me manual module 3 en

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Monitoring and Evaluation Manual

DEVELOPING

anM&E plan

3


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MODULES IN THEMONITORING ANDEVALUATION MANUAL

1 Perormance-Based Funding

and M&E in Practice

2 Completing the perormance

ramework template

3 Developing an M&E plan

4 Carrying out an

M&E sel-assessment

5 An overview o PR assessment

and data verication

ACRONYMS USED IN THIS MANUAL

AIDS Acquired Immunodecienc y Syndrome

ANC Antenatal Clinic

ART Antiretroviral treatment

BCC Behavioral Change Communication

CCM Country Coordinating Mechanism

CDC Center or Disease ControlCP Conditions Precedent

DHS Demographic and Health Survey

DQA Data Quality Audit

DTF Dual Track Financing

FPM Fund Portolio Manager

GPR Grant Perormance Report

GSC Grant Score Card

HIV Human Immunodeciency Virus

HMIS Health Management Inormati on System

HMN Health Metrics Network

HSS Health Systems Strengthening

LFA Local Fund Agent

M&ESS Tool Monitoring and Evaluation Systems Strengthening ToolMICS Multiple Indicator Cluster Survey

MoH Ministry o Health

NGO Non-Governmental Organization

OSDV On-Site Data Verication

PBF Perormance -Based Funding

PEPFAR Presidents Emergency Plan For AIDS Relie

PF Perormance Framework

PMI Presidents Malaria Initiative

PMTCT Prevention o Mother to Child Transmission

PO Program Ocer

PR Principal Recipient

PU/DR Progress Update/Disbursement Request

SDA Service Delivery AreaSR Sub-Recipient

TRP Technical Review Panel

TWG Technical Working Group

UNAIDS Joint United Nations Programme on HIV/AIDS

UNDP United Nations Development Programme

WHO World Health Organization

UNICEF United Nations Childrens Fund


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MODULE 3 WRITING AN M&E PLAN M&E MANUAL 03/08 1

Why a Global Fund M&E manual?

The Global Fund was created to increase resources to ght three

diseases AIDS, Tuberculosis and Malaria and to direct those

resources to areas o greatest need. As a partnership between

governments, civil society, the private sector and aected

communities, the Global Fund represents an innovative approach to

international health nancing.

Perormance-Based Funding is one o the core principles o The

Global Fund that is integrated into every phase o the ull lie cycle

o a grant. It provides a platorm or the vast majority o grants to

demonstrate that they can convert nancing into results, enabling

urther unds to be committed to successul programs reaching people

in urgent need. The ocus on perormance by linking ongoing disbursements

to the achievement o clear and measurable programmatic results

requires sound measurement systems. Monitoring and Evaluation

M&E is thereore an important and integral part o grant

management.

This manual is intended to help those involved in the negotiation

and management o The Global Fund Grants to better understand the

processes involved in M&E relevant to Global Fund. By clearly dening

M&E requirements and processes, this manual also contributes to

setting standards and ensuring consistency in M&E practice among

the dierent partners in grant management.

What are its contents and who is it or?

This manual provides a comprehensive set o guidelines on M&E

standards and practice throughout the lie cycle o Global Fund grants.

It is or those working at the country level as well as Global Fund

sta. Users may, thereore, include Global Fund Principal Recipients,

Sub Recipients, Country partners, Fund Portolio Managers, Program

Ocers, Local Fund Agents, and consultants planning to provide

technical support in M&E at country level. Some elements o these

guidelines may not apply to each country-specic situation. In these

cases, consultation with The Global Fund is recommended.

The manual has ve modules that present the cornerstones o M&E

in Global Fund grants:

1 Perormance-Based Funding and M&E in Practice: Principles andrequirements

2 Completing the Perormance Framework template

3 Developing an M&E plan, and

4 Carrying out an M&E sel assessment.

5 An overview o PR assessment and data verication

Each module was written as a stand-alone document tailored to the

specic needs o its users. At the beginning, the intended audience is

identied and diagrams are used throughout to clariy concepts and

procedures. A list o acronyms and abbreviations is also provided.

The M&E manual can be complemented by a number o other M&E

documents and guidelines that have been published by The Global

Fund in collaboration with key partners. These are reerred to by

individual modules as appropriate.

Monitoring and Evaluation Manual


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2 M&E MANUAL 03/08 MODULE 3 WRITING AN M&E PLAN

Who this module is or

This module is written primarily or PRs, SRs, CCMs and other country partners. I t may also be useul

or LFAs and The Global Fund sta.

What it covers

The elements o the M&E Plan submitted to the Global Fund or grant signature both required

and desirable; also the relationship o that plan to the M&E system and the dierence between

national and grant-specic M&E Plans.

How it will support your program

This module is intended to help you develop a comprehensive M&E Plan or strengthen an existing one.

A strong M&E Plan should ensure that your M&E system is properly set up or a Global Fund grant

and, i relevant, your overall national program. A good plan will also complement your Perormance

Framework by providing a solid basis o inormation and so meet the main M&E requirements o the

Global Fund. Whenever easible, your M&E Plan needs to be ready beore grant signature.

Documents you may need at this stage

n The M&E Toolkit

n Your national strategy or disease control

n Your M&E Plan, i available

n The M&E Systems Strengthening Tool report and costed action plan, i available

n Your drat or agreed Perormance Frameworks

Developing an M&E plan

CONTENTS

General principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Submission o an M&E Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Minimum requirements and desirablecontent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Minimum requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Desirable elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Additional guidance available online. . . . . . . . . . . . . . . . . . . . . . 7

For other Global Fund documents on M&E please see the Monitoring & Evaluation area o the GF website:

www.theglobalund.org/en/perormance/monitoring_evaluation


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General principles

Monitoring and Evaluation M&E is a key component o Perormance-Based

Funding PBF. Through M&E, program results such as outputs, outcomes

and impact can be measured to provide a basis or accountability and

inormed decision-making at both program and policy level.

Each Global Fund grant agreement includes the Perormance

Framework. It is a document through which the Pincipal Recipient PR

and the Global Fund agree on the indicators to be used and the targets

to be achieved in order to demonstrate perormance and, consequently,

ensure continued unding.

Complementing the Perormance Framework with more detailed

inormation, the M&E Plan is an essential document which describes the

recipient countrys national M&E System. It is one o the requirements

prior to grant signing. See Figure 1.

Submission o an M&E Plan

The Global Fund requires an M&E Plan at the time o grant signature.

In most cases, the Principal Recipient PR is required to submit onlythe national M&E Plan specic to a disease or or a combination o the

three diseases, drawn up or monitoring the national strategy to which

the Global Fund grant contributes.

However, in the ollowing situations this may not be easible:

1 the grant is multi-country in this case, a specic regional M&E Plan

needs to be developed, aligned with the national M&E Plans o all

the countries concerned;

2 the national M&E Plan is not suciently detailed or Global Fund

requirements or does not cover the ull scope o the proposal in

this case, the PR should prepare an annex to the national M&E Plan to

provide the missing inormation or develop a separate document that

is consistent with the national M&E Plan. Whenever relevant the Global

Fund and the PR will agree on a timeline to produce and updated

version o the national M&E plan that ully covers the scope o the

naional program/GF supported activities;

3 the country does not have a national M&E Plan and the process o

WHAT IS THE DIFFERENCE BETWEEN THE M&E PLANAND THE PERFORMANCE FRAMEWORK?

An M&E plan is typically a document developed in consultation

with all major stakeholders and describes how the national or

Global Fund grant-specic M&E system works and the costed

actions needed to strengthen it over a set period o time.

The Perormance Framework is a legally-binding document

attached to the grant agreement. It mainly ocuses on a subset

o indicators rom the M&E plan which are used to measure the

programs perormance and consequently inorm disbursement

decisions. For more detail on the Perormance Framework, see

Module 2.

Ouput (main product)Strategic information

Input: data and informationfrom surveys, research, HIS, program monitoring etc

Outcome (desired effect)

Evidence informed decision making

Impact (desired long-term effect)

Reduced morbidity and mortality

Other processes & systems(university, media etc)

Other outputs(trained decision-makers etc)

Other factors(successful program implementation,

vaccines etc)

ONE National M&E System

M&E Plan*

to describe and strengthen

aka, or used with, M&E Framework,M&E Operational Plan, M&E Road Map*

FIGURE 1: THE M&E PLAN AND THE NATIONAL M&E SYSTEM


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developing one will take longer than the grant signature negotiation

period. In this case, a provisional document can be drawn up and

updated or replaced once the national M&E Plan is developed. The

Global Fund can oer tools and resources to support this process.

Minimum requirements and desirable content

The M&E plan should cover the entire lie span o the grant or at least

the rst two years. Where there are multiple grants or the same disease

in a particular country or region, a single M&E Plan should be used.

Outlined below are elements that are either required or desirable

in a national or grant-specic M&E Plan submitted to the Global Fund.

The ormat and structure o the Plan are totally discretionary. The PR

only needs to ensure that the required and, i possible, the desirable

inormation is included in the documents submitted.

Minimum requirements

M&E Framework

For each indicator included in the M&E plan, the ollowing inormation

should be provided:

n indicator name and denition ideally a standard indicator

denition

n baseline values with dates and relevant source o data eg 2006

Report rom Ministry o Health DH 2007

n targets set according to requency o measurement

n data collection method or the indicator eg health inormation

system HIS, program monitoring, sentinel surveillance, population-

based surveys or acility-based surveys, mortality registration/

community registers

n requency o data collection eg monthly, quarterly or annual

n person/agency responsible or data collection and reporting i

agency, please speciy relevant unit

Please remember to cover all the indicators listed in the Perormance

Framework or the same grant.

Data collection

The M&E Plan should include inormation on how the country or PR

will make sure that the data or each indicator will be collected in a

timely manner. This should include:

n a description o each data source to be used

n who is responsible or collecting the data

n when data collection activities will be carried out.

You might have a table with entries that look something like theexamples in Figure 2, supplemented elsewhere in your M&E Plan by

descriptions o data sources such as the examples given.

DATA SOURCE INDICATORREFERENCE

TIME PERIOD COVERED FREQUENCY OFCOLLECTION

INSTITUTIONALRESPONSIBILITY

Demographic andHealth Survey +DHS+

2,9,10,11 Time period in whichthe surveywas under taken

Every 5 years Ministry o Health incooperationwithBureau oStatistics

Quarterly Service

Coverage ReportQSCR

3,4,19,20 3 calendar months preceding

quarter

Quarterly Ministry o Health in

cooperation with districtauthorities

Multiple IndicatorCluster Survey MICS

5,6, 23.24 Time period in which surveywas undertaken

Every 5 years Ministry o Health incooperation with UNICEF

TB registers 21, 22 1 calendar month Monthly Ministry o Health

Multiple Indicator Cluster Survey MICSThis survey will provide data or key indicatorsassessingtheoutcomeandimpactointerventions.

TB RegisterWithin the MOH, the nationalTB programme keeps track o key data related toTB detection and treatment through a paper based and an electronic register.

FIGURE 2: EXAMPLE ENTRIES IN THE DATA COLLECTION SECTION, WITH EXAMPLE DATASOURCE DESCRIPTIONS


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2008 2009 2010 2011 2012

ACTION PLAN ACTIVITY 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 RESPONSIBLE

1.1 Data quality assurance and verication system

1.1.1 Establish data audit and verication systems or MOHSW x MOHSW

1.1.2 Establish data audit and verication systems or NAC x NAC

1.1.3 Conduct data audit and verication x x x x x x x x x x x x x x x NAC/MOHSW

1.2 ANC HIV Sentinel Surveillance & Estimates Workshops1.2.1 Undertake Sentinel Surveillance x x x x MOHSW

1.2.2 Publish the results o the Sentinel Surveillance survey x x MOHSW

1.3 AIDS annual repor t

1.3.1 Develop ormat x NAC

1.3.2 Produce drat report x NAC

1.3.3 Stakeholder validation meeting x NAC

1.3.4 Submit to Cabinet or approval x NAC

1.3.5 Disseminate x x x x x x x x x x x x x x NAC

COST (US$) FUNDING

ACTIVITY 2008 2009 2010 2011 2012 2013 Total Committed Funding gap

2 Data collection

Sentinel Surveillance survey 0 38,500 0 38,500 0 0 77,000 0 77,000

Demographic and health survey DHS+ 0 0 1,850,000 0 0 0 1,850,000 0 1,850,000

3 Inormation products

District quarterly service coverage reports 0 15,400 15,400 18,500 18,500 4,000 71,800 0 71,800

National quarterly service coverage reports 7,700 15,400 15,400 18,500 18,500 4,000 79,500 0 79,5004 Capacity building

Training o District Data Ocers 9,250 9,250 9,250 9,250 9,250 9,250 55,500 18,500 37,000

5 Data quality assurance

M&E Unit salaries 323,000 354,000 400,000 446,000 492,000 538,000 2,553,000 2,553,000 0

FIGURE 3: EXAMPLE ENTRIES IN THE ACTION PLAN SECTION

FIGURE 4: EXAMPLE ENTRIES IN THE BUDGET SECTION


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Inormation products

This section will include inormation on how the data collected and

analyzed will be made available to stakeholders and the general

public. It may include periodic reports, websites and stakeholders

meetings.

Data quality assurance

This section should describe the system that ensures that the collecteddata is veried and quality assured.

Within the rst year o implementation o this plan, the

essential M&E sta will be provided with the ollowing set o

competencies:

1 knowledge o the national M&E plan

2 skills in using data collection tools

3 knowledge o basic M&E concepts

4 advanced skills in Excel

5 basic skills in data analysis

6 knowledge o data quality concepts and skills in conductingdata quality assessment.

Action plan

An action plan agreed by relevant stakeholders should include

inormation on specic outputs expected and activities that will be

carried out during the M&E Plan lie span or shorter, with details

including the responsible unit, budget and timing. This section can be

developed with the support o the M&E System Strengthening Tool

and should be considered a living document, constantly monitored

and reviewed and updated annually. The entries could look similar tothe examples shown in Figure 3.

M&E Budget

This section should detail the budget allocated to M&E and the

identied sources o unding as well as gaps see Figure 4. A

recommended ve to ten percent o the grant budget can be used or

M&E systems strengthening.

The amount assigned to M&E rom the Global Fund grant should

appear as a separate item in the Perormance Framework.

Examples o M&E cost categories include:

n routine HIS strengthening eg human resources at central and other

levels, training o sta on M&E [at all levels], reproduction o datacollection

n surveys and support to surveys

n mortality registration/community register

n operational research, and

n M&E technical assistance.

Desirable elements

Evaluation and research

This section should describe the list o operational research, evaluationand other type o studies that complement the inormation collected

through the indicators and will periodically evaluate the program and

M&E system itsel.

Capacity building

This section should describe the capacity present at the time o

developing the plan, identiy the gaps, and illustrate the strategy

adopted to improve the M&E capacity over the plans liespan. See

Figure 5.


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ADDITIONAL GUIDANCE AVAILABLE ONLINE

The ollowing sources provide useul guidance on M&E and health

system strengthening.

Tuberculosis

WHO TB website: www.who.int/tbin the TB Publications area: Advocacy, communication and

social mobilization or TB control: a guide to developing

knowledge, attitude and practice surveys WHO 2008,

among others.

Also Stop TB Planning Frameworks, currently available at

www.who.int/tb/dots/planningrameworks

Malaria

Roll Back Malaria website: http://rbm.who.int/wmr2005

In the Publications area: World Malaria Report 2005In the Working Groups/M&E area: Guidelines or Core

Population Coverage Indicators or RMB

HIV/TB

Health Library or Disasters: www.helid.desastres

In the HIV area: TB/HIV: A Clinical Guide WHO 1996

HIV/AIDS

UNAIDS website: www.unaids.org

Family Health International website: www.hi.orgMEASURE website: www.cpc.unc.edu/measure

USG website: www.globalHIVevaluation.org

The Global Fund M&E Toolkit also gives basic guidance on M&E

principles and use o standard indicators see the inside back cover

o this booklet or ull details.

Within the rst year o implementation o this plan, the

essential M&E sta will be provided with the ollowing set o

competencies:

1 knowledge o the national M&E plan

2 skills in using data collection tools

3 knowledge o basic M&E concepts

4 advanced skills in Excel

5 basic skills in data analysis6 knowledge o data quality concepts and skills in

conducting data quality assessment.

FIGURE 5: DESCRIPTION OF AN EXAMPLE CAPACITY BUILDINGSTRATEGY

Coordination

This section should describe the agencies and units responsible or

running the M&E system and implementing the M&E plan. The relevantM&E units should be mentioned at both national and, i they exist, sub-

national level. A multi-sector M&E Technical Working Group should be

included.

Data management

This section should include inormation on how the data is received,

stored and accessed by relevant actors. It should describe the data fow

system rom sources to nal users and any electronic database used to

store and analyze the data collected. I it is online, you should give the

ull address URL where it can be ound.


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The Global Fund to Fight AIDS, Tuberculosis and Malaria

Chemin de Blandonnet 8, 1214 Vernier, Geneva, Switzerland www.theglobalfund.org