Guidelines on Reporting and Renewals in 2016 for all types of support

Transcription

1 Guidelines on Reporting and Renewals in 2016 for all types of support Document dated: May 2016 Purpose of the document: This document provides guidance on the reporting process and requirements for all types of Gavi support. It also provides guidance on how a country requests for renewal of support. The guidance is applicable for reporting and renewals in 2016 only, and updated guidelines for 2017 will be issued by Gavi in due course. The primary audience for these guidelines is country stakeholders, and in addition, the Gavi Secretariat and Alliance Partners. Additional guidance and support: Additional guidance on reporting and renewals is available on the country portal, accessed at: For any questions on these guidelines please contact countryportal@gavi.org or contact your Gavi Senior Country Manager (SCM).

2 CONTENTS Acronyms... i The country portal as the new platform for reporting and renewals... ii Summary of reporting requirements by type of support... iii Renewal requirements by type of support... v 1. Introduction Reporting and renewals in the context of the grant cycle Guidelines for reporting on Gavi grants Gavi s approach to reporting Grant performance framework (GPF) Financial reporting Campaign reporting General programme information Other grant-specific reporting (not currently on the portal) Joint appraisal Guidelines for renewal of support Vaccine renewals and modifications HSS renewals and modifications Grant extension and closure process Annex 1: Glossary of key terms on reporting and renewals Annex 2: Financial reporting requirements by country categorisation Key to symbols used in the document Priority information in relation to Gavi s reporting and renewals process and requirements for countries in 2016 New/ changed information relating to Gavi s reporting and renewals process and requirements for countries in 2016 Additional/ detailed references (weblinks)

3 ACRONYMS AEFI APR CEO cmyp CSO DHS DTP3 EPI EVM FMR GPF HLRP HPV HSCC HSS ICC IHP+ IRC JRF M&E MenA MoF MoH MICS NHSP NITAG NVS PBF PFA PIE SCM SIA TAP VIG YF Adverse Event Following Immunisation Annual Progress Report Chief Executive Officer Comprehensive Multi-year Plan Civil Society Organisation Demographic and Health Surveys Diphtheria-Tetanus-Pertussis, 3 rd dose Expanded Programme on Immunisation Effective Vaccine Management Financial Management Requirements Grant Performance Framework High Level Review Panel Human Papillomavirus Health Sector Coordination Committee Health System Strengthening Inter-Agency Coordinating Committee International Health Partnership Independent Review Committee Joint Reporting Form monitoring and evaluation Meningococcal A Conjugate Vaccine Minister of Finance Minister of Health Multi Indicator Cluster Surveys National Health Sector Plan National Immunisation Technical Advisory Group New and underused Vaccine Support Performance Based Funding Partnership Framework Agreement Post Introduction Evaluation Senior Country Manager Supplementary Immunisation Activity Transparency and Accountability Policy Vaccine Introduction Grant Yellow Fever i

4 THE COUNTRY PORTAL AS THE NEW PLATFORM FOR REPORTING AND RENEWALS From April 2016, countries are required to report to Gavi and submit requests for renewals via the country portal. Gavi has created the country portal ( to serve as the main interface between countries and Gavi. For the first time in 2016, the country portal was open for submission of applications for Gavi support (replacing the previous e-platform and -based submissions), and from April 2016, is available for reporting and renewal requests for all types of Gavi support. The majority of country reporting to Gavi will be through the portal. However there are a small number of requirements that need to be submitted through different channels in 2016 (e.g. ed to the Gavi Senior Country Manager (SCM)) and these guidelines clearly note where this is the case. Renewal requests for all types of Gavi support will be submitted through the country portal. The country portal replaces Gavi s previous reporting tool of the Annual Progress Report (APR), and as of 2016, countries are no longer required to submit an APR to Gavi. The information will instead be captured through the information submitted in the country portal. The country portal captures most of the same information as in the APR, although in a more coherent and organised structure. To increase flexibility for countries and allow for greater alignment with country planning and fiscal cycles, reporting through the portal will be possible throughout the year, as information becomes available. Gavi is committed to reducing the reporting burden on countries, for example by collating data from existing sources where available (e.g. WHO-UNICEF s Joint Reporting Form (JRF)) and using standard indicator definitions and reporting formats. ii

5 SUMMARY OF REPORTING REQUIREMENTS BY TYPE OF SUPPORT Type support All types of support of What to report When to report How to report Updated data for indicators in the Grant performance framework (GPF) * Joint appraisal report Data quality reports EVM docs General country & program me informati on * Additional reporting requirements for: NVS routine immunisation PIE report Immunisation Data Quality Improvement Plan 1 Final report from the most recently conducted desk review of immunisation data quality Final report from the most recently conducted in-depth data quality evaluation including immunisation Final report from the most recently conducted national survey containing immunisation coverage indicators EVM assessment EVM Improvement Plan Progress Report on the Improvement Plan Immunisation financing/ expenditure * Governance arrangements for immunisation, monitoring of gender policy, AEFI and surveillance capacity and strategy, issues on injection safety, planned surveys * As per agreed schedule for each indicator/ country Upon completion of the joint appraisal in the year Annually Annually Upon availability, at least once every five years Upon availability, at least once every five years Upon availability, at least once every 5 years As and when available As and when available 3 months after end of fiscal cycle, at least 4 weeks in advance of the joint appraisal As and when information is available, and at least 4 weeks in advance of the joint appraisal As and when available, and at Through the country portal GPF to your Gavi SCM Through the country portal General programme information Through the country portal General programme information Through the country portal General programme information Through the country or recommen ded (For countries with approved grants in 2013 or earlier, these are recommen ded but not mandatory) Recomme nded Recomme nded Details in this doc. Section 3.2 Section 3.7 Section 3.5 Section 3.5 Section 3.5 Section This is a document that describes the country's plans for improving data quality, ideally part of an integrated country planning rather than a standalone plan. iii

6 Type support NVS campaign support of HPV vaccine demo. programme All types of direct financial support (HSS, VIG, Operational support for campaigns, HPV vaccine demo., product switch grant) What to report When to report How to report Report on status of implementation of the PIE recommendations EPI reviews Supplementary Immunisation Activity (SIA) technical reports Close-out plans Campaign coverage survey report WHO-UNICEF annual technical reports (MenA and YF) 2 (i) Community-based HPV vaccine coverage survey; (ii) Micro-costing analysis; (iii) PIE report; (iv) Adolescent Health integration assessment; (v) Cervical cancer control and prevention plan Periodic Financial Report Annual Financial Statements Annual Audit Report least 4 weeks in advance of the joint appraisal if possible Full reviews once every 5 years, progress reviews annually Within 3 months of the completion of each campaign phase Following each Gavi-supported campaign Annually by 30 March End of Year 1 of the demo. programme; final report on item (v) at end of Year 2 Interim reports: every 6 months, due 45 days after period end; Annual report: 3 months after end of fiscal cycle 3 months after end of fiscal cycle 6 months after end of fiscal cycle HSS End of grant evaluation Before the end of the HSS grant portal General programme information Through the country portal Campaign support to your Gavi SCM Through the country portal Financial reporting to your Gavi SCM or recommen ded Recomme nded Recomme nded Mid-term evaluation of grant Grant mid-term Recomme nded Details in this doc. Section 3.4 Section 3.6 Section 3.3 Section 3.6 * In order to reduce reporting burden on countries, Gavi will collate data from existing sources, where available, and automatically populate these reporting requirements to the extent feasible. Countries only need to provide information on agreed additional reporting items not available from existing public sources. 2 Submitted by Gavi Partners and not countries. iv

7 RENEWAL REQUIREMENTS BY TYPE OF SUPPORT Gavi requires countries to provide the information requested below in support of an annual renewal request (i.e. vaccine delivery/ cash disbursement) for the next year. This information is reviewed alongside the country s monitoring/ reporting data and joint appraisal report. Type of support Renewal requirements When to submit How to submit Details in this doc. NVS - routine (for each vaccine, for countries receiving multiple vaccine support) Live births (actual and projected) Surviving infants (actual and projected) Request for extension (if necessary) Product presentation and any requested changes Targeted number of individuals to be vaccinated (for reported year and future years) Wastage rate (for reported year and future years) Annually, by 15 th May each year Throug h the country portal Renew support Section Number of levels for stocks in the country (e.g. central, sub national, etc.) Buffer policy at the 1 st (central), 2 nd (sub national), 3 rd (lowest distribution) stock level Stocks at the 1 st (central), 2 nd (sub national), 3 rd (lowest distribution) level Number of doses received Jan 1 st - Dec 31 st Co-financing commitments Signatures by Minister of Health (MoH)/ Minister of Finance (MoF), and endorsement by ICC through meeting minutes NVS - phased campaig n Supplementary Immunisation Activity (SIA) technical report Campaign coverage survey report on the previous campaigns Close-out plan on the previous campaign phase Financial report on the utilisation of the grant during the previous campaigns Prior to upcoming campaign Throug h the country portal Renew support Section Estimate of target population for the upcoming campaign Plan of action, detailing population covered to date and population still to be reached and how the country would reach the hard-to-reach populations Detailed budget requesting for the remaining campaigns using the Gavi template Summary of commitment from country on how they plan to support the remaining at-risk population HSS Budget for the following year Workplan for the following year Any requested plans for reallocation of HSS funds Programmatic performance and financial reporting (up to date) Prior to the HLRP meeting Throug h the country portal Renew support Section v

8 1. INTRODUCTION Gavi s guidelines on reporting and renewals in 2016 describe the reporting and renewals process and requirements for all types of support and include: An overview of how the grant monitoring and evaluation (M&E) and the renewals process works within the context of the grant cycle (Section 2). Detailed guidance on reporting, including Gavi s reporting requirements, timelines and tools/ approaches i.e. what, when and how countries need to report to Gavi (Section 3). Detailed guidance on how countries can request renewal of Gavi support, including specific requirements for vaccine and direct financial support (Section 4). Summary process for grant closure (Section 5). Grant reporting and renewals are primarily the responsibility of countries, although the Gavi Secretariat and Alliance Partners (WHO and UNICEF) are available to provide support. For example, the Gavi Secretariat collates data and information from existing publically available resources to reduce the reporting burden on countries. The Secretariat Senior Country Managers (SCMs) are available to provide information on Gavi s reporting and renewals requirements. Alliance Partners in country are available to provide technical assistance to countries for the reporting and renewals of grants REPORTING AND RENEWALS IN THE CONTEXT OF THE GRANT CYCLE Figure 2.1 presents an overview of how the grant monitoring, review and renewals processes work within the context of the Gavi grant cycle. Figure 2.1: Grant monitoring, review and renewals in the context of the grant cycle Gavi places high importance on performance monitoring from the very outset (both from a programmatic and financial perspective), and requires countries to propose relevant metrics to their grant performance framework (GPF) the key reporting tool used by Gavi at the time of developing an application for any type of Gavi support. Upon approval of a country s application, the reporting requirements and schedule are confirmed and set out in the Decision Letter from 3 In addition to other types of technical assistance funded through the Partner Engagement Framework (PEF) that supports Gavi grant implementation. 1

9 Gavi, the updated GPF and Financial Management Requirements (FMR) document that forms part of the Partnership Framework Agreement (PFA). 4 During grant implementation, countries regularly report data/ information to Gavi. The Secretariat collates this alongside data that it gathers from existing sources, such as the Joint Reporting Form, to minimise country reporting burden. The country-reported data and the Gavi-gathered data are used together to monitor progress and performance of Gavi support, and to inform the annual joint appraisal where planning for the next period of implementation and any needed amendments to the grant are also discussed. The joint appraisal feeds into the decision for grant renewal. 3. GUIDELINES FOR REPORTING ON GAVI GRANTS 3.1. Gavi s approach to reporting Reporting for Gavi grants comprises two main types: Programmatic reporting i.e. reporting related to the activities and results of the Gavisupported programmes in countries; and Financial reporting which includes reporting against all forms of direct financial support provided by Gavi to countries (including HSS, Vaccine Introduction Grants (VIGs), operational support for campaigns, Human Papillomavirus (HPV) vaccine demonstration grant and product switch grants). Within this, Gavi makes a distinction between: Routine monitoring and evaluation (M&E) activities carried out by countries within their own systems; and Other Gavi-specific reporting requirements. Gavi supports aid effectiveness principles, and has therefore designed its reporting approach in a manner that aims to contribute to the strengthening of country systems and minimise the reporting burden for countries. As such, many of Gavi s reporting requirements build upon aspects that countries already monitor to ensure effective immunisation and health systems (e.g. Effective Vaccine Management (EVM) assessments, immunisation data quality assessments). Further, Gavi directly accesses data from publicly available sources, where possible, such as the WHO- UNICEF Joint Reporting Forms (JRF), and uses standard indicator definitions and reporting formats. In addition, there are some Gavi-specific reporting requirements that aim to measure appropriate use of its grants and their results. Some reporting requirements are mandatory, while others are optional, but recommended. The former are clear requirements for Gavi support to a country and need to be fulfilled in line with the guidance and timelines provided by Gavi in this document. The latter are optional (and in most cases already being prepared by countries) and countries are encouraged to share these with 4 The Gavi Decision Letter for grant approval, PFA including FMR document are explained in the General Guidelines for Applications for all types of Gavi support, available here: 2

10 Gavi as and when available to support a more comprehensive understanding and assessment of a country s immunisation and health system performance. Figure 3.1 sets out the structure for reporting on the country portal, along with a brief description of the reporting tools and frameworks. All countries receiving any type of Gavi support (routine vaccines, campaign support, HSS, VIG, etc.) are required to complete reporting for their grant through one or more of these tools and frameworks. Specifically in the case of HSS support, Gavi emphasises that countries are required to meet their reporting requirements for activities conducted in the year, even if they are not requesting the next tranche of funds through the submission of a renewal request (discussed in Section 4.2). Figure 3.1: Summary of Gavi s reporting requirements, as reflected in the country portal Each of these is described further in the subsequent sections. There are a few reporting requirements that are not yet included in the country portal, namely the end of grant evaluations of HSS support, HPV vaccine demonstration programme reporting, reporting for vaccine selfprocuring countries and the joint appraisal, which are also discussed below. Gavi s reporting requirements are flexible in terms of timing in order to align with country planning and fiscal cycles. All items that can be reported and gathered from existing sources in advance of the joint appraisal should be provided at least 4 weeks in advance of the country s joint appraisal, so as to support the joint appraisal review and discussions Grant performance framework (GPF) Gavi s GPF is an explicit agreement between a country and Gavi on the key metrics used to monitor and report on progress of all Gavi grants during their implementation. It is intended to inform discussions on grant management, including the joint appraisal (refer to Section 3.7) and Gavi s review of grant renewal requests. 3

11 There is one performance framework covering all active Gavi grants in a country (e.g. vaccines, HSS, VIG, campaign support, cold chain investments, HPV vaccine demonstration programmes) What metrics are included? The GPF comprises indicators that measure progress across three levels of the results chains for each active Gavi grant, including: 1. Intended outcomes relating to improved coverage and equity; 2. Intermediate results; and 3. Key activities funded by direct financial support, and critical implementation metrics such as direct financial support utilisation rate. There are a minimum of 15 and maximum of 20 core indicators depending on the Gavi grant types approved for a given country. Because objectives are country-specific and vary across grants, core indicators need to be complemented by tailored indicators to provide a complete overview of Gavi support. When a new grant is approved, additional core and tailored indicators may be added to the performance framework. Table 3.1 presents basic information on the core and tailored indicators, and specifics for New and underused Vaccine Support (NVS) and HSS support as relevant. 5 Table 3.1: Overview of GPF core and tailored indicators Selection and definition Data source Core Indicators, based on standard definitions, and have in almost all cases been selected from existing data sources already being monitored and reported by countries, particularly through the WHO-UNICEF JRF. Data sources have been defined for each core indicator. Tailored Indicators Need to be selected and defined by countries to reflect grant objectives, proposed results chain and existing M&E plans. For HSS grants approved and started before 2016, tailored indicators correspond to those intermediate results indicators included in the former HSS M&E framework. Countries are encouraged to use the results chain development tool from the HSS application form, to develop tailored indicators, including for NVS grants as and when necessary. Countries expected to define at least one data source for each proposed indicator. 5 Gavi monitors the fulfilment of countries co-financing requirements. The core indicator timely fulfilment of co-financing commitment for all Gavi-supported vaccines in the GPF will be updated annually by the Gavi Secretariat in February of each year. If a country is in default for its co-financing requirements, it can apply for, but will not be approved for new vaccine support until co-financing commitments are fully met. For more information on the co-financing policy, please refer to: 4

12 Reporting frequency Core Indicators An expected reporting frequency has been defined for each core indicator. The frequency can be increased based on sound rationale e.g. where there may be concern about potential slow progress of certain activities. Tailored Indicators For GPF intermediate result indicators, the reporting frequency will be determined by need and the choice of data source. For GPF activity indicators, reporting should align to that set out in the FMR of the PFA. This varies between quarterly and annually with the default being every 6 months. Baseline Targets Baselines need to be defined for all HSS grant indicators. Countries are expected to set targets for most indicators whether core or tailored. NVS: Targets are mandatory for coverage and select intermediate result indicators only. Targets should be drawn from the comprehensive multi-year plan (cmyp) and national health sector plan (NHSP). HSS: Targets should be proposed for the duration of the requested grant and in accordance with the reporting frequency (which is a function of need and the selected data source). Therefore, for all years where no targets need to be set (as the data source will not be available), countries should put not applicable in the Gavi Country Portal when they complete their performance framework How is reporting done against the GPF? Gavi will automatically populate the majority of core indicators in the GPF, using WHO/UNICEF s JRF, household surveys and campaign reports that are publicly available or previously submitted by countries. To avoid discrepancies between the finalised WHO/UNICEF JRF and the GPF, countries will not be able to amend this data, but will have an opportunity to comment on the data to complete Gavi s understanding on progress. Countries will be expected to input results into the GPF for all remaining indicators. The intention is that countries should report data when it becomes available, as per agreed reporting schedules and that this schedule should be as closely aligned as possible to countries health and immunisation cycles. Whilst the GPF largely focuses on quantitative data, countries are strongly encouraged to add a brief narrative to support the understanding of results in the portal. This is particularly the case if targets are not met. Prior to the joint appraisal, the Gavi Secretariat will flag which indicators have not been reported per the agreed reporting schedule. Countries will be asked to complete their GPF accordingly. If countries are unable to report against any particular indicator, a rationale will be required When is the GPF revised? There are five circumstances when the GPF may be revised: 5

13 1. Addition of a new grant to the portfolio of Gavi support to a country; 2. Reprogramming of an existing HSS grant in a country; 3. Closure of an existing grant; 4. Measurement-related challenges which have led to incomplete reporting (e.g. because the data source is no longer available); 5. Revision of targets and/ or tailored indicators (outside of HSS reprogramming) based on sound justification and rationale, particularly improved availability or quality of data, change of data source or previously set targets were not established at appropriate levels (i.e. too low or too high). Further details on the GPF are available here: including additional guidance documents, tutorials and other materials Financial reporting Requirements for all types of direct financial support In accordance with the International Health Partnership (IHP+) principles of national ownership, countries are encouraged to manage Gavi funds using their own systems. However, Gavi has also adopted a set of high-level principles under which funds should be managed, known as the Transparency and Accountability Policy (TAP) (current version January 2014). Gavi s TAP is available here: Gavi will review its financial reporting requirements during 2016 as part of a review of its direct financial support to countries; however, the requirements contained in these guidelines will be applicable for all of Financial reporting on all Gavi grants is done through the country portal and comprises three types of reports, as described in Table 3.2. These reports need to be prepared in accordance with the terms set out in the PFA, and as amended in any subsequent FMR. 6 Table 3.2: Gavi s standard requirements for financial reporting Requirement Content Frequency Key terms Periodic Financial Report Income and expenditure statement with variance analysis and including a cash reconciliation Interim reports default every 6 months 7, due 45 days after period end Needs to be prepared for each grant and cover the period of one fiscal year of the country 6 The PFA including FMR document are explained in the General Guidelines for Applications for all types of Gavi support, available here: 7 Six monthly is set as the default, but the frequency of this report may also be quarterly or annually. Refer Annex 2 Differentiation of financial reporting requirements. 6

14 Requirement Content Frequency Key terms Annual Financial Statements Annual Audit Report Statement of income and expenditure against approved budget including a cash reconciliation Asset register Audit Report compliant with generally accepted auditing standards (may be waived for annual expenditures <US$250k, at Gavi s discretion). Annual report due 3 months after end of fiscal cycle Due 3 months after end of fiscal cycle (i.e. by 31 st March for countries with a Jan. to Dec. fiscal year). Due 6 months after end of fiscal year (or 6 months after end of grant in case of end of grant audit) 8 Needs to be prepared for each grant and cover the period of one fiscal year of the country Total expenditure reported needs to tally with that in the Financial Report Each audit to cover one fiscal year of the country, commencing with the fiscal year in which the first payment was made for the grant. To be performed by independent external auditors with suitable qualifications. 9 To cover all aspects of Gavi financial support implemented in the country. 10 Gavi has developed a new financial reporting template for countries (covering both periodic financial reports and annual financial statements). The template has two options of an annual and a five year reporting form for an HSS grant. The template is optional in 2016 and will be made mandatory at a later year (and countries will be clearly advised of this change, when instituted). Templates are available here: From 2016, Gavi has introduced a new approach to financial reporting, wherein the reporting requirements differ for countries based on various factors such as the size and contribution of results to the overall Gavi mission. Details of country categorization (and any flexibilities) are presented in Annex 2. Gavi SCMs will also communicate the country-specific requirements to each country. For detailed guidance on financial management and audit requirements, as well as the recommended format for financial reporting, see: 8 The PFA defines the deadlines for these audit reports and in the case of any conflict between the PFA and these guidelines, the guidance in the PFA shall prevail. 9 For example, the Office of Auditor General or private auditing firms. The auditors need to be acceptable to Gavi and in line with the Terms of Reference provided by Gavi and agreed with the country. 10 The audit shall include verification of expenditure eligibility, procurement, budget and financial management, and physical inspection of goods, works and services acquired. 7

15 Requirements for pooled fund HSS support Key financial reporting requirements when HSS support is provided through a pooled fund are as follows: The budget being funded by the pooled fund is comprehensive, and the immunisationrelated activities which Gavi would have funded separately in a discrete budget, are directly or at least indirectly identifiable. The reporting of expenditures against the budget provides a sufficient level of visibility that the budget has been followed, or reasons are provided on any changes. The pooled fund Financial Statement should state the funds received from Gavi Campaign reporting In order to monitor implementation and outcomes of Gavi-supported campaigns, countries are required to share the following reports with Gavi for each campaign vaccine supported through the country portal: 1. Supplementary Immunisation Activity (SIA) technical reports to be provided within 3 months of the completion of each campaign phase. 2. Campaign coverage survey report following each Gavi-supported campaign. 3. Close-out plans to be provided within 3 months of the completion of each campaign phase. 4. WHO-UNICEF annual technical reports (for Meningococcal A Conjugate Vaccine (MenA) and Yellow Fever (YF) Vaccine only) available annually by 30 March and submitted by Gavi Partners General programme information All of the information requested in this section of the country portal comprises data and reports that countries routinely prepare in monitoring their national immunisation and health programmes. Where possible, Gavi will pre-populate available data to reduce the reporting burden on countries; and countries only need to provide information on agreed additional reporting items not available from existing public sources. The requirements are as follows (Table 3.3): Table 3.3: General programme information to be provided by countries Requirement Content Frequency or recommended? General country and programme data and information Immunisation financing and expenditure Governance arrangements for immunisation programme management 3 months following end of country s fiscal cycle, at least 4 weeks prior to joint appraisal As and when information is Recommended 8

16 Requirement Content Frequency or recommended? Additional country documents and reports for monitoring of Gavi grants, if relevant (i.e. On the inter-agency coordinating committee (ICC)) Monitoring of the implementation of the gender policy Details on adverse event following immunisation (AEFI) capacity and strategy Surveillance capacity and strategy Issues relating to injection safety Information on planned surveys and assessments Data quality reports To support country efforts to strengthen the quality, availability and use of vaccination coverage data for strengthened programme management 1. Immunisation data quality improvement plan Final report from the most recently conducted desk review of immunisation data quality Final report from the most recently conducted indepth data quality evaluation including immunisation Final report from the most recently conducted national survey containing immunisation coverage indicators 15 available, and at least 4 weeks in advance of the joint appraisal Annual Annual Upon availability, at least once every five years (and more frequently as needed) Upon availability, at least once every five years (with interim surveys as appropriate) for countries with approved grants from for countries with approved grants from 2014 for countries with approved grants from 2014 for countries with approved grants from This is a document that describes the country's plans for improving data quality, ideally part of an integrated country planning rather than a standalone plan. 12 Please note that whilst the General Guidelines for Applications for all types of support (available here: do not make specific mention of this document being a mandatory reporting requirement for Gavi, this is indeed a mandatory requirement for countries with approved grants from This is the same as the document referred to as annual desk review of vaccination coverage data in the General Guidelines for Application for all types of support. 14 This is the same as the document referred to as in-depth assessment of routine administrative vaccination coverage data in the General Guidelines for Application. 15 This is the same as the document referred to as population-based surveys to measure vaccination coverage in the General Guidelines for Application. 9

17 Requirement Content Frequency or recommended? Post Introduction Evaluations (PIEs) the PIE report and status of implementation of the PIE recommendations Vaccine management documents including the EVM assessment, EVM Improvement Plan and Progress Report on the Improvement Plan. EPI reviews As and when information is available, with all available information to be completed in advance of joint appraisal EVM assessment to be provided upon availability, at least once every 5 years and the improvement plans as and when available. Full EPI reviews to be submitted once every five years and lighter progress reviews every year Recommended Recommended Details on Gavi s Data Quality requirements are available in Annex 3 of the General Guidelines for Applications here: Other grant-specific reporting (not currently on the portal) HPV vaccine demonstration programme reporting Gavi s support for HPV vaccine demonstration programmes has specific reporting requirements with the aim to assess feasibility, acceptability, sustainability and integration opportunities of the HPV vaccine delivery strategy. The following reports need to be provided at the end of Year 1 of the demonstration programme: 1. Community-based HPV vaccine coverage survey 2. Micro-costing analysis 3. PIE report 4. A report of the assessment of adolescent health interventions, with conclusions about what interventions would be feasible for integration in year two. 5. A summary of the activities completed and progress towards development of a national cervical cancer prevention and control strategy. 10

18 In addition, items 1 and 2 need to also be provided at the end of Year 2 of the demonstration programme if there has been a change in the delivery strategy. Further, a final report on item 5 is required at the end of Year 2. These reports cannot currently be submitted via the country portal and should be ed to your Gavi SCM End of grant evaluations for HSS Conducting an independent end of grant evaluation is mandatory for all HSS grants approved from 2014 onwards, in order to provide an assessment of achievements and challenges of the HSS grant, as well as, if relevant, to provide lessons learned to inform the preparation of a new HSS grant application. The evaluation must be submitted on completion of the HSS grant and, if applicable, prior to developing a new HSS grant application. It is advised that the evaluation be conducted before the end of the HSS grant e.g. for a country with a 5-year Gavi HSS grant, an end of grant evaluation conducted during year 4 will better inform the next Gavi HSS application, as well as NHSP and cmyp development. Countries should consider aligning the grant evaluations to existing incountry evaluations such as the annual health sector reviews and mid-term review of the national health plans. In addition, independent mid-term evaluations of Gavi HSS support are recommended. The evaluation report cannot currently be submitted via the country portal and should be ed to your Gavi SCM. Detailed information on evaluating HSS grants is available at: Reporting for self-procuring countries The country is required to submit satisfactory evidence of purchase of vaccine doses (including the co-financed portion) and related supplies communicated in the Decision Letter, by submitting purchase orders, invoices and receipts. Any balance of Gavi funds disbursed in support of country self-procurement should be reported to Gavi together with satisfactory evidence that the leftover funds have been used within the immunisation programme. Further information on Gavi s policy for self-procurement is available here: Joint appraisal The joint appraisal is a key step in Gavi s grant review and renewal process. It is an in-country, multi-stakeholder review of the implementation progress and performance of Gavi s vaccine, HSS 11

19 and other direct financial support to the country, and of its contribution to improving sustainable immunisation coverage and equity. The key objectives are to: Identify persistent challenges impeding progress, in particular toward improved coverage and equity as well as bottlenecks that must be addressed to promote technical/financial sustainability. Highlight areas where greater national investment and efforts, as well as technical support are needed. Inform Gavi s decision on the renewal of its grants, and enable consideration of how to optimize its catalytic support to help improve immunisation outcomes. While the joint appraisal focuses on implementation progress and performance of Gavi support to a country, it should be framed within the overall context of the country immunisation system, with the objective to understand how best the Gavi investments can support country goals. The joint appraisal discussions should, where possible, be aligned with country fiscal cycles and annual planning processes and build on other recent country reviews and analyses to avoid any duplication of effort. 16 The joint appraisal is to be co-convened by the country Ministry of Health and Gavi Secretariat, and inclusive of relevant national and global stakeholders (e.g. members of the ICC/ Health Sector Coordination Committee (HSCC), WHO and UNICEF). A joint appraisal report is produced at the end of the review and is to be submitted to the Gavi Secretariat via the SCM. This report then informs Gavi s decisions on grant renewal. For more detailed information on the joint appraisal, please visit the Gavi website ( where you can access the guidance documents How to plan and conduct a joint appraisal and How to develop the joint appraisal report as well as the report template itself. 4. GUIDELINES FOR RENEWAL OF SUPPORT As part of the ongoing grant cycle, Gavi reviews and renews its support to the country annually, which results in vaccine delivery and/ or cash disbursement for the next year. The Gavi High Level Review Panel (HLRP), or an appropriate Secretariat body, reviews the joint appraisal report, monitoring data as well as country renewal requests on projected needs/ plans for the next year, and makes recommendations for continued funding as well as suggestions to strengthen grant performance and accountability. The review outcomes for countries may either be approval of the renewal or notification of insufficient information (wherein the country is required to provide additional information or complete certain actions before approval) or not renewed. 17 Grant renewals are ultimately approved by the Gavi Chief Executive Officer (CEO). 16 For example, the Expanded Programme on Immunisation (EPI) review, PIEs, joint health sector reviews, existing Gavi evaluations, etc. 17 Annex 1 (Glossary) provides a detailed definition of the review outcomes. 12

20 During the process of grant implementation, certain modifications to the original approved application may be required. These should be discussed during the joint appraisal, endorsed by the ICC/ HSCC or equivalent in the country, and included as part of the joint appraisal report for approval by Gavi. If these modifications are of a more urgent nature, the country should contact the Gavi Secretariat or the local WHO/UNICEF office. The HLRP meeting dates are available here: Details on the renewal requirements (including for grant modifications) are presented below for NVS (Section 4.1) and HSS (Section 4.2) Vaccine renewals and modifications Renewal requirements Renewal requirements for routine immunisation support Requests for vaccine renewals must be made on an annual basis and follow the specified timelines to align with Gavi s vaccine procurement which is conducted globally. Specifically, the country must submit the required information for vaccine renewal via the country portal by 15 th May of each year. Table 4.1 presents the information requirements for a vaccine renewal request. Table 4.1: Requirements for a vaccine renewal request Live births (actual and projected) Surviving infants (actual and projected) Request for extension (if necessary) Product presentation and any requested changes Targeted number of individuals to be vaccinated (for reported year and future years) Wastage rate (for reported year and future years) Number of levels for stocks in the country (e.g. central, sub national, etc.) Buffer policy at the 1 st (central), 2 nd (sub national), 3 rd (lowest distribution) stock level Stocks at the 1 st (central), 2 nd (sub national), 3 rd (lowest distribution) level Number of doses received Jan 1 st - Dec 31 st Co-financing commitments 18 Signatures by Minister of Health (MoH)/ Minister of Finance (MoF), and endorsement by ICC through meeting minutes 18 Gavi requires governments to share the cost of Gavi-supported vaccines by procuring a portion of the doses required by the country, with Gavi covering the rest. Most vaccines require a minimum level of co-financing, increasing progressively as a country s income grows. Through the renewal process, countries are required to specify their cofinancing commitments for the coming year. 13

21 For more information on which vaccines require co-financing, and the minimum cofinancing requirements for each country, please refer to: Once countries submit their vaccine renewal request, the Gavi Secretariat reviews the validity and consistency of the information submitted. Based on historical performance and future year targets, Gavi will communicate to countries the suggested vaccine allocations for all existing vaccine programmes, as well as any pending clarifications. Countries are requested to respond to this communication within 15 days, and if no response is received from the country, it is assumed that the suggested vaccine allocations have been accepted. 19 Gavi then approves the final vaccine allocations. This process, including timelines, is presented in Figure 4.1. Figure 4.1: Timeline for vaccine renewal requests and approval Renewal requirements for phased campaign support Table 4.2 presents the information requirements for a renewal request for phased campaign support. Table 4.2: Requirements for a renewal for phased campaign support Supplementary Immunisation Activity (SIA) technical report Campaign coverage survey report on the previous campaigns Close-out plan on the previous campaign phase Financial report on the utilisation of the grant during the previous campaigns (as per the guidance provided in Section 3.3) Estimate of target population for the upcoming campaign Plan of action, detailing population covered to date, population still to be reached and how the country would reach the hard-to-reach populations Detailed budget requesting for the remaining campaigns using the Gavi template 20 Summary of commitment from country on how they plan to support the remaining at-risk population 19 Further adjustments to the vaccine allocations will not be made once this deadline has passed, if there is a risk of stock-out, the country should reach out to their Gavi SCM. 20 The template can be accessed here: (available in the vaccine-specific full application guidelines package). 14

22 Modifications to vaccine renewals Changes in introduction and/ or coverage plans Countries are required to communicate to the Gavi Secretariat and partners (UNICEF Supply Division, WHO) if there are any changes in introduction and/or coverage plans (e.g. accelerated or delayed introduction or increases or decreases in vaccine use). Any changes should be endorsed by the ICC or equivalent. Revised introduction and/ or coverage plans should be communicated through routine reporting to Gavi, discussed during the joint appraisal and included as part of the joint appraisal report for review and approval by Gavi. However, in urgent situations, especially those impacting vaccine requirements or shipments, changes should be brought to the immediate attention of the Gavi Secretariat or the local WHO/ UNICEF office. Product or presentation switch After a country has introduced a vaccine, it may request a switch to a different product or presentation of a routine vaccine containing the same antigen. Table 4.3 presents a summary of the key reasons for a product or presentation switch and identifies the corresponding process for requesting for the switch. Table 4.3: Types of product or presentation switch requests Type of product or presentation switch Rationale How does the country request the switch? Supply disruption Manufacturer discontinuation / Gavi no longer procuring a product Gavi offering a new product Changes in country s preference for a product The supply for a country s preferred presentation is disrupted and the country needs to temporarily move to a different presentation until the supply of the preferred product is restored. The country may need to permanently switch to another product that is procured by Gavi. As manufacturers are continuously developing new products and presentations, Gavi may choose to offer a new product on its menu. 21 This might occur because a country was originally unable to introduce its preferred presentation (e.g. due to supply constraint) or because it recognizes that the product originally introduced is not optimal for programmatic (e.g. serotype distribution) or financial reasons (e.g. higher price than alternative products). The country does not need to submit a formal request (Gavi will inform the country of the need to switch). The country must submit a request through the country portal as part of the annual renewal cycle, or if urgent, through a letter to Gavi and the procurement partner. 21 For instance, a move from 1 dose vials to 4 dose vials for the same product or if a new product becomes pre-qualified (either by a new or an existing manufacturer). 15

23 [ A country may also apply for an additional product switch grant to facilitate this transition. This grant intends to cover a portion of the one-time investments associated with the product or presentation switch (e.g. training, document production and printing, procurement of cold boxes). The ceiling for the grant is US$ 0.25 per child for infant vaccines and US$ 0.8 per girl for HPV vaccines. To apply for a product switch grant, countries should submit a detailed budget using the product switch budget template available at: Table 4.4 presents the information requirements for all product or presentation switch requests. Table 4.4: Requirements for product or presentation switch request New product or presentation preference and desired timing of the switch Rationale for requesting the switch including, if applicable, any relevant evidence to justify the switch (e.g., surveillance data with serotype burden, expected reduction of the cofinancing requirements) ICC (and National Immunisation Technical Advisory Group (NITAG), if applicable) endorsement and meeting minutes Information on cold chain capacity and stock levels of current product at the national and regional level If applicable, costed plan of activities with relevant activities to be funded, including those not covered (either in part or entirely) by the Gavi product switch grant, using the product switch budget template. 22 If the country is being supplied vaccines by UNICEF, the country will be notified of the updated dose calculations and grant amounts (if eligible) through the Decision Letter for the next year of support. The letter will also contain information on Gavi s ability to meet the product switch and timelines for supply availability HSS renewals and modifications A country s request for the next tranche of HSS support needs to be completed and submitted prior to the HLRP meeting and will be reviewed alongside the joint appraisal report that provides a detailed review of the progress and performance of the HSS support in the country. Even if a country is not requesting the next tranche of HSS funds (e.g. has funds remaining from the previous Gavi disbursement or has received all HSS grant commitments) the country must still provide information on the utilisation of funds in the previous year. At this stage, the country may also submit any requests for reallocation of the HSS grant, if agreed during the joint appraisal and endorsed by the HSCC/ ICC or equivalent Renewal requirements Table 4.5 presents the information requirements for a renewal request for HSS support. 22 If the new product has been used before (e.g. prior to a previous switch or as part of campaigns) it should be made clear why the switch requires additional grants. 16