Monitoring and Evaluation
Monitoring and evaluation is one of the cornerstones of a country’s response to fighting HIV/AIDS, TB and malaria and strengthening health and community systems; it provides the information needed to make evidence-based decisions for program management and improvement, policy formulation, and advocacy. It also generates good-quality data to satisfy accountability requirements. Investing in strengthening a national monitoring and evaluation system is important as it will eventually save resources that may otherwise be spent in inefficient programs or overlapping activities supported by different partners. Monitoring and evaluation is intrinsic to the Global Fund’s system of performance-based funding, which ensures that funding decisions are based on a transparent assessment of results against timebound targets. This section of the website outlines the Global Fund monitoring and evaluation requirements, provides an overview of the monitoring and evaluation tools and guidelines as well as opportunities for learning more about monitoring and evaluation at the Global Fund.

Monitoring and Evaluation Requirements
The table below provides an overview of the monitoring and evaluation requirements during the grant lifecycle. Detailed information on of the requirements can be accessed by clicking on the links in the text. Grant lifecycle
o o

Requirements M&E Plan Performance framework

Who is responsible? Principal Recipient / CCM

Grant negotiation

o

Grant implementation

PU/DRs that includes a progress update on programmatic performances, Principal conditions and Recipient management actions

Workplan and budget template download [ XLS . The main elements of a strong monitoring and evaluation plan are described in the guidelines below. the Global Fund subjects up to 20 grants to a data quality audit (DQA) Global Fund Secretariat / carried out by independent institutions Independent institution contracted by the Global Fund. o o Grant renewals M&E Plan Performance framework Principal Recipient / CCM .39 KBEnglishEspañolFrançais ] o Data Quality Audit (DQA): Every year. Principal Recipients are required to submit only the national monitoring and evaluation plan (specific to a disease or for a combination of the three diseases. 1. Monitoring and evaluation plan guidelines download [ DOC . depending on the country context).o o On-site Data Verification (OSDV) Rapid Service Quality Assessment (RSQA)  M&E Plan The M&E Plan Guidelines The Global Fund requires a monitoring and evaluation plan at the time of grant signing. as LFA agreed by in-country partners for monitoring the national strategy to which the Global Fund-supported program contributes. Normally. Annex E .241 KBEnglish ] 2.

5 MBEnglishEspañolFrançais ] This final version of the 4th edition replaces the beta version originally posted in November 2011. In this regard.Global Fund M&E requirements download [ PDF . the Global Fund Operational Policy Committee (OPC) approved use of M&E Country Profiles as a mechanism for reviewing M&E capacities at the time of grant negotiation.4 MBEnglishEspañolFrançais ] Part 4 .2 MBEnglishEspañolFrançais ] Part 2 .  M&E System Country Profile Tool Background: In April 2011.Tuberculosis download [ PDF .Health and community systems strengthening download [ PDF . and to identify M&E risks.3 MBEnglishEspañolFrançais ] Part 5 . French and Spanish translations will soon be made available on this website. The purpose of the toolkit is to provide: o o o o An overview of Global Fund M&E requirements Guidance on performance-based funding Information on building strong M&E systems Guidelines for selecting. the tool has three parts: Part I: National . measuring and reporting standard indicators Document Download o o o o o Part 1 .3 MBEnglishEspañolFrançais ] Part 3 . Monitoring and Evaluation Toolkit The 4th edition of the M&E Toolkit has been developed in consultation with partners in order to support a harmonized approach to setting M&E frameworks. as opposed to a project/PR focused approach. The purpose of completing the Tool is to facilitate the following activities: o o o Risk mitigation: Early identify M&E risks and follow-up mitigation measures in the grant management process M&E system strengthening: Support countries and leverage resource from partners for M&E system strengthening Measurement of M&E system improvements vis-à-vis investments Content: The Tool is designed to provide comprehensive and strategic information. on M&E system at the time of new grant negotiation (PR assessment) and phase II/periodic review.HIV download [ PDF . and to follow-up on risk mitigation measures.Malaria download [ PDF .

to be reported to the Global Fund through the life cycle of the grant. Since completion of the Tool by LFA will be a new practice. Before phase 2 or periodic review of the grant the Principal Recipient is requested to provide a Performance Framework for the following implementation period. important components that have strategic importance in M&E of grants and for building M&E capacity at country level are included. the need for completion of M&E profile by LFA are determined primarily based on grant amount and level of anticipated M&E risk. and forms the basis for future disbursements to the PR.M&E System . The Performance Framework contains an overview of the program’s goals.765 KBEnglish ]  Performance Frameworks The Performance Framework (PF) is a statement of intended performance. . Roll-out of the tool: The Tool is completed by LFA for all new grants and grants that are coming for phase II or periodic review. objectives. For other grants.Health Sector. For this category of countries. National Strategic Plan. In this regard. the UNAIDS 12-component assessment tool and the Global Fund M&E System Strengthening tool. the Country Team determines the need for completion of the M&E Profile by LFA. the 2012 priority is as follows: o o Mandatory for new grants or new PRs. Before grant negotiations the PR is requested to provide a completed Performance Framework for the first implementation period. The M&E profiles create opportunities to build partnership. countries and partners can use the tool that is more appropriate in the country context.Disease program. and Part III: Principal Recipient M&E processes and capacity. To ensure alignment with country processes. partners can fully or partially support completion of the M&E profile tool. Completion process: M&E country profiles are completed by the Local Fund Agent (LFA) based on a review of relevant M&E documents. in consultation with in country partners. From each tool. including: the HMN Assessment and tracking tools. Other source documents LFA reviews for completing the M&E profile include: M&E plan. and grants in High Impact countries with renewals in 2012. For conducting M&E self-assessments. Part II: National M&E system . indicators and targets. In developing the tool. any change to the Performance Framework amounts to a change in the grant agreement and should be formalized in an implementation letter issued by the Fund Portfolio Manager (FPM). the Tool can also be completed at the time of national program or M&E review processes. The M&E self-assessment reports are among the important information sources for completing the M&E Country Profile. The M&E profile tool and guideline are available: o o LFA Guidelines: M&E System Country Profile Tool download [ DOCX . and data quality assessment reports. Being a legally binding document.99 KBEnglish ] M&E System Country Profile Tool download [ XLSM . important M&E self-assessment tools have been reviewed.

Spanish Completing each of the training modules takes about 3 hours.Spanish 3.  Learning about M&E and Data Quality at the Global Fund The Global Fund has developed several self-paced training modules on data quality and on monitoring and evaluation in global fund-supported programs.French .308 KBEnglish ] More guidance on developing the performance framework is provided in the M&E Toolkit and the Monitoring and Evaluation training module on the performance framework. English .715 KBEnglish ] When consolidating different grants for which there is considerable overlap in indicators/activities between the different grants it is recommended to use the performance framework for grant consolidation. English .697 KBEnglish ] Performance Framework template for quaterly reporting download [ XLS .French .The following Performance Framework templates are available: o o Performance Framework template for semester reporting download [ XLS . . o Performance Framework template for grant consolidation download [ XLS . Three modules on M&E cover the following topics: 1. Monitoring and Evaluation Basics For those with no or little knowledge of monitoring and evaluation or as a refresher for others. This template combines and rationalizes the information captured in the performance frameworks of existing grants.Spanish 2. English . Performance Based Funding and Monitoring and Evaluation For those who want to know more about performance-based funding in the Global Fund and its application in the area of monitoring and evaluation. The Performance Framework For those who are involved in supporting the monitoring and evaluation of Global Fundsupported programs.French .

download [ ZIP . The objective is to ensure the data quality of important programmatic results and to provide an overall statement on the quality of data within the grant portfolio. Users at the Global Fund must download the files to the Temp directory on their OSDisk. (2) Data Quality Audits (DQAs) and (3) M&E System Strengthening (MESS) tools. o o o o LFA Guidelines for On-Site Data Verification and Rapid Services Quality Assessment implementation download [ PDF . That course includes some basic training on the implementation of OSDVs.3 MBEnglish ]  Data Quality Tools and Mechanisms The Global Fund uses three main mechanisms/tools to assess the quality of data and reporting systems at the country-level.144 KBEnglish ] OSDV Tool Template (February 2012) download [ DOC . A certificate is awarded on successful completion of a final course assessment. its overall management at the Global Fund and an overview of the tools is available on the page ‘Learning about M&E and Data Quality at the Global Fund’. Users at the Global Fund must download the files to the Temp directory on their OSDisk. o Data Quality Training Module download [ ZIP .471 KBEnglish ] LFA OSDV/RSQA Planning Template download [ DOC . namely the: (1) On-site Data Verifications (OSDVs). A standard form is used for this exercise.319 KBEnglishEspañolFrançais ] . Data Quality Strategy. and Data Quality Assessment Tools.4. Note: This course needs to be downloaded and run on a computer using Windows.3 MBEnglish ] On-site data verification (OSDV) OSDV is a component of the LFA’s verification of implementation (VOI) and is required to be conducted at least once a year for each grant.347 KBEnglish ] OSDV User Guide Form (February 2012) download [ DOC . Note: This course needs to be downloaded and run on a computer using Windows. The last module focuses especially on On-Site Data Verification and is particularly recommended for LFAs. Data Quality Completion of the course takes around two hours. There are three modules: Data Quality at the Global Fund. An e-learning course providing background on the importance of data quality.

1 MBEnglish ] Management Letter Template download [ DOC . o o o DQA Guideline download [ PDF .239 KBEnglish ] DQA Tool (2012) download [ ZIP . DQAs are conducted by external auditors contracted by the Global Fund. developed by the Global Fund & Partners is used to assess data accuracy.2 MBEnglish ] 15.678 KBEnglishFrançais ] o .o o OSDV Data Reporting Template (April 2012) download [ XLS . A risk management approach is used in selecting the grants on which DQAs are performed.11 MBEnglish ] The Routine Data Quality Assessment (RDQA) Tool The Routine Data Quality Assessment (RDQA) Tool is a simplified version of the DQA and allows Programs and projects to rapidly assess the quality of their data and strengthen their data management and reporting systems. o DEVELOP an action plan to implement corrective measures for strengthening the data management and reporting system and improving data quality. The objectives of the RDQA Tool are to: VERIFY rapidly 1) the quality of reported data for key indicators at selected sites.2 MBEnglish ] DQA Guideline Addendum (2012) download [ PDF .410 KBEnglish ] Data quality audits (DQAs) The objective of DQA is to provide an in-depth assessment of data quality and M&E systems in selected grants and/or programs. 15-20 DQAs are conducted annually on selected ‘Top-25’ grants. 14. To maintain independence. RDQA tool Guideline download [ PDF . o MONITOR over time capacity improvements and performance of the data management and reporting system to produce quality data (notably through repeat use of the RDQA). Routine Data Quality Audit Tool download [ XLS . A standard DQA Tool. the reporting performance and the underlying M&E System of the grant. and 2) the ability of data-management systems to collect. manage and report quality data.

verification of reported results and recommended strengthening measures) “Auditing” of PR reported Results (i. costed action plan and allocated funds for M&E strengthening) OSDV DQA RDQA Data-verification & Capacity-Building of PR (i.e.e.e. as Grants appropriate) Anytime during the lifecycle of the Grant(only 12-20 Grants per year) External Service Provider (with expertise in public health) Anytime during the life-cycle of the grant/regularly Implement Principal er Recipient (PR) Local Fund Agent (LFA) Country staff .Table 1: Comparing the Data Quality Tools <> <> <> <> MESS CapacityBuilding of PR and strengthening of country M&E Objectives Systems (i. Self-assessment of external auditing of data by PR reported results) Once for Grant Frequency Signing Once a year for all and timing (repeated.

iii) the implementation of the M&E plan. Main Focus o o M&E Plan Verification of accuracy of the reports o Report performances o Reporting performances . the M&E system strengthening process includes: i) a periodic self-assessment of the naional monitoring and evaluation system. The Global Fund verifies the quality of the monitoring and evaluation plan (including the costed M&E system strengthening action plan) before signing a new grant. o Data reporti ng o Assessment of the System o Assessment of the M&E System  M&E System Assessments A periodic assessment (preferably every two to three years) of the national monitoring and evaluation system is generally recommended to review the implementation status of the national monitoring and evaluation plan. Generally. This process allows countries to include in the proposal resources required for filling gaps in the monitoring and evaluation system. Countries with active grants (excluding those that are in their last year of implementation) are recommended to perform a monitoring and evaluation assessment if the last one was conducted more than two to three years ago. At the time of proposal submission. These plans should be developed based on a thorough assessment process involving all relevant stakeholders of the program within the country. .o Data Manag ement Capaciti es o Verification of accuracy of data o Data accuracy. ii) the development or review of the M&E plan (and costed M&E system strengthening action plan) based on the results of the self-assessment. to identify weaknesses and to build on existing efforts. applicants are recommended to submit their national monitoring and evaluation plan (including a costed M&E system strengthening action plan to address any challenges identified). and iv) regular follow-up on the implementation status of the M&E plan.

63 KBEnglishEspañolFrançais ] External links to the World Health Organization web site (right click and "save as" in case you experience problems): o HSS o HMN National Health Information System Assessment Tool HMN National Health Information System Assessment Score Sheet . The table below provides an overview of the recommended M&E systems strengthening tools: Program component Available documents HIV For countries that are planning implementation of an HIV M&E assessment. External links to Global HIV M&E Information web site (right click and "save as" in case you experience problems): o o MERG 12 Components M&E System Strengthening Tool MERG 12 Components M&E System Assessment Guidelines The monitoring and evaluation selfassessment tool developed by the Global Fund and partners enables countries to conduct a comprehensive assessment of the Malaria/TB M&E system in the country. Conducting an M&E systems strengthening assessment is not required for HSS grants. This tool has been developed by UNAIDS in collaboration with partners. However for HSS programs that focus on strengthening the national health information system the Global Fund recommends the Health Matrix Network assessment tool for system strengthening. Malaria and Tuberculosis programs are recommended to use this tool in order to assess their M&E system. it is recommended to use the UNAIDS 12-component assessment tool.M&E System Strengthening Assessment Tools Various tools are available to conduct a periodic self assessment of the national monitoring and evaluation system. validated by the HIV Monitoring and Evaluation Reference Group (MERG) and is recommended by UNAIDS for the assessment of the HIV M&E system. The Tool examines the integral components of a health information system and provides information on how to determine key areas of focus.2 MBEnglishFrançais ] M&E systems strengthening checklists download [ ZIP . It has been piloted in three countries. o o M&E systems strengthening tool download [ PDF . including the Global Fund.

e. The RSQA will be rolled out in a phased manner from 1 January 2012. the WHO recommendations. TB and malaria. and whether these are in line with latest international recommendations relevant to the prevention and treatment of HIV. More specifically. on a case-by case basis.g. The facility level questionnaire assesses compliance of service delivery under the Service Delivery Areas funded by the Global Fund with nationally defined standards. aiming at ensuring that Global Fund-supported programs are implemented according to internationally recognized and evidence-based technical policies and guidelines. The core of this strategy is the Rapid Services Quality Assessment (RSQA) which is applied during program implementation. The findings from these regular assessments are complemented by results for quality of services indicators which are presented in the M&E Toolkit Rapid Service Quality Assessment The Rapid Service Quality Assessment (RSQA). During the first implementation phase RSQAs will be conducted per Principal Recipient (PR). Other countries may also be recommended for RSQA. by the Global Fund Secretariat. as relevant to the Service Delivery Areas (SDAs) covered by the RSQA. Quality of Services The Global Fund has developed a strategy to assess Quality of Services and integrate this assessment in the Global Fund’s performance-based funding model. guidelines and templates are available: o o LFA Guidelines for Onsite Data Verification and Rapid Service Quality Assessment download [ PDF . the RSQA appraises whether health services are implemented according to internationally recognized and evidence-based technical policies and guidelines.471 KBEnglish ] LFA OSDV/RSQA Planning Template download [ DOC . and to continuously build capacity in establishing and using quality improvement as an integral part of program implementation. will in general be implemented by the Local Fund Agent in conjunction with the On-Site Data Verification (OSDV). The following tools. The lessons learnt through RSQA implementation will help further improve the RSQA tools and guidelines. Its main objective is to assess and improve quality of services at country level. The RSQA tool consists of an assessment at two different levels: o o The central/policy level questionnaire which assesses the availability of national disease program policies and guidelines for the Service Delivery Areas funded by the Global Fund.144 KBEnglish ] . per disease program for all Country Team Approach (CTA) countries and all countries undergoing Periodic Review in 2012 and 2013.

A framework document has been developed to assist program implementers.409 KBEnglish ]  Operational Research Operational research can be defined as any research.  Partner Resources HIV o Monitoring and evaluation guidance and tools. with a view also to tackling obstacles to scale-up. regardless of type. The Global Fund encourages the inclusion of operational research in HIV/AIDS. use the findings to improve health programs. . which could include spending on relevant operational research. Geneva: WHO.o o o o RSQA HIV download [ XLS . The Framework for Operations and Implementation Research in Health and Disease Control Programs is the result of a collaborative effort between the Global Fund. researchers and others to identify the steps needed to formulate research questions. and for using operational research findings for improving service quality and scale up. that produces knowledge with a practical application which can improve program implementation. TB and malaria control programs it supports. The purpose of the document is twofold: i) to standardize the practice of operational research across the international health community. o Guide for monitoring and evaluating national HIV testing and counselling programmes.Toolkit for designing and managing operations research projects. Programs are recommended to spend between 5 and 10 percent of their grant budget on monitoring and evaluation. ultimately. the Special Program for Research and Training in Tropical Diseases and a number of international partner organizations. conduct operational research and. o Operational Research Framework [ PDF . 2011.1 MBEnglishEspañolFrançaisРусский ] . policymakers. and ii) to integrate operational research into health and disease control programs.1 MBEnglish ] RSQA Malaria download [ XLS . Field-test version.1 MBEnglish ] Management Letter Template download [ DOC . UNAIDS.1 MBEnglish ] RSQA tuberculosis download [ XLS .

UNAIDS M&E Reference Group.o Global HIV M&E Information: MERG . 2011. Geneva: WHO.Monitoring & Evaluation Reference Group (MERG) o President's Malaria Initiative . Malaria o Roll Back Malaria . o A guide to monitoring and evaluation for collaborative TB/HIV activities. Geneva: WHO. 2009. Geneva: WHO. o Compendium of indicators for monitoring and evaluating national tuberculosis programs. Geneva: WHO. o Revised TB recording and reporting forms and registers. TB o Tuberculosis prevalence surveys: a handbook (The lime book). .Monitoring & Evaluation o Multiple Indicator Cluster Surveys (specific country documents and results). New York: UNICEF. o Priorities in Operational Research to Improve Tuberculosis Care and Control. Geneva: WHO. 2004. 2008. 2011. 2006.

Performance Based Funding and Monitoring and Evaluation For those who want to know more about performance-based funding in the Global Fund and its application in the area of monitoring and evaluation. Monitoring and Evaluation Basics For those with no or little knowledge of monitoring and evaluation or as a refresher for others. Three modules on M&E cover the following topics: 1. A certificate is awarded on successful completion of a final course assessment. There are three modules: Data Quality at the Global Fund. English .French .Spanish 2.French . Data Quality Strategy. English . Users at the Global Fund must download the files to the Temp directory on their OSDisk. English .Spanish Completing each of the training modules takes about 3 hours. and Data Quality Assessment Tools. Note: This course needs to be downloaded and run on a computer using Windows. download [ ZIP . Learning about M&E and Data Quality at the Global Fund The Global Fund has developed several self-paced training modules on data quality and on monitoring and evaluation in global fund-supported programs.Spanish 3.3 MBEnglish ] . The last module focuses especially on On-Site Data Verification and is particularly recommended for LFAs. Data Quality Completion of the course takes around two hours. 4.French . The Performance Framework For those who are involved in supporting the monitoring and evaluation of Global Fundsupported programs.

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