GAVI’s Transparency & Accountability Policy Team (TAP Team)

1. GAVI’s Transparency & Accountability Policy Team (TAP Team) Orientation Workshop for New Vaccines IRC – 4 October 2012

2. Overview • Why a Transparency and Accountability Policy ? • Background • Principles of the Policy • How does GAVI implement the Policy ? • Financial Management Assessment (FMA) • Post FMA Follow-up Mission • Investigations • Team Introduction • TAP Statistics

3. Why a Transparency & Accountability Policy? • Requirement of the Articles of Agreement • GAVI provides a significant amount of support in the form of cash. • Need to increase financial scrutiny of country programme implementation; • Need to ensure funds are managed as agreed in the approved proposals and in the most transparent manner : necessary to achieve PO • Sustains donors and public confidence that GAVI resources are used appropriately; • Provides a deterrent to fraud and corruption

4. Background • Policy approved in June 2008; implementation plan approved in October 2008 • Policy takes effect 1 January 2009 • Covers ONLY cash-based support (HSS,ISS, Vaccine Introduction Grant);vaccines not affected • Goal: to limit fiduciary risk while maintaining flexibility for countries

5. Principles of the Policy • Built upon countries’ systems • Be consistent with the Paris Declaration, including the principle of mutual accountability • Apply a country-by-country approach; no “one size fits all” solution • Be based on minimum standards: • Funding used in accordance with programme objectives • Accurate and verifiable financial reports • Strengthened oversight and internal controls • Funds managed in accounts that meet national requirements • Funds subject to annual independent verification

6. How does GAVI implement the Policy? • Strengthened financial management sections in all new proposals and Annual Progress Reports (APR); • Financial management support by TAP to the monitoring IRC process • Keeping an early warning system – a modelling tool that allows GAVI to identify risks pre-emptively: System of country risk profiling developed by TAP and which is used to prioritize work on countries/programmes with a higher risk profile. • Financial management assessment (FMA) • Post-FMA Follow-up missions • Investigations for suspected or actual misuse of funds.

7. Financial Management Assessment (FMA) • Primary vehicle for the implementation of the TAP Policy. • Provides a baseline understanding of risks, with specific focus on mechanism for GAVI funds • Two stages: • Desk review (of existing assessments) • In-country review (varying levels of intensity) • FMAs will be conducted every 2 to 3 years depending on country risk profile and result of previous assessment. • 46 countries have been subject to an FMA to date.

8. Post-FMA Follow-up Mission • Based on agreed activity planning of Aide-memoire and any newrisk factor : obtain assurances that rules were followed, reports are reliable, and agreed actions are taken

9. Investigations • A procedure for “situations that warrant attention” has been developed and is integrated to the TAP policy. • This procedure responds to suspected or actual misuse of funds. • The TAP Team investigates in full agreement with recipient countries, all situations that warrant attention. • To date, 5 investigations have been successfully conducted by GAVI, and misused funds have been fully repaid by 2 of the 5 countries, whilst the 3 other countries have committed to reimburse the misused funds.

10. Team staffingThe Team is staffed as shown in the below chart: Director of TAP Bernardin Assiene TAP Senior Assistant Fátima Linn TAP Senior FM Specialist Jean Charles Amon Kra TAP Senior Manager Verena Oustin TAP Manager Anastasia Romashkina TAP Senior Manager Rosemary Owino TAP Manager Adrien Serres

11. TAP Statistics

12. TAP Statistics FMAs conducted during 2009-2012 in countries with grants > 100,000 during 2009-2011