This file is part of the online Capacity Development Toolkit to Strengthen National Entities to
Implement National Disease Responses for HIV and AIDS, Tuberculosis and Malaria.
January 2012.
Link: www.globalfundpartnership.org
Monitoring & Evaluation
Capacities
The monitoring and evaluation capacity area consists of the following detailed capacities to be
assessed and developed, which are sub-divided into components.
Monitoring & Evaluation
Capacities
M&E coordination
Scope: M&E management
arrangements; effective M&E
stakeholder and technical working
groups; effective oversight and review of
sub-reporting entities
Indicators
Scope: clear and measurable indicators
with baselines, targets, measurement
methods, and data sources; quality and
comprehensiveness of indicators
M&E work plan
Scope: effective M&E plan with clearly
defined activities, timelines, financial
resource estimates, and responsibilities;
processes to update the work plan
M&E budget
Scope: comprehensive, adequate, and
feasible budget; resource sources and
gaps
Components

Planning

Managing

Monitoring

Forecasting
Maintain and use adequate M&E
accountability and oversight mechanisms

Accountability & Oversight
Comprehensive, clear and measurable
indicators with baselines, targets, and
measurement methods

Indicators
Up-to-date work plan with activities,
timelines, responsibilities, resource
estimates, and processes to update

Work plans
Comprehensive budget with resource
sources and gaps

Budgeting
Effectively plan, manage, monitor, and
forecast M&E operations with clear
structures, roles, and responsibilities
1
Monitoring & Evaluation
Capacities
M&E tools and guidelines
Scope: M&E guidelines and standard
operating procedures; adequate
procedures and responsibilities for
collecting and aggregating data at subnational levels; registers, data collection
and reporting forms from service delivery
point to central level; tools and
guidelines for data quality assurance,
surveys, and program evaluation
M&E human resources
Scope: adequate M&E human resource
staffing and skill levels; adequate
structures, roles and responsibilities for
data collection, monitoring, and
reporting; plans for addressing human
resource gaps
Routine data collection, analysis and
reporting
Scope: effective data collection, analysis
and reporting processes, including data
repository, backup system, data
compilation, processing and analysis;
adequate report flows from service
delivery point to central level; ability to
produce timely and accurate reports;
effective data analysis systems and
responsibilities
Data quality assurance and M&E
related supportive supervision
Scope: feasible and comprehensive data
quality assurance strategy; effective data
quality assurance procedures; timely
data quality assurance reviews; data
quality checks at sub-national level
Evaluation, operational research,
Components
Follow Global Fund M&E requirements as
well as organisation M&E policies and
procedures

Policies & Procedures
Recruit, maintain, and develop
knowledge of staff to implement M&E
operations (National, Regional, &
District/Local)

Recruit M&E Staff
Collect and record programmatic data
with appropriate quality control
measures:



Access existing data
sources/bases for sex, age and
geographical disaggregated data

Maintain & Develop M&E
Staff

Programmatic Disaggregated
Behavioural & Health Data
Collection
Data Quality Control
When necessary, through
sentinel surveillance, qualitative
studies and operational research
Support the preparation of regular and
reliable programmatic reports

Effective data quality assurance strategy,
procedures, reviews, and verification
processes

Data Quality Assurance
Schedules for evaluations, research,
surveys, studies, and reviews

Evaluation Scheduling
2
Programmatic Behavioural &
Health Data Analysis & Reporting
Monitoring & Evaluation
Capacities
surveys, surveillance, special studies
Scope: schedules for program
evaluations, operational research and
program reviews; schedules for surveys
and studies
Evaluation
Scope: adequate systems for
independent evaluations; ability to
review and respond to evaluation
recommendations
Information products, dissemination
and use
Scope: clear information products and
dissemination methods; M&E results
inform management decisions; systems
to integrate evaluation results into
planning
Alignment with and contribution to
national M&E system
Scope: M&E plan linked to national
strategy; M&E plans and operations
follow, use, or integrate with national
M&E systems
Components
Make data available for the purpose of
evaluations and other studies

Effective policies and systems for timely
independent evaluations, and
mechanisms for acting on
recommendations

Manage knowledge to make it accessible,
so it can be used in the design and
implementation of programs

Program and grant-level plans and
operations use national M&E guidelines
and systems
Data & Information Sharing
Evaluation Conduct & Followup
Knowledge Capture &
Organisation

Knowledge Sharing

M&E Integration
Indicators
For the each of the capacity components in Monitoring & Evaluation, the following table
outlines points for consideration and example indicators. This table can be used as an initial
confirmation or checklist when conducting a capacity assessment or defining a capacity
development plan.
3
Indicators are classified into four different categories: value for money (including sub
categories of effectiveness, efficiency and additionality), risk mitigation, organisational
management, and sustainability1.
Capacity
Components
Points to Consider
Indicator Type
Example Indicators
Capacity: Effectively plan, manage, monitor, and forecast M&E operations with clear structures, roles, and responsibilities
Planning



Currency and use of
annual M&E plans
Value for Money
Effectiveness


Coordination and
integration of national M&E
planning with Global Fund
M&E planning

Efficiency

Additionality

Availability and currency of
M&E plans
Frequency of M&E plan
reviews and updates
Level of integration of M&E
plans with budgets and management
plans
Staff and effort required per
year in M&E planning
Level of integration of Global
Fund M&E planning with national M&E
planning processes

M&E plans include risk definition, analysis, and tracking

Schedule of partner reviews of M&E plans
Organisational
Management

Availability of M&E planning guidelines and procedures
Sustainability

Schedule of M&E planning learning events
Risk Mitigation

Number of external resources or amount of salary
supplements required to conduct M&E planning
These categories cover the scope of capacity measurement under the headings of stability (organisational
management and risk mitigation), performance (effectiveness and efficiency), and adaptability (sustainability) as defined
by UNDP in: Measuring Capacity, UNDP, July 2010.
4
Capacity
Components
Managing
Points to Consider


Clarity in definition
and understanding of M&E
team roles and
responsibilities
Indicator Type
Example Indicators
Value for Money
Effectiveness


Timeliness of M&E reports
Improvements in timeliness of
M&E reporting

How M&E data
analysis is used in making
management decisions
M&E performance metrics in
place


Efficiency
Improvements in M&E
performance metrics
M&E team ToRs defined and
clearly understood

M&E management to staff
ratios


Additionality




Risk Mitigation


Organisational
Management
Level of integration of Global
Fund M&E management with national
M&E management processes
Percentage of M&E activities
performed through government and
other donor funding
M&E risks identified, analysed, prioritised, tracked, and
mitigation plans in place
Frequency of audit and external reviews of M&E systems
Availability and transparency of M&E data for
management and partner review
Availability and use of M&E policies and procedures

Frequency of updates of M&E policies and procedures

5
Number of staff and effort per
year required for M&E functions


Sustainability
Degree of use of computerised
systems for M&E functions
Schedule of updates for M&E policies and procedures
guidelines
Number of external resources or amount of salary
supplements required to support M&E management

Schedule of M&E management team learning

Percentage of staff with M&E certification

Turnover rates for M&E management
Capacity
Components
Monitoring
Points to Consider




M&E results and
performance metrics
Indicator Type
Example Indicators
Value for Money
Effectiveness


Integration of
programmatic reporting with
budget and management
reporting

M&E reports and
analysis available for
management meetings

Use, timeliness, and
accuracy of information used
for monitoring
Efficiency

Additionality



Risk Mitigation

Organisational
Management



Sustainability

Forecasting

Use of historical
data analysis and forecasting
data in M&E planning
Schedule of M&E monitoring
reviews
Value for Money
Currency and quality of M&E
information
Improvements in timeliness of
M&E reporting
A national set of indicators
with targets and annual reporting to
inform annual health sector reviews
and other planning cycles
Time and effort to conduct
M&E monitoring activities
Level of integration of Global
Fund M&E monitoring with national
M&E monitoring processes
Percentage of monitoring
activities performed through
government and other donor funding
Schedule of review of monitoring activities and
procedures
Clear monitoring roles and responsibilities
Monitoring policies and procedures
Schedule of M&E monitoring learning events
Number of external resources or amount of salary
supplements required to conduct M&E monitoring
Effectiveness

Availability of M&E data
analysis

Availability of M&E forecast
data
Efficiency

Time and effort required in
M&E forecasting

Availability of forecasting
systems
Additionality


Risk Mitigation
6

Level of integration of Global
Fund M&E forecasting with national
procedures and systems
Schedule of partner reviews of M&E forecasting and
analysis methods
Capacity
Components
Points to Consider
Indicator Type
Example Indicators
Organisational
Management


Clear forecasting roles and responsibilities
Availability of M&E forecasting guidelines and
procedures

Sustainability
Schedule of M&E analysis and forecasting learning
events

Number of external resources or amount of salary
supplements required to conduct M&E analysis and forecasting
Capacity: Maintain and use adequate M&E accountability and oversight mechanisms
Accountability &
Oversight





Defined M&E
accountability structures
Value for Money
Effectiveness
Evidence of
enforcement


Capabilities and
schedules of audit units to
oversee

Effectiveness and
timeliness of management
responses to M&E
evaluations and audits


Level of
coordination and
communication with
oversight bodies
Efficiency


Additionality


Risk Mitigation

Organisational
Management

Sustainability



Clear M&E management
accountability structures from National
to Regional to District/Local levels
Number of enforcement
actions per year
Number of partners and
stakeholders involved in M&E
oversight
Percentage completion of
M&E audits and reviews vs. plan
A health systems performance
assessment carried out within the past
five years, with a strong national
contribution
Number of M&E oversight
reviews per year
Number of audit staff and
effort per year to provide M&E
oversight
Percentage of oversight
reviews conducted that are integrated
with other oversight objectives (other
donors, internal audit, etc.)
Schedule of external reviews of accountability and
oversight mechanisms
Incidences and scale of noncompliance
Documented audit and accountability policies and
guidelines
Schedule of accountability reviews and updates
Turnover rates for audit staff
Capacity: Comprehensive, clear and measurable indicators with baselines, targets, and measurement methods
7
Capacity
Components
Indicators
Points to Consider


Number and quality
of M&E indicators
Indicator Type
Example Indicators
Value for Money
Effectiveness


Indicator verification
and review processes


Risk Mitigation

Organisational
Management

Sustainability

Efficiency

Additionality

Quality and
comprehensiveness of indicators
Completeness in defining
baselines and targets
Measurement methods
identified
Time and effort required to
define and measure indicators
Degree of use of national
indicators and systems in tracking
required Global Fund indicators
Schedule of external reviews of indicator frameworks
Policies and guidelines for the identification of
appropriate indicators
Schedule of reviews of indicator policies and guidelines
Capacity: Up-to-date work plan with activities, timelines, responsibilities, resource estimates, and processes to update
Work plans



Level of detail of
work plans
Value for Money
Effectiveness

Assignment of
financial and human
resources
Basis for estimates


Efficiency

Additionality

Clearly defined activities and
targeted results to achieve
Level of integration of M&E
plans with budgets and management
plans
Time and effort required to
develop and review M&E work plans
Level of integration of Global
Fund M&E work plans with national
M&E work plans
Risk Mitigation

Schedule of partner reviews of M&E work plans
Organisational
Management

Availability of M&E work plan policies and guidelines
Sustainability

Schedule of learning for M&E work plan development
Capacity: Comprehensive budget with resource sources and gaps
Budgeting


Integration of M&E
plans with budgets and
management plans
Value for Money
Effectiveness


Comprehensiveness
and adequacy of the M&E
budget
Efficiency
8

Level of integration of M&E
plans with budgets and management
plans
Currency of budget
information
Time and effort required to
develop and maintain M&E budgets
Capacity
Components
Points to Consider
Indicator Type
Example Indicators
Additionality


Level of integration of M&E
budget for Global Fund with national
M&E budget
Risk Mitigation

Schedule of internal and external budget reviews
Organisational
Management

Availability of M&E budget policies and guidelines
Sustainability

Schedule of M&E budget learning

Number of external resources or amount of salary
supplements required to conduct budgeting
Capacity: Follow Global Fund M&E requirements as well as organisation M&E policies and procedures
Policies &
Procedures


Currency and use of
M&E policies and procedures
Value for Money
M&E policies
address decentralised
operations and
accountabilities


Risk Mitigation

Organisational
Management

Sustainability


Effectiveness

Efficiency

Additionality

Currency and
comprehensiveness of M&E policies
and procedures
Time and effort required to
maintain M&E policies and procedures
Level of integration of Global
Fund M&E policies and procedures with
national procedures and systems
Schedule of partner reviews of M&E policies and
procedures
Consistency of M&E policies and procedures with
international standards
Availability of processes to maintain M&E policies,
guidelines and procedures
Schedule of M&E policies and procedures learning events
Number of external resources or amount of salary
supplements required to manage M&E policies and procedures
Capacity: Recruit, maintain, and develop knowledge of staff to implement M&E operations (National, Regional, & District/Local)
Recruit M&E
Staff




Clarity and simplicity
of recruitment procedures
Value for Money
Effectiveness


Recruitment
timelines and bottlenecks

Scope of
recruitment searches
Efficiency

Additionality

Staff contracts and
incentives to retain
9
Percentage turnover per year
Percentage or number of
vacant posts
Timing from recruitment
posting to staffed positions
Average time and effort
required to recruit one staff member,
by level
Percentage or financial
amount of staff recruited through the
grant
Capacity
Components
Points to Consider
Indicator Type
Example Indicators

Risk Mitigation

Organisational
Management
Sustainability
Maintain &
Develop M&E
Staff




Experience levels of
M&E staff

Availability of alternative staffing solutions

Availability of recruitment plans

Availability of recruitment policies and procedures

Schedule of recruitment policies and procedures reviews
Value for Money
Effectiveness


Experience in M&E
of funded programs similar
to the Global Fund

Staff development
approaches

Turnover
percentages

Staff satisfaction
levels

Schedule of external reviews of recruitment policies and
procedures
Efficiency

Additionality

Percentage turnover per year
Percentage of staff who are on
schedule with their individual Staff
Development Plan
Percentage of staff with
management certification
Financial team ToRs defined
and clearly understood
Use of e-learning courses
Percentage or financial
amount of staff funded through the
grant
Risk Mitigation

Plans in place for tracking and maintaining staff
Organisational
Management

Availability of mentoring programmes

Availability of staff development plans

Schedule of staff development

Schedule of peer-to-peer and external learning sessions

Staff satisfaction scores
Sustainability
Capacity: Collect and record programmatic data with appropriate quality control measures: (1) Access existing data sources/bases for sex,
age and geographical disaggregated data, and (2) When necessary, through sentinel surveillance, qualitative studies and operational
research
10
Capacity
Components
Programmatic
Behavioural &
Health Data
Collection
Points to Consider




Existing sources of
data: DHS, sentinel
surveillance
Indicator Type
Example Indicators
Value for Money
Effectiveness


Data capture
systems and data flows
Data collection
through qualitative studies,
operational research

Efficiency and
timeliness of data collection




Risk Mitigation

Organisational
Management

Sustainability


Data Quality
Control


Accuracy and
completeness of data
capture
Value for Money
Efficiency

Additionality

Availability of national
database with public and private sector
health facilities and geocoding,
updated within the past three years
Availability of national
database with health workers by
district and main cadres updated within
the past two years
Level of use of data collection
systems for studies and evaluations
Behavioural, KAP, operational
research reports
Staff and effort required per
year in data collection
Percentage of data collection
activities funded through the grant
Availability of data collection policies and procedures
Schedule and availability of learning resources for data
collection and
Number of external resources or amount of salary
supplements required to support data collection
Effectiveness


11
Comprehensiveness and
completeness of health data capture:
prevalence., incidence,, qualitative
social and behavioural data
disaggregated by age and gender
Percentage of data collection processes reviewed by or
including audit or partner working groups

Data quality control
processes
Quality and timeliness of
health data
Measures of data quality
Percentage of data quality
control measures at point of data
capture
Data quality assessments
carried out and published within the
past three years, using internationally
agreed quality criteria such as the Data
Quality Assessment Framework
(DQAF)
Capacity
Components
Points to Consider

Indicator Type
Example Indicators
Risk Mitigation

Organisational
Management

Sustainability


Efficiency

Additionality

Time and effort required for
data quality control activities
Level of integration of Global
Fund data quality control activities with
national procedures and systems
Schedule of partner reviews of data quality control
methods
Availability of data quality control policies and
procedures
Schedule of data quality control learning
Level of external support required for data quality control
activities
Capacity: Support the preparation of regular and reliable programmatic reports
Programmatic
Behavioural &
Health Data
Analysis &
Reporting




Analysis processes
and systems
Value for Money
Effectiveness


Integration and
relevance of analysis in
management reports
Reporting systems
and dissemination

Reporting schedules
and timeliness

Efficiency


Additionality



Risk Mitigation
Organisational
Management
12



Timeliness and accuracy of
health data reports
Level of integration of health
data into management and forecasting
reports and processes
Availability of historical
analysis and projections of health data
Percentage of districts that
submit timely, complete, accurate
reports to national level
Percentage of
computerisation in health data
reporting and analysis
Number of staff and effort per
year required for data analysis and
reporting
Percentage of health data
analysis and reporting activities funded
through the grant
Level of integration of Global
Fund analysis and reporting with
national systems and procedures
Number and frequency of data analysis quality reviews
Number of partner and stakeholder reviews of analysis
and reporting systems
Availability and currency of data analysis and reporting
policies and procedures
Capacity
Components
Points to Consider
Indicator Type
Example Indicators
Sustainability

Number of external resources or amount of salary
supplements required to support data analysis and reporting
Capacity: Effective data quality assurance strategy, procedures, reviews, and verification processes
Data Quality
Assurance

Regularity and
comprehensiveness of data
quality verification exercises

Value for Money
Effectiveness


Risk Mitigation


Organisational
Management

Sustainability


Efficiency

Additionality

Measures of data quality
Frequency and number of data
verification exercises
Time and effort required for
data quality assurance activities
Level of integration of Global
Fund data quality assurance activities
with national procedures and systems
Schedule of partner reviews of data quality assurance
methods
Level of partner participation in data quality review
exercises
Availability of data quality assurance policies and
procedures
Schedule of data quality assurance learning
Level of external support required for data quality
assurance activities
Capacity: Schedules for evaluations, research, surveys, studies, and reviews
Evaluation
Scheduling


Schedule of
evaluations
Value for Money
Effectiveness

Efficiency

Additionality

Integrated schedule
of evaluations, operational
research, and other studies


Risk Mitigation

Organisational
Management

Sustainability

Time and effort required for
evaluation planning
Percentage of evaluation
planning activities funded through the
grant
Level of integration of Global
Fund evaluation planning with national
evaluation schedules
Schedule of partner reviews and participation in
evaluation scheduling
Availability of evaluation scheduling policies and
procedures
Number of external resources or amount of salary
supplements required to support evaluation scheduling
Capacity: Make data available for the purpose of evaluations and other studies
13
Percentage of evaluations
completed per plan
Capacity
Components
Points to Consider
Data &
Information
Sharing

Availability of data
and information for
evaluations and for external
use

Indicator Type
Example Indicators
Value for Money
Effectiveness


Risk Mitigation

Organisational
Management

Sustainability

Efficiency

Additionality

Percentage of evaluations
available publicly
Availability of data for
evaluations external analysis
Time and effort required for
making data available for evaluations
and external studies
Level of integration of Global
Fund data with national systems for
evaluation use
Schedule of partner reviews of evaluation data sharing
plans and systems
Availability of policies and procedures for making data
available for evaluations and studies
Schedule of learning for data sharing systems and
procedures
Capacity: Effective policies and systems for timely independent evaluations, and mechanisms for acting on recommendations
Evaluation
Conduct &
Follow-up



Comprehensiveness
of evaluations
Value for Money
Effectiveness


Evidence of
management response and
action to evaluation
recommendations

Risk Mitigation
Efficiency

Additionality


Percentage of scheduled
evaluations conducted
Percentage of evaluation
recommendations acted upon
Quality of evaluations
Time and effort required to
conduct evaluations
Integration of evaluations
required by Global Fund with
scheduled national M&E evaluations
Degree of external review of evaluation conducts and
quality

Availability and scheduling of audit reviews of
evaluations
Organisational
Management

Availability of evaluation policies and procedures
Sustainability

Schedule of evaluation learning
Capacity: Manage knowledge to make it accessible, so it can be used in the design and implementation of programs
14
Capacity
Components
Points to Consider
Knowledge
Capture &
Organisation

Use and level of
integration of knowledge
capture systems
Indicator Type
Example Indicators
Value for Money
Effectiveness


Efficiency

Additionality



Knowledge
Sharing

Internal and external
dissemination and use of
knowledge products
Risk Mitigation

Organisational
Management

Sustainability

Value for Money
Organisational
Management

Sustainability


Efficiency

Additionality

Level of integration of Global
Fund knowledge capture with national
systems
Number and distribution levels
of knowledge products
Level of internal and external
availability and use of knowledge
systems
Number of staff, effort and
costs per year required for knowledge
sharing and systems
Percentage of knowledge
sharing activities funded through the
grant
Level of integration of Global
Fund knowledge sharing with national
systems
Number of external audits and security reviews of
knowledge sharing systems
Availability of knowledge sharing policies and procedures
Number of external resources or amount of salary
supplements required to support knowledge sharing
Capacity: Program and grant-level plans and operations use national M&E guidelines and systems
15
Percentage of knowledge
capture activities funded through the
grant
Number of external resources or amount of salary
supplements required to support knowledge capture


Number of staff, effort and
costs per year required for knowledge
capture systems
Availability of knowledge capture policies and
procedures
Effectiveness
Risk Mitigation
Level of organisation and
structure of knowledge
Number of external audits and security reviews of
knowledge capture systems


Timeliness of knowledge
capture
Capacity
Components
M&E Integration
Points to Consider



Number of M&E
capture and dissemination
systems
Indicator Type
Example Indicators
Value for Money
Integration with
national M&E standards and
systems
Effectiveness

Efficiency

Additionality

Number and level of
integration of national M&E systems
Time and effort of staff and
costs to conduct M&E operations
Level of integration of Global
Fund M&E systems and requirements
with national systems
Risk Mitigation

Organisational
Management

Responsibilities for M&E integration and coordination

Partner working groups to coordinate M&E efforts

Sustainability
16
Schedule of external reviews of overall M&E system
integration
Number of external resources or amount of salary
supplements required to support national M&E integration