2012 Aid Transparency Index

United States President’s Emergency Fund Plan for AIDS Relief

Summary

PEPFAR has released no information to the Dashboard to date. It is subject to the Department of State’s 2012 Open Government Plan.

PEPFAR ranked 29th overall, third amongst U.S. institutions assessed. It scored slightly below average at the organisation and country levels and slightly above average at the activity level. PEPFAR had not published a total and disaggregated budget and a list of all current activities. It publishes an annual Country Operational Plan (COP) for each fiscal year; unfortunately the link for the 2011 report is not operational. OGAC has been made aware of this technical error. PEPFAR did improve its score when controlling for changes in the 2012 methodology, though it dropped significantly in rank due to progress made by other donors.

OGAC should release PEPFAR’s planning, obligation, spent, project and performance data to the Dashboard, and publish all its information to the IATI Registry. OGAC should build IATI into its internal systems as part of the next scheduled IT update. State Department should include in its updated Open Government Plan specific plans for how PEPFAR will become more transparent, including steps towards publishing its information online.

Results

Click on an indicator to see the definition of that indicator and, if information is published for the indicator, the evidence as a URL.

1. FOIA Average legislation
Definition:
The definition used in the Rating for a Freedom of Information Act is that it has to be a law in the strict sense, it must include the right of access to information, this right has to be enforceable and there must be complaint, court and high court appeal possibilities. Decrees are included if they meet the same standards. In addition, the FOIA must be in use for at least the executive part of the government, therefore FOIAs which are only adopted, approved or still in draft form were not counted. For multilateral donors, IFIs and foundations, a disclosure or transparency policy was accepted as equivalent to a FOIA. Publish What You Fund completed an assessment of the quality of these disclosure policies based on the overarching approach taken in the Global Right to Information Rating. In the 2011 pilot, a binary yes/no answer was accepted for this indicator without any assessment of the quality of the legislation. The authors recognised this was unsatisfactory and a new data source has been found for 2012 so an assessment of the quality of the legislation is now possible.

Source:
www.rti-rating.org/countrydata.html

Comments:
To assess Freedom of Information Acts for bilateral donors, we are using the Right to Information Rating published by AccessInfo and the Center for Law and Democracy. The RTI Rating uses a 150-point scale, which we have broken down into a four-point scale: 1= No Freedom of Information Act 2= score of 1-60 on the RTI Rating 3= score of 61-90 on the RTI Rating 4= score of 91-150 on the RTI Rating Donor scored 89 on the 150 point scale
2. IATI Signatory
Definition:
Donors are engaged in IATI if they are signatories. Of the 33 signatories, some are already implementing, i.e. they have published to the IATI Registry within the last 12 months; others have published an implementation schedule but have not yet published to the Registry or they published data that is now more than 12 months old; and a third group have not published an implementation schedule or confirmed when they expect to publish to the Registry.

Source:
www.aidtransparency.net/implementation

Comments:
Assessed on 07/08/2012
3. Strategy Always published
Definition:
An overarching strategy document explains the general approach and policies of the donor towards international development. This is a new indicator for 2012. Feedback from the 2011 survey identified that publishing an overarching strategy document is considered best practice for setting out an organisation's overall approach and policies and that the majority of organisations produce these documents.

Source:
www.pepfar.gov/strategy/document/index.htm
4. Annual report Always published
Definition:
Annual reports outline basic (normally aggregate) information about how aid was spent in the previous year, broken down by sector and / or country. This is a new indicator for 2012. Feedback from the 2011 Tracker survey highlighted the importance of annual reports for providing an overview of an organisation's budget, areas of focus and spending in an accessible and user-friendly format. They are also a first step for organisations in providing more information to their constituencies about their work.

Source:
www.pepfar.gov/progress/187803.htm
5. Allocation policy Always published
Definition:
Aid allocation policies and procedures are the detailed policy and procedure documents by which the organisation chooses where to spend its resources, i.e. on which countries or themes rather than others. Relatively general documents or webpages outlining which countries, themes and institutions the agency will fund are accepted, as long as this is forward-looking and not wholly retrospective.

Source:
www.pepfar.gov/guidance/cop2012/index.htm
Last
year's
entry:
www.pepfar.gov/strategy/document/133251.htm

Comments:
While the COPs provide detailed information on how aid is allocated, a document outlining why allocations go to particular countries over others does not exist.

Review:
USA-PEPFAR PeerReviewer:
6. Total budget Not collected
Definition:
The total organisation budget is the total amount that the organisation will be allocated by the government or its funders for at least the next three years. This is money going to the organisation, and can be indicative. Both rolling budgets and non-rolling budgets were accepted if they ran up to 2015.

Source:
PEPFAR
funding
is
appropriated
by
the
US
government
for
one
year
at
a
time.
7. Disaggregated budget Not collected
Definition:
The organisation's annual forward planning budget for assistance is the disaggregated budget that the organisation or agency will spend on different countries, programmes and institutions for at least the next three years. This is money being spent by the donor organisation, and could be indicative. Ideally we would have distinguished between rolling and long term budgets (e.g. a five year budget) but for the purpose of the survey both rolling budgets and long term budgets were accepted. All the EC agencies included in the Index (DG DEVCO, DG Enlargement, ECHO and FPI) were at the end of their fixed budget cycles and therefore did not have a budget for the next three years. In this case they did not receive points for this indicator.

Source:
na

Review:
USA-PEPFAR PeerReviewer: PEPFAR funding is appropriated by the US government for one year at a time.
8. Procurement policy Always published
Definition:
An organisation's procurement procedures explain the process used to tender and contract (invite bids for) goods and services. This must fully explain the criteria on which decisions are made, and could be in a single procurement policy document or attached to each tender. For development finance institutions which are often demand-driven, this was understood as their investment policy.

Review:
USA-PEPFAR PeerReviewer: We believe the score should be 4. The 'organization' is the US Government, as PEPFAR is an initiative rather than an agency; PEPFAR procurements are executed by its implementing US Government agencies, USAID and CDC. Each publishes its procurement procedures: http://transition.usaid.gov/business/ http://www.cdc.gov/od/pgo/funding/grants/grantmain.shtm - Changed to a 4 based on donor comments- JA from Publish
9. Tenders Always published
Definition:
Tenders are the individual contracts or proposals that have been put out to invite bids from companies or organisations who want to provide goods and services for an activity. They may be on a separate website, possibly on a central government procurement website. This was an activity level question in the 2011 Tracker survey, but as organisations often publish tenders separately and on a central website the question was in practice answered at the organisation level. It has therefore been moved to this level for 2012.

Source:
Some
organizations
that
receive
PEPFAR
funding
provide
further
details
on
individual
tenders.
This
takes
considerable
searching
with
only
a
small
chance
of
turning
up
results.
These
sites
include:
fbo.gov
and
grants.gov

Review:
USA-PEPFAR PeerReviewer: We believe the score should be 4. The 'organization' is the US Government, as PEPFAR is an initiative rather than an agency; PEPFAR procurements are executed by its implementing US Government agencies, USAID and CDC. Information on all tenders is available through the US government's grants.gov website, which serves as a central clearinghouse. While it is true that the site encompasses grants beyond PEPFAR, and requires the user to search to identify PEPFAR-specific information, that does not negate the reality that 'the organization publishes all tenders.' - Changed to a 4 based on donor comments- JA from Publish
10. Audit Sometimes published
Definition:
The organisation's annual audit of its activities is an official inspection of the accounts and activities of this organisation, typically by an independent body.

Source:
Audits
of
PEPFAR
programs
happen
on
an
ad
hoc
basis
and
are
conducted
by
different
groups
such
as
the
Government
Accountability
Office
and
the
Institute
of
Medicine.
One
example
is:
www.developmentwork.net/audit-database-project?sobi2Task=sobi2Details&...

Review:
USA-PEPFAR PeerReviewer: PEPFAR is independently audited by the Inspectors General of the implementing agencies and the Goverment Accountability Office. These organizations choose the topics for their audits and evaluation, which are released on a rolling basis, and often more than once a year. An example of a State Inspector General report can be found here. Other reports can be found by searching the websites of the relevant agency IGs: http://oig.state.gov/documents/organization/178166.pdf The Government Accountability Office reports on PEPFAR can be found here: http://gao.gov/search?q=pepfar In addition, as per the mandate of Congress, the Institute of Medicine is charged with performing a multiyear evaluation of PEPFAR. Information about this independent multi-year study can be found here: http://iom.edu/Activities/Global/PEPFAR2.aspx All of these documents are publicly available on the websites of the evaluators, although PEPFAR, at this time, does not always link to these evaluations. - Changed to a 3 based on donor comments- JA from Publish
11. Database Sometimes published
Definition:
An online database of all the activities in all countries is a website which contains all of the activities of this donor across the world, disaggregated to the level of a project. This should include comprehensive information about the organisation's projects, including title, cost, start/end dates, implementing organisation and a description of the activity. This is a new question for the 2012 Tracker survey. Findings from the 2011 survey identified that centralised, online databases that are publicly accessible make it much easier to search for and find information about the organisation's activities and compare them with other organisations.

Source:
www.pepfar.gov/countries/

Comments:
Does not have all activities in all countries. To be more specific, all countries are listed, but the country pages do not have project data, only general information on the activities in each country. JA from Publish What You Fund.

Review:
USA-PEPFAR PeerReviewer: Information on our country programs can also be found at: http://www.pepfar.gov/about/c24880.htm
12. Strategy Always published
Definition:
A country strategy paper sets out the organisation's planned approach and activities in the recipient country. For it to be accepted it needed to be a detailed document, rather than just a paragraph on the organisation's website.

Source:
www.pepfar.gov/frameworks/southafrica/161215.htm

Comments:
Publishes five-year partnership frameworks and Country Operational Plans, however, as recently as 2011 these were summaries and not actual planning documents.

Review:
USA-PEPFAR PeerReviewer: Partnership Frameworks are PEPFAR country strategy documents, and all are published in full. The link to all Frameworks completed to date can be found at: http://www.pepfar.gov/frameworks/index.htm - Agree with donor comments- changed to a 4- JA from Publish
13. Budget Always published
Definition:
The organisation's annual forward planning budget for assistance is the budget that the organisation will spend on this country for at least the next three years. This is money being spent by the organisation and can be indicative. As above, both rolling budgets and non-rolling budgets were accepted if they ran up to 2015. Indicative three-year figures disaggregated to the level of theme or region were accepted for private foundations and trusts.

Comments:
PEPFAR publishes budgets year-by-year.

Review:
USA-PEPFAR PeerReviewer: PEPFAR funding is appropriated by the US government for one year at a time. - PEPFAR publishes a financing plan to 2016. Given that funds are appropriated annually, this is acceptable to score on this indicator, changed to a 4- JA http://www.pepfar.gov/documents/organization/196651.pdf p. 34
14. MoU Always published
Definition:
A Memorandum of Understanding (MoU) is a document which details the agreement usually between the organisation and recipient government for the provision of aid in the country. Some DFIs do not sign MoUs, so equivalent documents have been allowed. Further explanation of what has been accepted is provided in Annex 1. This was an activity level question in the 2011 Tracker survey, but as MoUs relate to bilateral agreements between a donor organisation and a government the question was in practice answered at the country level. It has therefore been moved to this level for 2012.

Source:
www.pepfar.gov/frameworks/southafrica/161215.htm

www.pepfar.gov/documents/organization/153124.pdf

Comments:
Memorandum of Understanding' is not found in the Partnership Framework for South Africa, but does appear for other PEPFAR Partnership Frameworks. The Partnership Framework itself can be interpreted as equivalent to an MOU (see PDF link above). JA from Publish
15. Evaluations Sometimes published
Definition:
Evaluation documents consider what activity achieved, whether the intended objectives were met, what the major factors influencing the achievement or non-achievement of the objectives were and an assessment of the impact, effect and value of the activity. This information may be on a specific evaluation section of the organisation's website.

Source:
sa.usaid.gov/south_africa/node/6

Comments:
There is an evaluation for FY 2011 for AIDS treatment and one for education support for OVC through USAID. Unclear whether these are recurring evaluations.
16. Results Sometimes published
Definition:
The results show whether activities achieved their intended outputs in accordance with the stated goals or plans. This information often refers to logframes and results chains and may be within a specific results or evaluation section of the organisation's website.

Source:
www.pepfar.gov/progress/187807.htm

Comments:
Publishes an annual Report to Congress, but not every activity for South Africa is detailed.
17. All current activities Not collected
Definition:
Activities need to be current, ongoing activities broken down by sector or region and including details of budget and timeframe, not just details of completed activities. If the information was introduced with any qualifiers (such as 'major projects', 'lighthouse projects', 'key projects', 'case studies') then this was not considered as comprehensive publication of all activities. Donors were asked to verify if these responses were correct. This is a new indicator for 2012. Findings from the 2011 Tracker survey highlighted the need to be able to identify all activities currently being delivered by an organisation in that country, and as a way of signposting the likelihood of systematic publication at the activity level.

Source:
sa.usaid.gov/south_africa/node/271

www.pepfar.gov/documents/organization/183974.pdf

Comments:
It is impossible to know whether PEPFAR or its implementing agencies publishes all its current activities, but USAID activities are listed on their website and general figures are in PEPFAR FY 2011 Operational Plan Summary.

Review:
USA-PEPFAR PeerReviewer: Country Operational Plans, which describe all activities in the country, are published on PEPFAR.gov; however, these are not completed until well into the fiscal year in question, so there is a delay before complete information on current activities is available.
18. Database Sometimes published
Definition:
An online database of all the activities in the recipient country is a website which contains all of the activities of this donor in the country, disaggregated to the level of a project. This should include comprehensive information about the donor's projects, including title, cost, start/end dates, implementing organisation and a description of the activity. If an organisation scores on indicator 11 then they will score again on this indicator, but not necessarily vice versa. For example, Canada is gradually publishing comprehensive activity data for each country it operates in, including for Haiti (Canada's biggest recipient country reviewed in the survey), but it does not yet have public, comprehensive database for all its activities in all the countries it operates in. This is a new indicator for 2012. Feedback from the 2011 Tracker survey identified that centralised, online country databases that are publicly accessible make it much easier to search for and find information about the organisation's activities and compare them with other organisations operating in that country.

Source:
www.pepfar.gov/countries/cop/

Comments:
The COPs are a centralised resource for country activities; however it is difficult to know if these are all activities. Changes to programming are not reflected in COPs.
19. Implementer Always published
Definition:
The implementer of the activity is the organisation which is principally responsible for delivering this activity.

Source:
sa.usaid.gov/south_africa/node/271

Comments:
1. 'PACT Umbrella Grants Management Program' (health) 2. 'Foundation for Professional Development' (health) 3. 'Wits Reproductive Health and HIV Institute' (health)
20. Collaboration type Always published
Definition:
The collaboration type shows how the activity is funded ? whether directly from one government to another (bilaterally), through institutions such as the World Bank or UN (multilaterally), or otherwise. This needed to be explicitly stated. To be accepted, responses had to be stated per activity, or once in a country strategy paper or a clear place on the website, if there is only one collaboration type for the whole organisation (e.g. 'all aid is funded bilaterally').*

Source:
sa.usaid.gov/south_africa/node/271
21. Flow type Always published
Definition:
The flow type shows whether the organisation states this activity counts as ODA, OOF, climate finance or any other type of flow. This had to be explicitly stated per activity, or once in a country strategy paper or a single place on the organisation's website if there is only one flow type for all activities (e.g. 'all aid is ODA').*

Source:
sa.usaid.gov/south_africa/node/271

Comments:
All PEPFAR funding is ODA funding. US bilateral aid of other types is distributed through different channels. Is there a published document where this is explicitly stated? To score for this question, we would need to find a document that explict says this, which I was not able to fnd. JA from Publish

Review:
USA-PEPFAR PeerReviewer: Support for the classification of this funding as ODA can be found in the FY2013 Congressional Budget Justification for Foreign Operations, which can be found at: http://www.state.gov/documents/organization/185014.pdf. Page 13 features charts that classify US global health as bilateral economic assistance. In this document, there is also more detailed descriptions of both PEPFAR and broader US government global health assistance in the context of all foreign assistance. Changed to a 4 based on this link: http://www.pepfar.gov/about/138339.htm JA from Publish
22. Aid type Sometimes published
Definition:
The type of aid shows whether the activity is classed as budget support, a project, technical assistance, debt relief, administrative costs, and so on. This needed to be explicitly stated per activity, or once in a country strategy paper or on a clear place on the organisation's website if there is only one aid type for the whole organisation (e.g. 'all aid is project-type interventions').* For DFIs, the organisation needs to clearly state if there are any eligibility requirements for contracts based on country of origin.

Source:
sa.usaid.gov/south_africa/node/271

Comments:
Some activities specify their type, but not all.
23. Finance type Always published
Definition:
The type of finance shows whether the activity is a grant, loan, export credit or debt relief. This had to be explicitly stated per activity, or once in a country strategy paper or on a clear place on the organisation's website if there is only one finance type for the whole organisation (e.g. 'all aid is grants').*

Source:
sa.usaid.gov/south_africa/node/5

Comments:
PEPFAR is all grants.
24. Unique ID Always published
Definition:
The activity identifier is a unique reference ID for the activity (e.g. a project number). It allows an activity to be referred to and searched for by a code, which can be used to retrieve the project from a database or filing system. The project ID must be stated clearly on the page. It is not sufficient if it is only stated in the URL.

Source:
www.pepfar.gov/documents/organization/145733.pdf
25. Title Always published
Definition:
The title of the activity is the name of the activity. This was preferably the formal name of the activity, but did not have to be.

Source:
sa.usaid.gov/south_africa/content/health-program-descriptions
26. Description Always published
Definition:
The description of the activity is a descriptive text, longer than the title, explaining what the activity is. Sometimes it was just a short sentence but could also be more detailed. Either was accepted.

Source:
sa.usaid.gov/south_africa/content/health-program-descriptions
27. Sectors Always published
Definition:
The sectors of the activity explain whether this is, for example, a health or education project. It did not count if it is just mentioned incidentally within the title / description / etc. It needed to be stated separately and explicitly.

Source:
sa.usaid.gov/south_africa/content/health-program-descriptions

Comments:
Text of program isn't necessarily explicit, however, USAID website uses classification tool to segment types of activities (sectors).
28. Sub-national location Sometimes published
Definition:
The sub-national geographic location is information about where the activity is located within a country. This may be a province or city, or it could be geo-coded (whereby the precise longitude and latitude is published). It needed to be stated separately and explicitly. This is a new indicator for 2012. Feedback from the 2011 Tracker survey highlighted the need to be able to identify the location of an activity within a country in order to obtain information about all the activities being delivered within the same province or city. This indicator is not applicable for projects that are a) allocated to a collection of countries (e.g. a supranational region); or b) funded via general budget support, where just the country name was accepted.

Source:
sa.usaid.gov/south_africa/content/health-program-descriptions

Comments:
Subnational locations occasionally mentioned in project descriptions. JA from Publish
29. Planned dates Always published
Definition:
The planned dates are the dates that the activity is scheduled to start and end on. If there are one set of dates but they are not explicitly planned or actual dates, given that these are for activities which are current (i.e. being implemented at the time of data collection) it was assumed that they were planned dates.* Just the year (rather than month and year) has been accepted for this indicator. This is generous as in some cases donors are publishing the month and the year. In some cases, they publish day, month and year (for instance, the date a contract was signed is taken as the start date). In future indices, this indicator might be interpreted more strictly in recognition of recipient countries needing to be able to map planned activities to their own financial year rather than the calendar year.

Source:
sa.usaid.gov/south_africa/content/health-program-descriptions
30. Actual dates Collected
Definition:
These are the dates that the activity actually started (and ended on, if the activity has finished). If there was only one set of dates but they are not explicitly stated as planned or actual dates, then it was assumed they were planned dates. Actual dates were accepted where specific events occurred, for example the date the project/programme agreement was signed, a board presentation or an appraisal date.* As with indicator 29, just the year (rather than month and year) has been accepted for this indicator. In future indices, this indicator might be interpreted differently in recognition of recipient countries needing to be able to map activities to their own financial year rather than the calendar year.

Source:
sa.usaid.gov/south_africa/content/health-program-descriptions

Comments:
The link above provides activity windows but it is difficult to tell if these are actual or planned. - Last year, this was included in the 2010 COP. The link to the 2011 COP Plan is not functional, unclear if this is a technical issue- JA
31. Tied aid status Always published
Definition:
The tied aid status shows whether the organisation states that this activity counts as 'tied' (e.g. procurement is restricted to the donor organisation country) or 'untied' (open procurement). This had to be explicitly stated per activity, or once in a country strategy paper or on a clear place on the website if there was only one tied aid status (e.g. 'all aid is untied').* Publish What You Fund Aid Transparency Index 29

Source:
sa.usaid.gov/south_africa/content/health-program-descriptions

Review:
USA-PEPFAR PeerReviewer: In keeping with PEPFAR's committment to country ownership, PEPFAR support represents ODA given as grants for specific projects and is not tied aid. See final sentence at: http://www.pepfar.gov/about/138339.htm Changed to a 4 based on this link: http://www.pepfar.gov/about/138339.htm JA from Publish
32. Overall cost Always published
Definition:
The overall financial cost or amount is a summary total financial sum for the activity.

Source:
sa.usaid.gov/south_africa/content/health-program-descriptions

Comments:
These are planned amounts.
33. Planned expenditures Collected
Definition:
Individual planned expenditures must be related to individual activities but are generally high level commitments rather than a detailed breakdown of the activity budget. This information is unlikely to be made available if the organisation does not publish to IATI. In the 2011 Pilot Index, this indicator was combined with 34 below. It has been split into two indicators in 2012 as feedback on the 2011 survey identified the need to distinguish between planned and actual expenditure. The indicator used in 2011 ('Publishes planned disbursements and expenditure') masked important differences between different organisations and the level of expenditure detail they provide.

Source:
sa.usaid.gov/south_africa/node/271

Review:
USA-PEPFAR PeerReviewer: Definition of 'details of planned activities' is unclear but some, if not all details, are provided at the link cited.
34. Actual expenditures Collected
Definition:
Individual actual financial disbursements must be related to individual activities and must be on a per-transaction basis. Each activity is likely to have several transactions. This information is unlikely to be made available if the organisation does not publish to IATI. In the 2011 Pilot Index, this indicator was combined with indicator 33. See explanation above.

Comments:
This information is likely collected but not reported.
35. Current status Collected
Definition:
This shows whether the activity is currently under design, being implemented, has finished or has been cancelled.*

Comments:
This information is not published but likely collected (given annual reports to Congress).

Review:
USA-PEPFAR PeerReviewer: PEPFAR submits quarterly reports to Congress on obligations and outlays of funding,including country-level statistics on obligations and outlays. These reports can be found at: http://www.pepfar.gov/about/c24880.htm
36. Contact details Always published
Definition:
This shows who can be contacted in relation to this activity. This does not have to be the contact information for an individual or project manager and could refer to a central contact or information desk. Contacts for either the funding organisation or the implementing organisation were accepted. This had to be stated alongside the activity or on an obvious 'contact us' link alongside the activity.

Source:
sa.usaid.gov/south_africa/contact
37. Impact appraisals Sometimes published
Definition:
Pre- and post-project impact appraisals explain the totality of positive and negative, primary and secondary effects expected to be produced by a development intervention.

Source:
www.ncbi.nlm.nih.gov/pmc/articles/PMC2892894/
38. Objectives Always published
Definition:
The objectives or purposes of the activity are those that the activity intends to achieve.

Source:
sa.usaid.gov/south_africa/node/271
39. Conditions Collected
Definition:
The terms and conditions of the activity may also be referred to as benchmarks, priors, or involve words such as 'subject to...'. They are specific to an individual activity and explain what the recipient must do in order to be eligible for the funds to be released. The conditions should include loan repayment terms if the activity is financed by a loan.
40. Budget docs Collected
Definition:
This is a specific budget detailing what the intended spending is for the different lines of the individual activity. It is often a document published on the organisation's website.

Source:
na

Comments:
This information is not published though likely collected
41. Contracts Collected
Definition:
The individual contract(s) which is signed with a company, organisation or individual that provides goods and services for the activity. Again this could be on a procurement section of the organisation's website, on a separate website or possibly on a central government procurement website.
42. Design docs Collected
Definition:
Design documents are detailed documents which show how the activity should be undertaken. This needed to be a similar level of detail to the activity budget.
43. Budget ID Collected
Definition:
The budget classification is a way of linking the activity to the recipient country government's own budget codes. This information can either be provided as the budget codes themselves, or as a common code that can map from a donor organisation's detailed purpose codes to the recipient country's functional or administrative budget classifications.