Organisational Assessment 2011

Transcription

1 Organisational Assessment 2011 Name of organisation: GAVI Responsible ministry: Ministry for Foreign Affairs, Department for Multilateral Development Cooperation Others participating in the assessment: Ministry for Foreign Affairs Department for Development Policy, Sida, Permanent Mission in Geneva. Input from the embassies in Kinshasa, Dhaka, Addis Ababa, Lusaka and Kampala. General information, including financial data Where possible, the following text is taken from the most recent assessment. Go through the text, update information and revise where required. Mandate and principal focus of activity according to the organisation s strategic policy documents (max. 150 words): GAVI s overall objective is to save children s lives and protect people s health by increasing access to immunisation in the world s poorest countries. GAVI is a partnership and alliance that brings together governments, multilateral organisations, philanthropists, the pharmaceutical industry, the financial sector, research institutions and civil society in seeking to reduce child mortality in the world by increasing the use of available vaccines and promoting the development and supply of new vaccines in poor countries. GAVI s newly adopted strategy for has four main goals: 1. to accelerate the uptake and use of underused and new vaccines 2. to contribute to strengthening the capacity of integrated health systems to deliver immunisation 3. to increase the predictability of global financing and improve the sustainability of national financing for immunisation 4. to shape vaccine markets. GAVI s work may be divided into five principal areas: New and underused vaccines support (NVS) support to countries wishing to introduce programmes for vaccines that are underused or new, such as hepatitis B, yellow fever, pneumococcal and rotavirus vaccines. Immunisation services support (ISS) cash-based support that countries can use to help build up their own immunisation systems. Health system strengthening (HSS) a supplement to ISS designed to improve countries maternity and child care services in general Injection safety support (INS) support for the provision of equipment that makes immunisation safer Civil society organisation support (CSO) civil society organisations are often 1

2 important actors in the implementation of immunisation programmes; countries may apply for support to strengthen vaccine-related organisations. Governing body, management structure and Swedish participation, including the number of Swedish employees in the organisation (Comment): The present organisational set up was established in 2008, replacing a US-based vaccine fund and a Global Alliance. GAVI is now a foundation based in Switzerland, like the Global Fund for Aids, Tuberculosis and Malaria(GFATM), and has its headquarters in Geneva. The GAVI Alliance Board has 28 seats, distributed as follows: Donor countries 5 seats Developing countries 5 seats Civil society 1 seat Vaccine industry, industrialised countries 1 seat Vaccine industry, developing countries 1 seat The WHO, UNICEF and the World Bank 1 seat each Bill & Melinda Gates Foundation 1 seat Research and technical institutions 1 seat Independent individuals 9 seats GAVI s CEO - 1 seat As of May 2007, Sweden is in a constituency with Denmark and the Netherlands. Sweden has represented this constituency on the Board since Sweden s constituency is one of five representing national donors. The Board meets twice a year. Decisions are drafted in the Board s various subcommittees: Executive, Programme & Policy, Governance, Investment, Audit & Finance, and Evaluation Advisory. Sweden is a member of the Programme & Policy committee. The GAVI Secretariat is led by a CEO appointed by the Board. Dr Seth Berkeley was appointed the new CEO on 1 August GAVI is not represented at country level, working instead through such bodies as UNICEF (which procures vaccines) and the WHO (which contributes expertise), and also with local partners. Besides its headquarters in Geneva, the organisation has a small office in Washington DC. At present, GAVI has 130 employees, two of whom are Swedish. Total disbursed resources (or the equivalent in accordance with Annex 2), and Swedish financial contributions, both nominally and in relation to other donors 1. Also, provide comment on how large a share of the organisation s budget is core budget support/non-earmarked support and how much is earmarked (Comment): The total resource disbursement to the various programmes for 2010 was USD 584m. Sweden s contribution to GAVI for 2011 is SEK 150m, which corresponds to just over USD 23m. Since the beginning, Sweden has accounted for 3.2% of all contributions to GAVI. 1 Detailed financial information is to be entered in Annex 2. 2

3 Almost all support to GAVI is non-earmarked. A pilot scheme is under way that gives new donors the possibility of earmarking their support geographically, but only on a very limited scale. The Board has decided that at least 15 per cent of GAVI s programme budget is to be devoted to health system improvement a condition imposed by certain donors in return for agreeing to de-earmark their contributions. Donors contribute to GAVI either through direct allocations to the core budget or by contributing to the IFFIm or AMC. IFFIm the International Finance Facility for Immunisation was established in 2006 with Sweden as one of the original financiers. This mechanism makes possible advance financing known as frontloading by raising money in the international capital markets against promises of future payment streams from countries as security. AMC Advanced Market Commitment involves donors making financial commitments under which vaccine producers receive a guaranteed return on new vaccines once these have been fully developed. The first AMC, launched in 2009, concerned the development of a pneumococcal vaccine specifically adapted for developing countries. Sweden is not part of the AMC mechanism. The six largest donors of basic contributions to GAVI in 2009 (USDm): 1. Norway US Bill & Melinda Gates Netherlands EC Sweden 14 In addition, a number of countries make very substantial contributions to GAVI via the two financing mechanisms, the IFFIm and AMC. Largest contributors to the IFFIm (USDm): 1. UK France Italy Norway Australia Sweden 38 Largest contributors to the AMC (USDm): 1. Italy UK Canada Russia Bill & Melinda Gates 50 In all, the IFFIm contributed USD 330m to GAVI in

4 A. Summarised assessment of relevance Highly relevant Relevant Not relevant Based on the assessment of relevance (Section A in the Annex), describe how relevant the organisation is. Where the organisation has previously been assessed, comment on any significant changes The overall assessment is that GAVI is a highly relevant organisation for Sweden s development cooperation. GAVI seeks to maintain a strong poverty focus. It works only in countries with an average income not exceeding USD 1500, which means it has a stronger poverty focus than many other organisations operating in international development. At present, 56 countries are eligible for support, 39 of them in Africa. GAVI is a relevant and effective actor enabling countries both to make swift and substantial progress towards the fulfilment of MDG 4 and to save children s lives. According to the WHO, something like 25 per cent of MDG 4 can be achieved through increased coverage via traditional and new vaccines. Although to a lesser extent, GAVI can also be said to contribute to MDG 1, 2, 5 and 6, not least in view of its support for the strengthening of health sectors. GAVI s tried and tested business model and its effective organisational setup, coupled with the fact that essential vaccines have now been fully developed, together mean that GAVI may be considered highly relevant to Sweden s pursuit of its development goals. Via such mechanisms as the IFFIm and AMC, GAVI has pioneered the development of innovative financing. GAVI is a fully functional alliance bringing together recipient countries, donor countries, the UN, the business sector and civil society. Its close cooperation with the business sector and markets makes GAVI a particularly relevant partner for Sweden in our efforts to develop our approaches and create a more inclusive type of development cooperation. GAVI has an intrinsic value as a successful model. B. Summarised assessment of internal effectiveness Very low Low Fair Good High X Very high Based on the assessment of internal effectiveness (Section C in the Annex), describe how efficient the organisation is internally. Where the organisation has previously been assessed, comment on any significant changes: The overall assessment is that GAVI has a very high level of internal effectiveness. GAVI s organisational setup is well suited to its activities. GAVI has a slimmed-down Secretariat and relies on its alliance partners for vaccine procurement, technical assistance and implementation at country level. The Board assumes an important strategic role and its work is distinguished by commitment, skill and a sense of responsibility. Executive management has a clear role to play and interacts smoothly with the Board. Confidence in the senior 4

5 management is high. GAVI has efficient staff systems. It is a meritocratic organisation in which individual performance is linked to the organisation s strategic goals. It also has a distinct results culture. GAVI s programmes have a strong element of resultsbased financing. There are fully adequate systems for following up and reporting results, although some opportunities for improving implementation have been noted. Work is under way to improve both reporting and follow-up, starting with the new strategy and its attendant business plan. A special Performance Management Unit has been set up, for instance. Results are reported to the Board regularly and affect strategic decisions. The reporting and follow-up of health system initiatives has been identified as an area requiring improvement. Improvement work is under way in this regard, not least through efforts to develop a common health system platform with the Global Fund and the World Bank. The aim here is to improve donor coordination both at the application stage and during follow-up and reporting. GAVI is a transparent organisation that makes information public on a proactive basis. Its website is easily accessible and contains a wide range of useful information, including policies, evaluations, board documentation, measures, programmes and results reporting. GAVI is a learning organisation. GAVI undergoes regular external and independent evaluations of varying scope and scale. Two general evaluations have been carried out, one covering the period and the other covering the period The results of these evaluations are taken seriously and have an impact on the organisation. GAVI has a fully adequate anti-corruption system in place, and deals with operational risks purposefully and systematically. The way in which it has dealt with suspected cases in the past and deals with them today suggests that the systems work. GAVI established a Transparency and Accountability Policy in 2009 to facilitate management of the risks associated with its cash-based programmes. Also in 2009, it appointed an internal auditor. Openness in the vaccine procurement process led by UNICEF is crucial to GAVI s ability to shape market prices. Nowadays, UNICEF systematically makes price information public. Its procurement systems are assessed as fully adequate. C. Summarised assessment of external effectiveness Very low Low Fair Good High Very high Based on the assessment of external effectiveness (Section C in the Annex), describe how effective the organisation is. Where the organisation has previously been assessed, comment on any significant changes: The overall assessment is that GAVI has a very high level of external effectiveness. GAVI s 5

6 actions and contributions are demand-driven. Resource allocation is based on applications received and recipient countries own priorities. The system is based on the existence of efficient coordination and planning processes at country level. GAVI seeks to harmonise with and use national systems for implementation, follow-up and reporting. That there is room for improvement not least in the cash-based programmes is something that GAVI is working on. It is a question of striking a balance between the use of national systems and the need for proper controls and in this respect GAVI is felt to have been successful. The assessment from Swedish embassies is that GAVI s co-financing requirements have boosted national commitment to and prioritisation of immunisation programmes. The incentive structure appears to have worked. GAVI s very limited field presence means that the organisation is dependent on the proper functioning of national systems and international donor coordination at country level, and indeed has an interest in contributing to the achievement of it. The slimmed-down GAVI Secretariat does not attend all coordination meetings at country level. However, GAVI can count on the support of alliance partners such as UNICEF and the WHO. GAVI has played a very active part within the Paris Agenda framework and in the global discourse on aid effectiveness. One practical example is its endeavour to create a common health system funding platform together with the Global Fund and the World Bank. GAVI s alliance model is a valuable example of innovative thinking in the development aid sphere and it has proved capable of delivering results. This model is worth defending. GAVI has undoubtedly achieved important development results. Since being launched in 2000 and up to the end of 2009, GAVI has financed the immunisation of 257 million children. Its activities have thereby helped to prevent 5.4 million future deaths (source: the WHO). During the same period, a total of USD 2.2m has been disbursed to 75 countries. GAVI has both attracted resources to and drawn attention to immunisation on a scale that would not have been possible without its presence in the international arena. GAVI s results are assessed as cost-efficient. Through its funding activities, GAVI has contributed significantly to a situation in which the proportion of developing countries routinely vaccinating against hepatitis B has increased from just under 10 per cent in 2000 to over 80 per cent in 2009 (a significantly higher percentage than is found in richer countries). The increased coverage for hepatitis B alone has helped to avert 3.1 million deaths. In 2000, Gambia was the only developing country that routinely vaccinated against Haemophilus influenzae type B (Hib). In 2009, the number of developing countries routinely vaccinating against Hib had increased to over 80 per cent. Another result worth mentioning is that in 2009, coverage for DTP3 (a triple vaccine against diphtheria, tetanus and whooping cough) in the GAVI family of countries had increased to 79 per cent, which is the highest coverage rate ever recorded in developing countries. An important development in the fight to reduce vaccine prices was the fact that the expected 2010 price for the pentavalent vaccine fell in 2009 to less than USD 3 per dose, which meant the price was down USD 0.5 on the previous year. This vaccine is expected to account for 40 per cent of GAVI s vaccine costs up to GAVI s financing of infrastructure and health systems has improved over time. The link between a more general form of support and the outcomes that are of specific importance to GAVI is sometimes difficult to establish.it is clear, however, that demand on the part of 6

7 recipient countries has been very substantial and that the actions taken have been relevant for GAVI s work. System-related measures are essential to the task of eliminating bottlenecks and ensuring the best possible results for immunisation programmes. GAVI s shaping of the vaccine market s pricing has not fully lived up to expectations, and this is something the organisation is well aware of and is making efforts to remedy. GAVI s role in the creation of the groundbreaking IFFIm financing mechanism is in itself a valuable result. The IFFIm has also helped make GAVI s own financing more predictable. GAVI s programmes are distinguished by results-based financing and a co-financing requirement. The financial sustainability of GAVI s efforts, however, not least in the poorest countries, can be improved further. D. Trends/tendencies regarding relevance, internal and/or external effectiveness Has the organisation changed for the better or the worse over the past three years in terms of relevance and/or internal or external effectiveness, and if so, how? Where the organisation has previously been the subject of a Swedish assessment, the present assessment is to be clearly based on that one. Comments: GAVI is a relatively small, swift-footed and responsive organisation. In recent years, it has changed for the better. The IFFIm has contributed to a substantial growth in funding over the past three years, and GAVI has largely shown itself capable of handling this increase. GAVI uses the results of evaluations to improve its work. By introducing pneumococcal and rotavirus vaccines in developing countries, GAVI hopes to be able to avert an additional 4 million premature deaths up until Demand for these vaccines in GAVI countries is strong. GAVI has made considerable efforts to mobilise resources. In June 2011, a pledging conference was held at which commitments totalling USD 4.3m were secured. In all, GAVI will have access to USD 7.6 billion for the strategy period GAVI is continuing to strengthen its demand-based model with an increased element of resultsbased financing and co-financing. There are still some question marks concerning sustainability in the poorest countries. GAVI has created an internal auditing service and also strengthened its risk-awareness and control systems for cash-based support. In addition, it is continuing work on the common health system funding platform, with a view to improving both the effectiveness of and the reporting of health system support. Efforts are under way to further strengthen both the reporting and the follow-up of results. 7

8 GAVIS lack of impact on the market is viewed very seriously by both the Secretariat and the Board. The organisation recently upgraded its market focus and made lower prices for vaccines in poor countries one of its strategic goals. It aims to step up its efforts in this area, and a new strategy for market shaping is being prepared. Both at and ahead of the pledging conference in June 2011, the vaccine industry promised to reduce prices on several of its products. GAVI is well equipped to achieve the ambitious goals it has established for , and further improvements can be expected both in the organisation and in the model. On 1 August 2011, Dr Seth Berkley took up his post as GAVI s new CEO. Dr Berkley is generally acknowledged to be well suited to the position. 8

9 ANNEX: Assessment indicators A. Relevant goals Introduction: The following is an assessment of how relevant the organisation s objectives are from a Swedish perspective. The aim is to determine how these objectives relate both to each of the main features of Sweden s policy for global development 2 and to the overall goal of Swedish humanitarian aid provision. Also, the relevance section will conclude with a discussion of four issues of a more general nature, dealing with the organisation s focus on Sweden s three thematic priorities in the development cooperation sphere, the organisation s role in the international aid architecture, the organisation s focus on poverty reduction and any role the organisation may have in relation to other policy areas. For each main feature there is a Comments space where the assessment can be briefly described. Here, explanations can be given for the views expressed, and the reasons why an organisation is considered not to have lived up to the assessment criteria can be described, or why an assessment is not possible. Don t forget to include sources and references! Use the input submitted from the field concerning the organisation s relevance. NB It is highly unlikely that a given organisation s aims and objectives are relevant in all areas. In the case of certain organisations with a strong niche, the organisation may be and should only be relevant in one specific area, which means no wider relevance need be attributed to it. Thus it is entirely possible that an organisation may be deemed not to meet any of the criteria in a number of indicators (main policy features) yet still be highly relevant from a Swedish viewpoint. The concluding summary makes clear what type of organisation is involved (an organisation with a broad development mandate, a niche organisation, a mainly humanitarian organisation etc) and in light of this assesses its relevance from a Swedish viewpoint, in relation to Sweden s own development cooperation and humanitarian activities. It is primarily this text that is to be entered at the corresponding place in the summary. It is a good idea to also use the input from the field when assessing relevance. i) Respect for Human Rights a) Is an explicit objective in the organisation s strategies and overall policy documents b) Is something that the organisation works extensively with in its practical activities c) The organisation s efforts are well in line with Sweden s current priorities in this area as defined in Swedish Govt. Bill 2007/08:1, UO7, Ch Deemed to meet the following criteria: none Comments (max. 150 words): Human rights is not an explicit goal for GAVI. The organisation does however contribute to the social and economic rights of the poor. GAVI s previous Board Chair pursued the issue of health 2 The main policy feature Global Public Goods is not included since this is largely covered by the main policy feature Climate and Environment. 9

10 as a human right. Sources and references used: GAVI Alliance Strategy and Business Plan ii) Democracy and Good Governance a) Is an explicit objective in the organisation s strategies and overall policy documents b) Is something that the organisation works extensively with in its practical activities c) The organisation s efforts are well in line with Sweden s current priorities in this area as defined in Swedish Govt. Bill 2007/08:1, UO7, Ch Deemed to meet the following criteria: none Comments (max. 150 words): GAVI s activities do not contribute to greater democracy but may contribute to good governance in that the organisation insists on efficient financial management of its system support disbursements and also in that it finances the expansion of health systems. GAVI makes active efforts to improve sustainability in vaccine systems. Sources and references used: GAVI Alliance Strategy and Business Plan iii) Equality between women and men a) Is an explicit objective in the organisation s strategies and overall policy documents b) Is something that the organisation works extensively with in its practical activities c) The organisation s efforts are well in line with Sweden s current priorities in this area as defined in Swedish Govt. Bill 2007/08:1, UO7, Ch Deemed to meet the following criteria: a,b,c Comments (max. 150 words): Although gender equality is not one of GAVI s principal mandates, it is something that the organisation deals with in practice. GAVI has a gender policy and thus has gender equality as one of its goals. A gender equality perspective is to pervade all parts of GAVI s work and is considered essential to the achievement of maximum effectiveness and health impact. Sources and references used: GAVI Alliance Strategy and Business Plan , GAVI Gender Policy iv) Sustainable use of natural resources and concern for the environment a) Is an explicit objective in the organisation s strategies and overall policy documents b) Is something that the organisation works extensively with in its practical activities c) The organisation s efforts are well in line with Sweden s current priorities in this area as defined in Swedish Govt. Bill 2007/08:1, UO7, Ch Deemed to meet the following criteria: none Comments (max. 150 words): 10

11 Not part of the GAVI mandate. GAVI s projects and programmes are designed to avoid impacting negatively on the environment. Sources and references used: GAVI Alliance Strategy and Business Plan v) Economic growth a) Is an explicit objective in the organisation s strategies and overall policy documents b) Is something that the organisation works extensively with in its practical activities c) The organisation s efforts are well in line with Sweden s current priorities in this area as defined in Swedish Govt. Bill 2007/08:1, UO7, Ch Deemed to meet the following criteria: b Comments (max. 150 words): Improved vaccination and immunisation coverage reduces the disease burden, which in turn tends to promote economic growth. This is not an explicit objective, however. Sources and references used: GAVI Alliance Strategy and Business Plan , GAVI Alliance Progress Report 2009 vi) Social development and security a) Is an explicit objective in the organisation s strategies and overall policy documents b) Is something that the organisation works extensively with in its practical activities c) The organisation s efforts are well in line with Sweden s current priorities in this area as defined in Swedish Govt. Bill 2007/08:1, UO7, Ch Deemed to meet the following criteria: a, b and c. Comments (max. 150 words): By making a significant contribution to reduced child mortality and better health in poor countries, GAVI also contributes to those countries social development and security. Sources and references used: GAVI Alliance Strategy and Business Plan , Second GAVI evaluation vii) Conflict management a) Is an explicit objective in the organisation s strategies and overall policy documents b) Is something that the organisation works extensively with in its practical activities c) The organisation s efforts are well in line with Sweden s current priorities in this area as defined in Swedish Govt. Bill 2007/08:1, UO7, Ch Deemed to meet the following criteria: none Comments (max. 150 words): Conflict management is not a part of GAVI s mandate but the organisation operates in a number of conflict areas. 11

12 Sources and references used: viii) Humanitarian operations a) Is an explicit objective in the organisation s strategies and overall policy documents b) Is something that the organisation works extensively with in its practical activities c) The organisation s aims and objectives are well in line with Sweden s current priorities in this area (Policy for Swedish humanitarian aid, UF2010/39010/SP). Deemed to meet the following criteria: none Comments (max. 150 words): Not part of the GAVI mandate. Sources and references used: GAVI Alliance Strategy and Business Plan Other considerations when assessing relevance Comment on the organisation s relevance in relation to the Government s three thematic priorities: democracy and human rights, environment and climate, and gender equality. Comment: GAVI s overall objective is to save children s lives and protect people s health by increasing access to immunisation in poor countries. Its work therefore has a certain bearing on human rights, not least social and economic rights, and on gender equality. GAVI s relevance for democracy and climate, however, is negligible. The organisation s relevance in the international aid architecture, and its clearly defined, critical and complementary role in this context Comment: As an innovative partner, GAVI has a clear, supplementary role in the aid architecture. It has led the way in developing the new IFFIm financial model a model that could be applied to other areas of development aid. GAVI s efforts to shape the vaccine market, e.g. via the AMC, are groundbreaking, and have led to the arrival on the market of new products adapted to the needs of developing countries, at prices that are more in line with these countries ability to pay. GAVI has an intrinsic value as a successful partnership model in development cooperation, with bodies such as the WHO, UNICEF and the World Bank as important participants. As a result of GAVI s activities, significantly more resources have been allocated to immunisation in poor countries than would have been the case had the organisation not existed. Please comment on the organisation s focus on poverty reduction, on the poorest cs and on the ways in which it helps implement the Millennium Development Goals, besides those mentioned above. Comment: GAVI emphasises poverty and has chosen to work only in countries with a GDP of less than USD 1500 per capita/annum. At present, 56 countries qualify for support, 39 of them in Africa. According to the Second GAVI Evaluation, the organisation is focusing on the poorest countries of all, including unstable states. GAVI is highly relevant for MDG 4. It also contributes indirectly to MDGs 1, 2, 5 and 6 by strengthening health systems and by virtue of the fact that increased immunisation coverage reduces the disease burden, which in turn can help reduce poverty. 12

13 Insofar as the organisation is important to the implementation of the goals of other policy areas, please specify which and in what way the organisation contributes to such implementation. Comment: By helping to increase the degree of immunisation coverage in the fight against communicable diseases, GAVI is contributing to better public health worldwide and thereby also helping to improve public health in Sweden. Consequently, GAVI is also relevant in the context of Swedish public health policy. 13

14 B. Internal effectiveness The section on internal effectiveness involves assessing how well equipped the organisation is internally to ultimately be in a position to deliver good results (i.e. to be externally effective). The assessment of internal effectiveness is divided into three areas of inquiry: Structural factors; Results-based management, planning and follow-up; and Transparency, auditing and procurement. Under each question, there is a field for any comments that need to be made. In particular, the question of whether the systems/policies in place actually work in practice may be dealt with here. At the end of each area there is a Comments box where the number of assessment criteria met is summarised and where the assessments can be explained more fully and discussed. In cases where an assessment has been carried out previously, changes in the number of fulfilled criteria must be highlighted. And remember to specify which sources were used for the assessment this information is invaluable, not least to whoever succeeds you in the future. In cases where the organisation has already been assessed in recent years under the Multilateral Organisations Performance Assessment Network (MOPAN), the results of this should be used in the following section. B1: Structural factors Introduction: An efficient organisation has an operational management and an executive board that are considered legitimate and that work well. The division of roles between them is clear-cut and sustained. In addition, there should be an appropriate organisational structure throughout the line to ensure effective action in the field as well. The type of organisation usually involved is heavily knowledge-based and its prime asset is its staff. An efficient staff policy, therefore, is vitally important. i) The management structure plays an important strategic role in the organisation a) The board, or equivalent, engages in constructive dialogue on strategic management issues b) The board, or equivalent, takes decisions that have operational consequences c) The board, or equivalent, serves as an instrument for demanding accountability on the part of senior management Deemed to meet the following criteria: a,b,c Sources and references used: GAVI Alliance By-Laws, GAVI Alliance Statutes, Multilateral Aid Review. Comment: GAVI has a highly efficient board that plays an active, well-informed and important role in the strategic management of the organisation. The Board s decisions have discernible operational consequences. The climate of cooperation between Board and Secretariat is good, and the Board imposes clear requirements on the Secretariat and is not afraid to level criticism. ii) Senior management leads the organisation in an effective manner 14

15 a) Senior management has a clearly defined role and assignment b) Senior management actions have an impact on the organisation c) Senior management enjoys the confidence of both staff and Board Deemed to meet the following criteria: a,b,c Sources and references used: GAVI Alliance By-Laws, GAVI Alliance Statutes Comment: GAVI currently has an acting CEO. The regular CEO has been appointed and will take up his post in August GAVI s executive management is effective and has clearly penetrated the organisation, and staff and board members alike have confidence in it. The CEO is appointed by the Board. iii) The organisational structure is well suited to the operation a) a) There is a clearly defined and documented order of delegation between headquarters and field office (re decision-making mandates, operational management etc) b) The delegation of decision-making between headquarters and field office is reasonable in the light of operational needs c) Financial resources are largely allocated in accordance with country, sectoral and thematic priorities Deemed to meet the following criteria: a, b and c. Sources and references used: GAVI Alliance By-Laws, Second GAVI Evaluation Comment: GAVI has no field offices. To a great extent, it is a demand-driven organisation. Proceeding from its strategy and business plan, GAVI allocates resources based on recipient countries own priorities. The organisation s effective structure is one of its comparative advantages. GAVI has a smoothly functioning, structured partnership with the WHO and UNICEF. iv) The organisation has an efficient staff policy a) Staff recruitment, incl. promotion, is based on skill and experience, in accordance with a transparent system b) Staff surveys or the equivalent are undertaken and followed up regularly c) The organisation has an effective gender equality and/or diversity plan (policy) Deemed to meet the following criteria: a,b Sources and references used: Gender Policy, Gender Policy Implementation Plan, MAR Comment: GAVI has effective staff policies and systems. It also has a gender equality policy and a plan for its implementation targeting its own staff to only a limited extent. It has not been possible to assess whether the gender equality policy 15

16 works in practice. The GAVI Secretariat has a fairly good gender balance, not least at executive level. GAVI undertakes regular staff surveys. It is also seeking a better gender balance in the composition of the Board. Summary and final comments, Section B1 1) How many of the twelve assessment criteria were met? 11 2) Comments on the assessments entered under Structural factors (max. 200 words): GAVI s organisational setup is well suited to its activities. GAVI works primarily with partners such as the WHO and UNICEF and is thus able to keep its own secretariat small. The organisation s lack of a country presence can present problems but is fairly well compensated for by its effective alliance model, which allows it to get by with a relatively small administration. GAVI s leadership is strong, and the Board takes an active part in the strategic management of the organisation. GAVI is a meritocratic organisation in which individual performance is linked to the organisation s strategic goals. B2: Results-based management and evaluation Introduction: Good results-based management means that the organisation has a clear-cut system, including evaluation programmes and procedures, whereby operational and strategic goals are regularly and systematically followed up in all areas of activity. Information gained from evaluations is to be actively utilised and integrated into the ongoing planning and development of the operation. Ongoing follow-up is to be based on results indicators and/or key performance indicators (KPIs). i) The organisation has a properly working results-based system for planning and managing operations a) A documented system/set of procedures is in place for planning, following up and managing operations and measuring what results have been obtained b) Results and outcome/impact indicators (indicators that reflect qualitative changes) are systematically measured over time in order to assess goal achievement in the main areas of activity c) Information from follow-up systems is regularly presented to the executive management and the governing Board Deemed to meet the following criteria: a,b,c Sources and references used: Update on the Performance Management Process at GAVI, GAVI Alliance Strategy and Business Plan Comment: Essential systems are in place and are documented and used. GAVI practises results-based financing and is thus dependent on results being measured regularly and systematically if its business model is to work. The reliability of information received is checked by means of data quality audits. The Board and Secretariat study information from the follow-up systems and act upon it. ii) Information from results-based management is actively used in the planning, management and development of activities 16

17 a) Analyses of development patterns and degree of goal achievement affect the planning of current and future activities and measures b) Analyses of development patterns and degree of goal achievement affect budget allocation decisions c) Results follow-ups are included in personal development dialogues with staff Deemed to meet the following criteria: a,b,c Sources and references used: Comment: GAVI practises results-based financing, and results thus impact directly on decisions and the distribution of resources. Results are followed up systematically on an ongoing basis. Previous evaluations have noted a number of weaknesses in the follow-up of health system strengthening (HSS) measures, such as inadequate focus on the reporting of actual results. Many of the results are directly linked to functions within the Secretariat. Staff performance is systematically measured against set targets, which in turn are linked to the organisation s strategic goals. iii) Results-based reporting from the operation is fully adequate a) Reporting from activities, including annual reports and thematic reports, contain an account of results, impacts and outcomes b) Reporting from the operation describes the relationship between resources used and results achieved c) Reporting from the operation is disseminated actively and systematically to financiers, partners and other stakeholders Deemed to meet the following criteria: a,b,c Sources and references used: 2009 GAVI Alliance Progress Report, Investing in immunisation through the GAVI Alliance: The evidence base, Documentation in preparation for board and committee meetings, MAR, Second GAVI Evaluation, GAVI Alliance Progress Report 2009 Comment: GAVI s reporting shows results in relation to stated goals and indicators. Outcome and impact reporting in respect of health system funding, however, needs to be strengthened further such efforts are currently under way. Reporting is disseminated actively and widely to all stakeholders. Everything from the organisation s annual reports to detailed country reports are available for public viewing at the GAVI website. Systematic reporting of results and mutual accountability are a key feature of the partnership model, not least for the main implementing partners, i.e. UNICEF, the WHO and the governments of the recipient countries. iv) The organisation has an independent and efficient evaluation system a) There are clear guidelines regarding evaluation activities b) There is an explicit mechanism for turning the results of evaluations to 17

18 account in order to improve the operation c) The evaluation body is independent Deemed to meet the following criteria: a,b,c Sources and references used: GAVI Alliance Evaluation Policy GAVI is a learning organisation. It has an effective evaluation policy that includes guidelines on how evaluations are to be conducted and used. In 2009, an Evaluation Advisory Committee was set up. Besides a number of Board members, it consists mainly of independent evaluation experts whose task is to guide GAVI in its evaluation work. The evaluation process works well in the sense that carefully selected evaluations are undertaken regularly and independently, and that evaluation results are assimilated by the organisation and have a clear impact on the strategic direction of its work. Evaluation results are made public and actively disseminated within the partnership. Summary and final comments, Section B2 1) How many of the twelve assessment criteria were met? 12 2) Comments on the assessments entered under Results-based management, follow-up and evaluation (max. 200 words): GAVI strives for a culture in which results drive the organisation s work as a whole, and to a great extent has been successful in this respect. A general evaluation carried out in 2010, however, identified weaknesses in its reporting/follow-ups and in linkage between activities, output and objectives. GAVI took this into account when developing the strategy and business plan for In the new results-based management model now being introduced, the Secretariat is required to report to the Board twice a year on results achieved, based on the strategic goals for and the business plan. Quarterly, on the basis of operational indicators, the Executive Committee reviews the Secretariat s own performance. Within the partnership (GAVI, the WHO, UNICEF), the interim results achieved by each partner are assessed quarterly and linked directly to disbursements. To further strengthen results work, a Performance Management Unit was recently established within the Secretariat. Countries receiving GAVI support are to report annually on how the funding has been used and what results have been achieved. Progress is assessed by the Independent Review Committee ((IRC), which reports to the Board via the Executive Committee. The IRC also assesses reports from UNICEF on vaccine procurement. GAVI s country programmes include a results component under which countries that exceed their targets receive a bonus in the form of additional resources. Part of GAVI s ISS financing is results-based, which means results reporting must be of a high standard. Via external consultants, therefore, GAVI regularly performs random Data Quality Audits (DQAs) to assure the quality of reported results. Reporting and follow-up of health system initiatives has been identified as an area requiring improvement. Efforts are under way in this respect, not least through work on developing the health system funding platform with the Global Fund and the World Bank. This platform is intended to improve donor coordination both at the 18

19 application stage and during follow-up and reporting. It is also hoped that this will lead to improved handling of financial risks. GAVI undergoes regular external and independent evaluations that vary in both scope and scale. Two general evaluations have been carried out, one focusing on the period and the second on the period In addition, a number of thematic evaluations have been undertaken. These evaluations have an impact on the organisation and are actively disseminated. B3: Transparency, auditing and procurement Introduction: To ensure transparency and efficiency, the organisation must be prepared for a considerable amount of external scrutiny and criticism., Transparency, auditing and procurement focus on the organisation s readiness to disclose information, communicate openly and allow stakeholders insight into its activities. This applies both to the information produced by the organisation itself and to its handling of external information of relevance to its activities (such as audit reports and peer reviews). i) Documentation is publicly available a) A system/regulatory framework is in place specifying how, when and what kind of information is to be made publicly available b) Documentation, including information about the administration of the organisation, including pay, is generally made public and not classified unnecessarily. c) Relevant public documents are both easily accessible, e.g. via the Internet, and easily understandable Deemed to meet the following criteria: a,b,c Sources and references used: MAR, Information from GAVI Comment: GAVI considers that making as much information as possible available to the general public encourages effectiveness in the organisation. The bulk of GAVI s relevant information and documentation can be publicly accessed on the Internet, including Board and committee documents, policies, evaluations, results and reports etc. Details of the salaries of the five highest paid members of staff and other key employees are also posted on the net. GAVI s website is easy to use and informative. GAVI is in the process of drawing up an Access to Information Policy. ii) The organisation has procedures for identifying, following up and prosecuting cases of corruption a) There is a clear and unequivocal policy regarding corruption in the organisation or irregularities of other kinds b) There is a whistleblower function 3 or the equivalent in place 3 Also known as the legal right to anonymity, i.e. a system that enables irregularities within an organisation to be reported anonymously directly to management or to some other responsible officer. 19

20 c) Procedures are in place for dealing with irregularities Deemed to meet the following criteria: a,b,c Sources and references used: GAVI s Transparency and Accountability Policy, Conflict of Interest Policy, GAVI Alliance Whistleblower Policy Comment: There is no specific policy for dealing with corruption. However, given that there is a Whistleblower Policy, a Conflict of Interest Policy, a Transparency and Accountability Policy, a Risk Register and other internal instruments, GAVI s systems can reasonably be assumed to be fully adequate. The way in which the organisation has dealt with previous irregularities suggests that the systems work. As of 2009, GAVI has an internal auditor. iii) The auditing system is reliable and effective a) Both internal and external auditing are independent in character b) Management makes active use of the results of both internal and external audits in seeking to improve activities and determine the future path of the operation c) The results of audits are made publicly available without undue delay Deemed to meet the following criteria: a,b Sources and references used: Transparency and Accountability Policy, Internal Audit Terms of Reference, GAVI Alliance Audit and Finance Committee Charter Comment: The internal auditor was appointed by the Board on the recommendation of the Audit and Finance Committee. The internal auditor reports to the Executive Director and to the Board. The internal auditor is accessible and maintains an open dialogue with the Board. GAVI recently chose to enhance the internal auditor s transparency by informing the Board about investigations launched and not just about investigations already completed, as previously. iv) The organisation s procurement process is transparent and competitively neutral a) There is a regulatory framework for procurements both by headquarters and field offices b) Information concerning the organisation s own procurements are made public once contracts have been awarded (e.g. winning supplier, points awards etc) c) There are effective systems for dealing with complaints on the spot, and suppliers are given guidance on how to submit complaints Deemed to meet the following criteria: a,b,c Sources and references used: GAVI Procurement Principles, Procurement Policy, Information from GAVI Comment: GAVI S procurement policy has been approved by the Board and applies to both headquarters and the Washington office. All participants in a procurement sign a contract containing information about complaints, dispute 20

21 resolution and arbitration. UNICEF handles all vaccine purchasing. GAVI thus depends on the efficiency of UNICEF s systems. UNICEF is bound by the UN s Good Public Procurement Policies. The agency is widely acknowledged as a skilled purchaser. UNICEF contracts for the entire UN system and has also been appointed by the European Commission as a Humanitarian Procurement Centre. Today, UNICEF posts regular information on its website about the prices it is offered by manufacturers. Summary and final comments, Section B3 1) How many of the twelve assessment criteria were met? 11 2) Comments on the assessments entered under Transparency, auditing and procurement (max. 200 words): GAVI s website is easy to use and contains a wide range of valuable, easily understood and relevant information everything from overall strategy documents and Board decisions to details concerning disbursements at country level. GAVI takes the view that public access to its information makes the organisation more effective. GAVI has the requisite anti-corruption systems in place. It engages systematically in risk assessment work, and the way the internal auditing department has revealed and dealt with cases of wrongly used funds in the past suggests that the systems work in practice. GAVI s Risk Register is updated quarterly and provides an overall picture of the risks to which the GAVI operation is exposed. It also contains an assessment of the potential consequences should a risk become a reality. In their agreements with GAVI, recipient countries commit themselves to repaying any losses in full. The governments also agree to prosecute the individuals responsible should funding misuse be ascertained. In one recent case, the government publicly declared its intention to repay GAVI for the losses incurred. GAVI s Transparency and Accountability Policy (TAP) was created in 2009 specifically to facilitate the management of risks associated with cash-based programmes, and a Transparency and Accountability Unit exists to implement this policy. An important component in TAP is Financial Management Assessment (FMA), which involves reviewing and assessing a recipient country s capacity to manage cash-based support before deciding whether such support is to be made available. In the new strategy for , GAVI s efforts to shape vaccine prices have been upgraded to the level of a strategic goal. Openness in the vaccine procurement process is crucial to GAVI s chances of shaping the vaccine market s dynamic. As of January 2011, UNICEF has a clause in its procurement document giving it the right to publish price information. 21