Classified as Internal

REQUEST FOR PROPOSAL

GAVI RM SCREENING SERVICE

DATED: 06 MARCH 2020

011-2020-GAVI-RFP

TABLE OF CONTENTS

1. PURPOSE OF THE PROJECT........................................................................................32. RFP INSTRUCTIONS......................................................................................................32.1. RFP Rules.....................................................................................................................32.2. Time Plan......................................................................................................................42.3. RFP Process and Contact Information..........................................................................42.4. Required Proposal Format & Proposal Content............................................................52.5. Conflict of interest..........................................................................................................53. Gavi Overview..................................................................................................................53.1. Our Mission...................................................................................................................54. Background and Context for This Analysis.......................................................................65. Requirements, Deliverables & Timelines..........................................................................65.1. Requirements................................................................................................................65.2. Deliverables...................................................................................................................65.3. Timelines.......................................................................................................................66. Evaluation Criteria............................................................................................................66.1. Decision Making Process..............................................................................................67. Financial Proposal............................................................................................................7

Request For Proposal011-2020-GAVI-RFP

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7.1. Requirements for Financial Proposal............................................................................78. Annexes........................................................................................................................... 78.1. Annex 1: Written Intent To Participate..........................................................................78.2. Annex 2: Q&A Form......................................................................................................78.3. Annex 3: Financial Proposal Template.........................................................................7

Classified as Internal

REQUEST FOR PROPOSAL

1. PURPOSE OF THE PROJECTGavi Alliance (“Gavi”) is seeking to engage a Service Provider for its Resource Mobilisation Socially Responsible Investment (“SRI”) screening service.

2. RFP INSTRUCTIONS2.1. RFP Rules

Gavi invites you as a Service Provider to submit a competitive bid by responding to this “Request for Proposal” (RFP) for ESG and Corporate Governance Provider. Please follow these instructions in completing your bid.

i. This entire RFP and all related discussions, meetings, exchanges of information, and subsequent negotiations that may occur are confidential and are subject to the confidentiality terms and conditions of the Intent to Participate letter attached as Annex 1. All bidders are required to complete and return the Intent to Participate letter.

ii. The issuance of this RFP in no way commits Gavi to make an award nor commits Gavi to pay any costs or expenses incurred in the preparation or submission of proposals or quotations. Bidders are solely responsible for their own expenses, if any, in preparing and submitting an offer to this tender. Gavi is under no obligation to justify the reasons for its supplier(s) choices as a result of this RFP. Gavi may choose not to justify its business rewarding decision to the participants to this tender.

iii. Gavi reserves the right to:- reject any proposal without obligation or liability to the potential Service Provider;- withdraw this RFP at any time before or after submission of bids, without prior

notice, explanation or reason;- modify the evaluation procedure described in this RFP;- modify the timelines of the RFP; - accept other than the lowest price offer;- award a contract on the basis of initial offers received, without discussions or

requests for best and final offers;- decide not to award any contract to any Service Provider responding to this RFP,- award its total requirements to one Service Provider or apportion those

requirements among two or more Service Providers as Gavi may deem necessary.

iv. All bids must indicate that they are valid for no less than sixty (60) days from the quotation due date.

v. Faxed copies will not be accepted. Late quotations are subject to rejection.

vi. Gavi reserves the right to request additional data, information, discussions or presentations to support part of, or your entire bid proposal. Service Providers or their representatives must be available to discuss the details of their proposal during the evaluation process.

vii. All responses should be submitted in electronic version.

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viii. The proposed time plan set out below indicates the process Gavi intends to follow. If there are any changes to this time plan, Gavi will notify you in writing.

ix. If the applicant is a US Citizen or resident (Green Card holder) or a non-US person living or working in the US, they should be aware of OFAC regulations.

2.2. Time PlanEvent Responsible Party Time LinesLaunch RFP Gavi 05 Mar 2020Q&A sent to Gavi Service Provider 11 Mar 2020Send Intent to Participate letter Service Provider 11 Mar 2020COI letter sent to Gavi Service Provider 11 Mar 2020Gavi response to Q&A Gavi 13 Mar 2020Proposals received by Gavi Service Provider 20 Mar 2020Review Proposals Gavi Week of 23 Mar 2020Selection Gavi & Service Provider Week of 23 Mar 2020Negotiate Agreement Gavi & Service Provider Week of 30 Mar 2020

2.3. RFP Process and Contact Information

2.3.1. Instructions to Service ProvidersAny Service Provider may request further clarification on matters pertaining to this RFP by submitting its question(s) in writing to the individual identified below. Due date for Q&A submission is stated in Section 2, para 2.2 Time Plan. In order to keep the RFP competition fair, questions on the substance of the RFP will only be answered in a public document released as stated in Section 2, para 2.2 Time Plan. Please do not contact other Gavi staff to discuss the RFP. To address your questions, please use the form attached as Annex 2.

2.3.1. Confirmation of Intent / ConfidentialityPlease transmit your intent to participate using and signing the document in Annex 1. This RFP contains information that is confidential and proprietary as stated by the “Intent to Participate” document. Each Service Provider is required to transmit a written confirmation of intent or decline as stated in Section 2, para 2.2 Time Plan. Confirmations of intent should be submitted by email to the below mentioned contacts.

Acceptable means of transmission include computer file with digital signature.

Gavi Alliance RFP Contact Information

Contact Person Contact Role/Title Contact Information

Manfred Wattinger Senior Manager, Procurement Email: Procurement@gavi.org

2.4. Required Proposal Format & Proposal ContentResponses to this RFP must consist of the following:

1. Cover letter, which includes: Name and address of the Service Provider

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Name, title, telephone number, and e-mail address of the person authorized to commit the Service Provider to a contract

Name, title, telephone number, and e-mail address of the person to be contacted regarding the content of the proposal, if different from above

A signature of this letter done by a duly authorized representative of your company

2. Electronic copy Documents and spreadsheets in MS Office format. Diagrams and drawings in MS Visio or MS PowerPoint Office format

Please do not submit generic marketing materials, broadly descriptive attachments, or other general literature.

2.5. Conflict of Interest and Due DiligenceNo members of the team may have been involved in the design, implementation, supervision or coordination of any intervention to be assessed. Please complete, sign and send this conflict of interest as stated in Section 2, para 2.2 Time Plan.

As part of our standard due diligence processes, we kindly ask you to submit to us the past 3 years’ financial statements documentation, including:

a. Auditor’s page, b. Income/P&L, c. Balance sheet and cash flowd. Additionally, please name the top 3 officials of your company.

3. Gavi Overview3.1. Our Mission

To save children’s lives and protect people’s health by increasing access to immunisation in poor countries.

The Gavi Alliance is a unique organisation that aligns public and private resources in a global effort to create greater access to the benefits of immunisation. It does this with precision and in creative, innovative ways to ensure that donor contributions efficiently save lives and help build self-sufficiency in the world’s poorest communities and regions. It brings together all the main actors in immunisation including developing country and donor governments, the World Health Organization, UNICEF, the World Bank, the vaccine industry in both industrial and developing countries, research and technical agencies, civil society organisations, the Bill & Melinda Gates Foundation and other private philanthropists.

For more information please visit the Gavi website: http://www.gavi.org/about/mission

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4. Background and ContextBuilding upon the past 20 years of working with Private Sector (“PS”) partners, Gavi is expanding its PS approach to include leveraged investments, operational partnerships, and partnerships based in emerging markets and Gavi-supported countries. As a donor funded organisation, Gavi’s engagement with the PS is high visibility and under increasing scrutiny. To identify and mitigate reputational, programmatic, and financial risks Gavi must ensure that all PS engagements are thoroughly vetted.

Gavi therefore seeks a Service Provider to achieve the following objectives:

1. Screen all potential PS entities including but not limited to the criteria below and identify potential risks to Gavi and its stakeholders (donors, countries, partners, etc…);

2. Ensure screenings are context-specific and tailored to local circumstances, customs, and perspectives whenever possible;

3. Help Gavi to clarify and articulate its global positioning vis-à-vis local circumstances outside the remit of local Gavi programmes- but potentially impacting Gavi’s global reputation;

4. Ensure Gavi’s ethical positioning is clearly articulated and able to be leveraged externally to demonstrate Gavi’s leadership in the field

General Criteria based on Gavi’s Private Sector Donor Guidelines

- Donations shall not knowingly be accepted from non-sovereign donors:- Generating more than 10% of their revenues from vaccines or other products or services

directly related to immunisation;- Generating more than 10% of their revenues from tobacco products and/or weaponry,

defined as instruments specifically designed and whose primary purpose is for attack or defence in combat;

- Generating any revenue from the production of anti-personnel landmines, cluster munitions or key landmine/cluster munitions-specific components;

- Active in the extractive industry and not a signatory to the Extractive Industries Transparency Initiative;

- Found to have violated anti-corruption legislation;- Implicated in material breaches of international child labour standards, as defined by ILO

Conventions 182 & 190;- Implicated in material breaches of international human rights standards, as defined by the

Universal Declaration of Human Rights; - Involved in supporting terrorism.

5. Requirements, Deliverables & Timelines5.1. Requirements

Gavi shall deliver to the Service Provider a list of companies (“Prospective List”) for screening which includes:

• 150 prospect screenings1;• 2 Active Private Sector Partner Reviews (about 20 companies).

Reputational risk is defined as:

1 The nature of the screenings will be determined upon prospect relevance, urgency and reputational risks associated in partnering with Gavi, the Vaccine Alliance

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1. Reputational damage arising from association with organisations or individuals perceived to be engaged in unethical activities;

2. Acceptance of tainted donations and consequential reputational damage arising from complicity with illegal activities;

3. Financial loss arising from a failure to effectively manage relationships with potential donors or sponsors; and,

4. Failure to carry out mission as a result of relationships with donors or sponsors.

Screening includes, but is not limited to:

The Service Provider must be able to conduct thorough screenings when the potential prospect(s) are rejected / or on the watch list to judge level of reputation risk;

The due diligence Service Provider must have the capacity to evaluate non-public companies especially those based in developing countries, as well as companies (i.e. Limited Liability Partnerships) who have offshore structures.

The Service Provider must be able to conduct screenings against foundations, individuals and family offices, businesses, NGOs ;

The due diligence Service Provider must extract information on companies (i.e. multinationals) and their sub-companies, examples of such information must include but not limited to: tax policy existence of companies in proper registers etc.

The due diligence Service Provider must have the capacity to conduct risk analysis of the financial soundness of the potential partner.

The due diligence Service Provider must have the capacity to identify implicated in material breaches of children’s rights, as defined by the 1989 Convention on the Rights of the Child (“CRC”).

The due diligence Service Provider must have the capacity to conduct screening against the Environmental, Social and Governance (“ESG”) standards criteria.

The due diligence Service Provider must have the capacity to conduct positive screening investing where there is a commitment to responsible business practices, and/or positive products and services.

The Service Provider must have the capacity to regular reviews of existing PS portfolio on an annual basis;

The Service Provider must have the capacity to report to Gavi, at agreed intervals, with recommendations based on the private sector engagement guidelines (e.g. approved, rejected, watch list);

The Service Provider must systematically provide sources for each analysis; The Service Provider must provide full coverage of potential risks identified, by including

potential responses from concerned entities; A granular screening, ensuring the correct level of information is given, providing high-

quality, ethical and environmental criteria.

5.2. DeliverablesService Provider will create an SRI screening report, including but not limited to:

Assessment of reputational risks as well as an overall risk categorisation and whereas. high-risk prospective PS donors are red flagged.

Screening results to be provided 15 days after submission request (taking into consideration deadlines and in line with ESG standards).

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5.3. TimelinesThe active Private Sector Partner Reviews (about 20 companies to screen) must be conducted twice a year (January and July).

6. Evaluation Criteria6.1. Decision Making Process

The decision to award any contract as a result of this RFP process will be based on Service Provider’s responses to this RFP, quality of recommended expert resources and any subsequent negotiations or discussions.

The decision making process will consider the ability of each Service Provider(s) to fulfil Gavi requirements as outlined within this RFP, and cost of the review proposals will be evaluated as appropriate against the following criteria:

Overall performance of the company:o Understanding of, and ability to, meet Gavi’s requirements and deliverables;o Service Provider’s qualifications, reputation;o Experience in similar projects, especially for organisations with needs comparable

to those of Gavi;o Track record of successful engagement in complex, multi-partner projects.

Pricing:o Professional fees;o Any other related cost showing value for money.

7. Financial Proposal7.1. Requirements for Financial Proposal

The financial proposal should be a standalone document (using excel). This should:

i. Provide full details of your financial offer. This should include fixed costs and any variable costs.

ii. Indicate the components of your financial offer.

Please note that in accordance with Gavi’s Headquarters Agreement with the Swiss Government Gavi is exempt from VAT, as well as customs taxes and duties in Switzerland. Consequently, your prices will have to be submitted to us net of any tax and in US$. The necessary documents will be sent to the selected provider(s) upon the ordering procedure

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8. Annexes8.1. Annex 1: Written Intent To Participate

8.2. Annex 2: Q&A Form

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