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Monitoring and Evaluation Plan

[DISEASE]

[COUNTRY]

[YYYY – YYYY]

Guidance for submission of an M&E plan for
Global Fund grants

.. ANALYSIS AND REPORTING ....................7 7................................................ Each Global Fund grant agreement includes a Performance Framework.6 4.................3 CONTENT OF M&E PLAN.......11 ANNEX D – Dimensions of data quality..............................................9 ANNEX B.................... Through M&E...............4 2.. outcome..............................................................10 ANNEX C – Impact and Outcome Measurement Table ........................16 GENERAL GUIDING PRINCIPLES Monitoring and Evaluation is a key component of Performance-based Funding.....................................7 6........... SURVEILLANCE.......................4 1.............................. OR SPECIAL STUDIES ........... EVALUATION............................................................................ a legal document through which the recipient organization and the Global Fund commonly agree the indicators to be used and the targets to be achieved to demonstrate performance and consequently..............................................8 ANNEX A –M&E Framework Template................................................TABLE OF CONTENTS GENERAL GUIDING PRINCIPLES ........................ ensure continued funding...............5 3................................. output.. DATA QUALITY ASSURANCE MECHANISMS AND RELATED SUPPORTIVE SUPERVISION ................ M&E BUDGET AND WORK PLAN ..................................... ........................................................ ROUTINE DATA COLLECTION........2 SUBMISSION OF AN M&E PLAN................................................................... CAPACITY BUILDING................................. REVIEWS....15 REFERENCES .............Indicator Reference Sheet Template.................................................................................................. SURVEY..............7 5...................... the programme results at all levels (impact....................................... INDICATOR DEFINITIONS AND MEASUREMENT .............. M&E COORDINATION ......... process and input) can be measured to provide the basis for accountability and informed decision-making at both programme and policy level................................14 ANNEX F – M&E cost categories and detailed description............13 ANNEX E – Monitoring & Evaluation work plan and budget ........................................................................................

Normally. as well as to decide on continuation of funding for each grant. combined for all diseases or as part of the national health M&E plan).The M&E plan is an essential document for a country as it describes how the M&E system should be run. . The M&E system should allow for data to be collected. It is also a required document for the Global Fund as it provides the background information for the indicators included in the Performance Framework and for the M&E system that produces the results reported to the Global Fund. country and global level. as agreed by stakeholders to monitor the National Strategy to which the Global Fund grant contributes. processed and transformed into strategic information (SI). It should be accompanied by an annual costed workplan describing the planned M&E activities for each year including the strengthening measures to improve the M&E system identified through M&E system or Data quality assessments. the Global Fund uses the information provided by countries to prove that money raised is invested to achieve the set goals. Figure 1. the PR is required to submit only the National M&E Plan (specific to a disease. On the basis of the Performance-based Funding principle. The context of the M&E plan SUBMISSION OF AN M&E PLAN The Global Fund requires Principal Recipients (PRs) to submit an M&E Plan prior to and in time for grant signing. However. in the following situations this may not be feasible or sufficient: 1) Multi-country grant – a specific regional M&E plan needs to be developed and aligned with the national M&E plans of the countries that are part of the common project. the M&E system and the use of information at different levels. Figure 1 below illustrates the linkages between the M&E plan. to allow for informed decision-making at all levels: local.

a provisional document can be developed to be updated or replaced once the National M&E Plan is developed.2) The National M&E Plan does not include the level of detail required for the Global Fund grant. In this case the PR can prepare an annex to the National M&E plan to provide the needed information or develop a separate document that refers to. the National M&E Plan. In cases where the national M&E plan exist but does not include the level of detail required for the Global Fund grant. 3) The country does not have a National M&E Plan and the process of its development will take longer than the grant negotiation period. INDICATOR DEFINITIONS AND MEASUREMENT As per the Monitoring and Evaluation Toolkit (February 2009). The M&E plan should clearly describe whether a quality M&E system is in place or will be established. it is important to follow this guidance and to describe in an annex the missing elements from the national M&E plan that are relevant to the M&E system in place for the grant implementation. to measure at a minimum all the indicators in the Performance Framework. In this case. In both above-mentioned cases. indicators can be measured at different levels which are described in the M&E Framework (Figure 2): Figure 2. CONTENT OF M&E PLAN 1. one single M&E Plan should be used. at least. and is consistent with. the first two years. this guidance should be followed to describe the M&E system in place for the grant implementation. This section provides guidance for the development of a national or provisional Global Fund-specific M&E plan and includes an overview of the elements that are required in an M&E Plan. There is no specific format of the M&E plan. In case where there are multiple grants for the same disease in a specific country (or region). the actions being taken and timeframe to develop a national M&E plan should be specified. It is not necessary to repeat in the annex the elements already covered in the national M&E plan. it needs to be ensured that all relevant elements of the annex to the National M&E plan or the Global Fund-specific M&E plan include information regarding alignment (or the lack of it) with the national M&E system and actions being taken to align with the national M&E system with support from the grant(s) and by other country partners. Under ‘M&E Coordination’. In cases where no national M&E plan exists. certain key elements have to be included in the M&E plan submitted to the Global Fund. The M&E plan should ideally cover the entire life span of the grant or. section 5. using the M&E System Strengthening Tool. the UNAIDS HIV M&E Systems Strengthening Tool or other standard M&E system assessment tools. M&E Framework . however. This process can be supported through a participatory M&E assessment.

Use the ‘M&E Framework template’ in Annex A to list all the indicators in the M&E plan and the ‘Indicator Reference Sheet template’ in Annex B to provide detailed information about each indicator. if baseline values are not available. outline plans to measure baseline data. 2. process and input) level. specifying data sources. the following should be observed:  Define all standard indicators that will be reported or measured at national level  Include baseline and targets for each indicator. For impact/outcome indicators. Descriptions along the following areas should be provided: . ANALYSIS AND REPORTING This section in the M&E plan describes existing systems in place/plans to develop systems to collect data for measuring impact/outcome indicators and programmatic indicators. This should include a mapping of relevant data flows. Impact Decreased morbidity and mortality Outcome Changed behavior Number of people receiving services Output Number of people trained Number of service points supported Number of training Process courses for staff Input Money For measurement at both the impact/outcome level and the programmatic (output. and data source). Also this section should cover dissemination and use of information products. Use the “Impact Outcome Measurement Table” in Annex C to outline the planning for impact and outcome measurement. responsible body. ROUTINE DATA COLLECTION. as well as funding available and planned for each data source.  Define measurement methods (timeline/frequency of data collection.

regional and district)  Program evaluation – describe in brief the key evaluative questions to be answered. computers. SURVEILLANCE. timeline. Also differentiate between external independent evaluations/reviews and routine/specific internal evaluations led by national program unit and partners. KAPB surveys. EVALUATION. gaps and plans/schedules should be provided for conducting: Reviews and Evaluations  Program review – describe the mechanism/structures in place/proposed for routine programme reviews and specify the frequency of program review at each level of health care system (national.)  Information products. resource tracking or National Health Accounts / disease specific sub-accounts) (indicate in the Indicator Framework where these surveys are the data source for indicators to be measured) Others . internet connections.  Routine data (programmatic indicators) that will be collected/reported routinely from service delivery points and other intermediate levels to the National level  Data collection and reporting tools  Information/report flow and feedback mechanisms  Infrastructures available for data capturing and reporting (paper-based system. and target audience  Information dissemination strategy 3. In this section. etc. and timing/frequency of planned/proposed evaluations. proposed methodology. SURVEY.g. REVIEWS. Surveys and surveillance  Population based surveys (indicate in the Indicator Framework where these surveys are the data source for indicators to be measured)  Health facility based surveys (indicate in the Indicator Framework where these surveys are the data source for indicators to be measured)  Surveillance (indicate in the Indicator Framework where surveillance systems are the data source for indicators to be measured) Research and Special Studies  Operational research  Epidemiological research  Special studies (e. description of existing practices. Evaluations may be process oriented (how is the programme delivered or is it being delivered as intended) or looking at results from outcome or impact evaluations. OR SPECIAL STUDIES This section of the M&E plan deals with activities that involve systematic collection and analysis of data to make decisions.

OR. transfer. OR and special studies (including dissemination of findings) 4.  Development of tools (e.. analysis and storage. etc. missing and incomplete data is accounted for. capacity needs assessment . CAPACITY BUILDING This section should also cover the aspects of human resource and capacity building: • Review of existing M&E human resources capacity (existing human resource. strengths and gaps). surveillance. Please refer to the annex D “Data quality dimensions” for more details on the dimensions of data quality: reliability. completeness. information/report flows.  Plans for assessing consistency of primary data during data analysis.  Development and utilization of tools and guidelines / checklists for data quality assurance/assessments and for supervision. and special studies  Training. reporting timeline. it should include the following. This should include how late. DATA QUALITY ASSURANCE MECHANISMS AND RELATED SUPPORTIVE SUPERVISION This section should include practices and mechanisms required for ensuring data quality. timeliness and integrity. M&E COORDINATION Under this section the M&E Plan needs to capture:  M&E coordination mechanisms (including management structures and roles)  M&E partnerships include M&E Technical Working Groups (TWG) functions  M&E assessments/reviews.  Data quality assurance mechanisms for ensuring the quality of data during data collection.g. 6.  Human resources and technical capacity needs for data management and for ensuring data quality. surveillance. 5. meetings  Alignment and harmonization on indicators. accuracy. protocols. While there may be an overlap with other sections. compilation.  Data Quality Assessments.  Supportive supervision for M&E and data quality. workshops and meetings related to surveys. questionnaires) and guidelines for surveys.

Responsible partners/department for implementation iii. surveys. Identification of the funding source should allow resource tracking and provide a holistic picture on M&E related resource allocations. Related documents: Annex E: Template for ‘Monitoring & Evaluation work plan and budget’. Note that:  The M&E budget and work plan is valid for the period covered by the M&E Plan or shorter (It is recommended that the work plan covers at least 2 to 3 years)  It may be useful to organize the M&E workplan and budget along four categories: M&E coordination. Enhanced Financial Report (EFR). Evaluation. A suggested “M&E budget and work plan template” is provided in an Annex E in Excel format. external assessment. regardless of whether the activity is a routine or a one- time activity. Data quality assurance and M&E related supportive supervision. etc. include: i. Annex F: M&E cost categories and detailed description. Funding gaps This section should also describe the mechanisms in place to track and report on M&E expenditures. surveys and sentinel sites) should also be included in the M&E budget and work plan. surveillance. including any costs for technical assistance. for example through financial surveys and studies. Costs of the impact/outcome measurement framework (including costs of routine data collection. Funding source v. Routine programmatic data collection and reporting. including National Health Accounts. Estimated budget iv. . etc. any strengthening measures identified through a self-assessment. 7. M&E BUDGET AND WORK PLAN The M&E budget and work plan should include all M&E activities.  For each M&E activity. data quality audit. including but not limited to. NASA. Timeline for implementation ii. See Annex F for details for each category. special studies. ability to provide analytical feedback and to translate the data into recommendations for decision making and action. analyze and interpret data from different sources. • Develop capacity building plans • Workshops and meetings to build capacity • Activities to improve analytical capacity of the system: ability to collect.

If agency the M&E related to please specify the plan quarterly. or to the periodicity of the surveys) . name Year and year(s) data source data agency) is for the collection (this responsible for length of could be reporting. ANNEX A –M&E Framework Template Indicator name Baseline Target(s) Data source Frequency Entity responsible of data collection If relevant indicate the Indicate Indicate Indicate Indicate the Specify which entity standard indicator value and value(s) verifiable frequency of (ministry. institution. relevant unit semiannual or annual routine data collection.

minimum every 4-5 years frequency Population based surveys (Demographic Health Survey.measuredhs.unaids. MEASURE DHS.ANNEX B. Respondents are asked: Method of measurement I do not want to know the results.pdf).org/pub/manual / 2007/20070411_ungass_core_indicators_manuals_en. MD. Calverton. 2008 reporting. Geneva. see monitoring the declaration on the construction of core indicators. The Indicator Reference Sheet below shows an example to provide guidance on information to be included in each cell. Multiple Indicator Cluster Survey or other representative survey) Measurement Tool Face–to-face interview. it is important for Rationale/Purpose individuals to know their HIV status. Denominator includes respondents Denominator who never heard of HIV or AIDS Data collection Preferred frequency every two years. but have you been tested for HIV in the last 12 months? If yes: don’t want to know the results. AIDS Indicator Survey. Percentage of women and men aged 15-49 years who received an HIV test in the last 12 months and who know their results Indicator To protect themselves and to prevent infecting others.com/abousurveys/ais. Number of respondents aged 15-49 years who have been tested for HIV during the last 12 months and who know their results Numerator Number of all respondents aged 15-49. 2008 Other relevant (http://www. Resource: AIDS Indicator Survey.Indicator Reference Sheet Template Indicator Reference Sheets should be filled in for each indicator that is part of the M&E plan and of the Performance Framework.cfm information . Knowledge of one’s status is also a critical factor in the decision to seek treatment. 2007 Interpretation (HTTP://data. but did you get the results of that test? For more details on interpretation of indicator. UNAIDS.

000) source • Women and men aged q15-49 who have had sexual Funding Gap 0 intercourse with more than one Demograp partner in the last 12 months hic and (percentage) health • Sexually active young survey Implementing Agency Agency 1 women and men aged 15-24 who received an HIV test in the last 12 months and how their test results (percentage) Coverage of data • Young women and men collection National aged 15-24 who have had (national/regional) sexual intercourse before the age of 15 (percentage) Multiple Eg: Total Cost $500.ANNEX C – Impact and Outcome Measurement Table Funding source. scope.000 • Young women and men Secured funding who are HIV infected Donor 1 (percentage) amount and funding ($2.000.000 indicator • Children younger than 18 cluster years who are orphans survey UNICEF (percentage) Secured funding ($250.000. total cost of data collection.000) the last 12 months (percentage) Funding Gap 0 Implementing Agency Agency 2 .000) amount and funding • Women aged 15-49 who source have had sexual intercourse GF Rd10 with more than 1 partners in ($250. amount of Impact/Outcome Indicators to be Data source funding secured monitored through 2010 2011 2012 2013 2014 survey/sentinel surveillance Eg: Total Cost $2.

000 • Young women and men aged 15-24 who have had 100.000) ($100. Funding source.000 $180.000 $80.000 $100.000 $210.000 Secured funding MoH MoH MoH MoH MoH Sentinel amount and funding Eg: ($100.000 $150.000) Site source • Young women and men Surveillan GF Rd10 GF Rd10 GF Rd10 GF Rd10 GF Rd10 aged 15-24 years who are HIV ce $50.000 $50.000 $80. amount of funding secured Impact/Outcome Indicators to be Data Coverage source of data monitored through collection National survey/sentinel surveillance (national/regional) Eg: Total Cost $150. total cost of data collection.000) ($100.000) partner in the last 12 months Indicator (percentage) Survey School of • Sexually active young Implementing Agency Public women and men aged 15-24 Health who received an HIV test in the last 12 months and know their Coverage of data test results (percentage) 7 High risk collection • Current school attendance provinces (national/regional) among orphans and among non-orphans (percentage) Total Cost $150.000 sexual intercourse before the Secured funding age of 15 (percentage) Donor 2 amount and funding • Women and men aged 15- ($100.000) ($100. scope.000) source 49 who have had sexual MoH intercourse with more than one AIDS Funding Gap ($50.000) ($100.000 infected Funding Gap 0 0 0 0 0 Coverage of data collection 5 sites 5 sites 6 sites 6 sites 7 sites (national/regional) .000 $180.

ANNEX D – Dimensions of data quality Reliability The data generated by a program’s information system are based on protocols and procedures that do not change according to who is using them and when or how often they are used. Completeness Completeness means that an information system from which the results are derived is appropriately inclusive. Timeliness Timeliness refers primarily to how current or up-to-date the data are at the time of release. The data are reliable because they are measured and collected consistently. Integrity Integrity is when data generated by a program’s information systems are protected from deliberate bias or manipulation for political or personal reasons . by measuring the gap between the end of the reference period to which the data pertain and the date on which the data becomes available to users. Accuracy (validity) The Accuracy dimension refers to how well information in or derived from the database or registry reflects the reality it was designated to measure.

If trained in data possible.this budget the source of Indicate precisely Indicate the agency includes strengthening measures Indicate any required for funding should the expected primarily responsible for identified in the M&E Systems collaborating the indicate funding outcome. Provide a reference Strengthening Assessment and agencies who implementatio that has already health facility staff Please be as specific as to the MESST action other routine M&E activities. giving plan or other using general terms such as in the activity. "150 carrying out this activity.g. NOTE: be carried out this year . e. indicate the budgeted amount. Indicate the mark "not yet conducted and for example. funding is not yet collection" or "156 departments rather than recommendations "strengthening" or "overall implementation secured. ANNEX E – Monitoring & Evaluation work plan and budget Link with MESST Responsible Collaboratin Source of Action plan or Expected Activity Timeline unit/implementing Budget g agencies funding with other outcome agency recommendations Indicate if the budget is directly tied or not to the GF budget. E. source from which funding will be sought. please supervision visits just "ministry of health". Activity descriptions should include currency secured" and feedback given" assumptions which lead to the being used. Avoid Q1 Q2 Q3 Q4 will take place n of this been secured. If not. indicate the Provide clear and specific external source of formulation of ALL M&E activities to Indicate the funding. . of the activity. improvement of capacity". "not yet secured" (Global Fund Round 10 grant) Note: please refer to the attached Excel file ‘Monitoring & Evaluation work plan and budget’ which can be used for development of the actual work plan with the respective budget.g.

 Health facility based surveys surveillance. questionnaires) and guidelines for surveys.g. ITN distributed) data  Data compilation. OR and special studies (including dissemination of findings)  data quality assurance. processing. reporting reporting forms. analysis and reporting  surveys. and special studies  Workshops and meetings on evaluation. Data quality  Data quality assessments assurance  Supportive supervision on M&E and M&E  Development of tools and guidelines and checklists for data quality related assessment or supervision supportive  Workshops and meetings to share information on data quality supervision assurance and supportive supervision 5.. workshops and meetings to build HR capacity on:  routine data collection. protocols.. KAPB surveys)  Development tools (e. analysis and reporting collection and  Tools development for routine data capturing and reporting (registers. surveillance. disease subaccounts and other resource studies tracking studies  Operational research  Program evaluation  Program review  Epidemiological research  Special studies (e.  Surveillance special  National Health Accounts. …)  Workshops and meetings on routine programmatic data collection. data capturing on programmatic # people on ART.g. surveys. sm+ case detected. Routine  Routine data recording for program monitoring (e.g. surveillance OR and special studies 4.  Population based surveys surveys. M&E  Development of M&E Plan (including development of indicators and coordination work plan)  Development of general M&E training materials and guidelines  M&E self-assessment  M&E coordination and management  Establishment and functioning M&E TWGs or forums  Information dissemination and communication 2.ANNEX F – M&E cost categories and detailed description M&E categories Descriptions of specific functional areas that may incur cost/resources 1. OR. and supportive supervision . Evaluation. Capacity  Capacity needs assessment Building  Capacity building plans  Training on general M&E  Training. surveillance. processing. analysis and reporting 3.

org/en/performance/monitoring_evaluation/ 2. Below is the example of source document. The multi-partner M&E Toolkit http://www. Partners’ guidance for the development of national M&E plans are available from partners’ websites including: i.ht ml?subsection=Monitoring%20and%20Evaluation .REFERENCES This section should include the references on all documents used for preparation and cited in the M&E plan.org/Monitoring/Pages/Default. RBM Toolbox: http://www.rollbackmalaria.theglobalfund.globalhivmeinfo.org/toolbox/toolbox_MonitoringAndEvaluation. 1. Global HIV M&E Information: http://www.aspx ii.