance & validation process (describe the quality assurance and verification process for the publication of data. Specific mention of the role of country offices in reviewing data prior to publication should be made.) 9 The process will be as described in section 1, which will be carried out centrally from the Hewlett headquarters. Registering data with registry Will the data be published in static data files or dynamically created files via a URL? How do you expect to register the data with the registry (manually or automatically via API)? Data will be published in static data files. Data registration will be done manually directly with the registry. 10 7. Detailed data coverage for IATI standard implementation Green Able to publish Orange Able to publish but with either some caveats or some further work to do. Refer to publication notes. Red Unable to publish. Refer to publication notes. a) Organisation Note: definitions and code lists can be found at http://iatistandard.org/standard/organisation. Section [colour coded] File Header Organisation Annual forward planning budget data for agency Info Name [colour coded] System / process changes Publication Date Default Value Donor mapping IATI Version Q1 2011 1.00 Default language Q1 2011 English Default currency Q1 2011 USD Organisation identifier Q1 2011 US-EIN-941655673 Organisation name Q1 2011 The William and Flora Hewlett Foundation period-start period-end value currency value-date Annual forward planning budget data for funded institutions recipient-name recipientidentifier period-start 11 Exclusions and Thresholds Publication notes Section [colour coded] Info Name [colour coded] System / process changes Publication Date Default Value Donor mapping Exclusions and Thresholds Publication notes period-end value currency value-date Annual forward planning budget data for country recipient country code recipient country name period-start Period-end value currency value- date Organisation Documents (Phase 1 those already published; Phase 2 others) url Q1 2011 Annual Report Audited Financial Statements IRS Form 990PF document format Q1 2011 language Q1 2011 category Q1 2011 category-code Q1 2011 categorydescription Q1 2011 title Q1 2011 url Q1 2011 12 b) Activities Note: definitions and code lists can be found at http://iatistandard.org/standard/activities Section Info Name System / process changes Publication Date Default Value Donor mapping [colour code] [colour coded] File Header IATI Version Q1 2001 1.00 Record Header Default language Q1 2001 English Default currency Q1 2001 USD Data Updated Q1 2001 hierarchy Reporting Organisation Participating Organisation (Funding) Participating Organisation Q1 2011 US-EIN-941655673 type Q1 2011 60 name Q1 2011 The William and Flora Hewlett Foundation role Q1 2011 Funding identifier Q1 2011 US-EIN-941655673 type Q1 2011 60 name Q1 2011 The William and Flora Hewlett Foundation identifier (Extending) type Name Publication notes N/A identifier role Exclusions and Thresholds Q1 2011 Q1 2011 Extending US-EIN-941655673 Q1 2011 60 Q1 2011 The William and Flora Hewlett Foundation 13 Section Info Name [colour code] [colour coded] Participating Organisation Role / identifier / type / name System / process changes Publication Date Default Value Donor mapping Exclusions and Thresholds Publication notes “Grantees” Q1 2011 (Implementing) Participating Organisation Role / identifier / type / name (Accountable) Recipient Country code name Recipient region Currently captured, but Hewlett codes differ from IATI codes. Q1 2011 percentage N/A code Currently captured, but Hewlett codes differ from IATI codes. name Q1 2011 percentage N/A Collaboration Type code Currently not captured. Default Flow Type code Q1 2011 30 name Q1 2011 Private NGO Default Aid Type Default Finance Type IATI activity identifier name code Currently captured, but Hewlett codes differ from IATI codes. name Q1 2011 “Type of Support” code Q1 2011 110 name Q1 2011 Grant IATI activity identification string Q1 2011 Request ID 14 Section Info Name [colour code] [colour coded] Other activity identifiers other organisation identifier System / process changes Publication Date Default Value Donor mapping Exclusions and Thresholds Publication notes other organisation name other organisation activity identification string Activity Title (Agency language) text Activity Title (Recipient language) text Activity Description (Agency language) Type Activity Description (Recipient language) Text General / Detailed Sector vocabulary Q1 2011 Project Title language Text language code description Currently captured, but Hewlett codes differ from IATI codes. Q1 2011 Program Area percentage (UNDER DEVELOPMENT) Recipient Country Budget Identifier vocabulary item code description 15 Section [colour code] Info Name [colour coded] System / process changes Publication Date Default Value Donor mapping Exclusions and Thresholds Publication notes percentage capital-spend Activity Dates Type Q1 2011 Only Start-Planned will be published at this time. Iso date Q1 2011 Type Q1 2011 iso-date Q1 2011 Default Tied Aid Status code Q1 2011 5 name Q1 2011 Untied Policy / Thematic Markers score (Start Date) Activity Dates Only End-Planned will be published at this time. (End Date) vocabulary code Hewlett does not track international policy and Rio markers name Activity Status code Text Activity Contacts organisation name Q1 2011 name telephone This information is currently not publicly released. Q1 2011 email This information is currently not publicly released. address Q1 2011 Activity Web Site URL Q1 2011 Related Activity Type N/A 16 Section [colour code] Info Name [colour coded] System / process changes Publication Date Default Value Donor mapping Exclusions and Thresholds Publication notes identifier Title Financial transaction transaction type code Q1 2011 C (Commitment) transaction type description Q1 2011 Commitment provider name Q1 2011 The William and Flora Hewlett Foundation provider organisation identifier Q1 2011 provider activity id N/A receiver name Q1 2011 receiver organisation identifier Q1 2011 Grantee receiver activity id N/A value Q1 2011 currency Q1 2011 value date Q1 2011 Currently this is the original commitment; does not include any updates. USD Text N/A transaction iso-date N/A Flow type Will be the same as the Activity Code / name 17 Section [colour code] Info Name [colour coded] System / process changes Publication Date Default Value Donor mapping Finance type Exclusions and Thresholds Publication notes Will be the same as the Activity Code / name Aid type Will be the same as the Activity code / name Tied aid status Will be the same as the Activity Code / name Disbursementchannel-code Q1 2011 Grant 2 Disbursementchanneldescription Financial transaction transaction type code (Disbursement, Expenditure & Reimbursement) transaction type description provider name provider organisation identifier provider activity id receiver name receiver organisation identifier receiver activity id value currency 18 Section [colour code] Info Name [colour coded] System / process changes Publication Date Default Value Donor mapping value date Text transaction iso-date Flow type Code / name Finance type Code / name Aid type code / name Tied aid status Code / name Disbursementchannel-code Disbursementchanneldescription Financial transaction transaction type code (Incoming Funds) transaction type description provider name provider organisation identifier provider activity id receiver name 19 Exclusions and Thresholds Publication notes Section [colour code] Info Name [colour coded] System / process changes Publication Date Default Value Donor mapping receiver organisation identifier receiver activity id value currency value date Text transaction iso-date Flow type Code / name Finance type Code / name aid type code / name Tied aid status Code / name Financial transaction transaction type code (Loan repayment / interest repayment) transaction type description provider name provider organisation identifier provider activity id receiver name 20 Exclusions and Thresholds Publication notes Section [colour code] Info Name [colour coded] System / process changes Publication Date Default Value Donor mapping receiver organisation identifier receiver activity id value currency value date Text transaction iso-date Flow type Code / name Finance type Code / name aid type code / name Tied aid status Code / name Activity Budget budget type period-start period-end value value-date currency Planned Disbursements planneddisbursement date-updated period-start 21 Exclusions and Thresholds Publication notes Section [colour code] Info Name [colour coded] System / process changes Publication Date Default Value Donor mapping period-end value value-date currency url Activity Documents (Phase 1 those already published; Phase 2 others) document format language category category-code categorydescription title Conditions attached (Y/N) attached (OPTIONAL) Geographical Location percentage country-code country-name name type-code typedescription description adm1-code adm1-name adm2-code adm2-name latitude 22 Exclusions and Thresholds Publication notes Section [colour code] Info Name [colour coded] System / process changes Publication Date Default Value Donor mapping Exclusions and Thresholds Publication notes longitude precision gazetteeragency gazetteeridentifier (OPTIONAL) Results data 1 Result Result-type Indicator Measure Indicator description Baseline Year Target Target-date Actual Actual-date (OPTIONAL) Text of Conditions condition type description 1 The suggested data format for results is a model to allow those that already publish results as data to do so in an internationally comparable format, should they so wish. Should future international agreements elsewhere on results data supersede the suggested data format, this will be updated accordingly. 23 8. Implementation Support Needs IATI needs to identify what sort of technical support data providers would benefit from, and assess what could be provided. Please specify the types of support you would be interested in receiving and provide additional details where you can. Support Support with mapping data from internal systems to IATI standards Yes – specific data elements identified in “publication notes” column of tables in Section 4. Technical support to translate data to the required XML format No General advice and support to help with implementation (please define where possible) Yes – support from the TAG will be helpful in exploring how Hewlett may be able to publish additional data elements in later phases. Provision of new tools/systems to capture IATI information No Provision of tools to make the raw IATI data accessible for end users via your website No Other (please specify) 24