COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE by rem12077

VIEWS: 107 PAGES: 15

									Monitoring and Evaluation Manual   2
COMPLETING THE
PERFORMANCE
FRAMEWORK
TEMPLATE
MODULES IN THE                   ACRONYMS USED IN THIS MANUAL
MONITORING AND                   AIDS         Acquired Immunodeficiency Syndrome
EVALUATION MANUAL                ANC
                                 ART
                                              Antenatal Clinic
                                              Antiretroviral treatment
                                 BCC          Behavioral Change Communication
                                 CCM          Country Coordinating Mechanism
                                 CDC          Center for Disease Control
                                 CP           Conditions Precedent
1 Performance-Based Funding      DHS          Demographic and Health Survey
  and M&E in Practice            DQA          Data Quality Audit
                                 DTF          Dual Track Financing
                                 FPM          Fund Portfolio Manager
2 Completing the performance     GPR          Grant Performance Report
  framework template             GSC          Grant Score Card
                                 HIV          Human Immunodeficiency Virus
3 Developing an M&E plan         HMIS         Health Management Information System
                                 HMN          Health Metrics Network
                                 HSS          Health Systems Strengthening
4 Carrying out an                LFA          Local Fund Agent
  M&E self-assessment            M&ESS Tool   Monitoring and Evaluation Systems Strengthening Tool
                                 MICS         Multiple Indicator Cluster Survey
                                 MoH          Ministry of Health
5 An overview of PR assessment   NGO          Non-Governmental Organization
  and data verification          OSDV         On-Site Data Verification
                                 PBF          Performance-Based Funding
                                 PEPFAR       President’s Emergency Plan For AIDS Relief
                                 PF           Performance Framework
                                 PMI          President’s Malaria Initiative
                                 PMTCT        Prevention of Mother to Child Transmission
                                 PO           Program Officer
                                 PR           Principal Recipient
                                 PU/DR        Progress Update/Disbursement Request
                                 SDA          Service Delivery Area
                                 SR           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 Children’s Fund
Monitoring and Evaluation Manual

Why a Global Fund M&E manual?                                               What are its contents and who is it for?
The Global Fund was created to increase resources to fight three            This manual provides a comprehensive set of guidelines on M&E
diseases – AIDS, Tuberculosis and Malaria – and to direct those resources   standards and practice throughout the life cycle of Global Fund grants.
to areas of greatest need. As a partnership between governments, civil      It is for those working at the country level as well as Global Fund
society, the private sector and affected communities, the Global Fund       staff. Users may, therefore, include Global Fund Principal Recipients,
represents an innovative approach to international health financing.        Sub Recipients, Country partners, Fund Portfolio Managers, Program
   Performance-Based Funding is one of the core principles of The           Officers, Local Fund Agents, and consultants planning to provide
Global Fund that is integrated into every phase of the full life cycle      technical support in M&E at country level. Some elements of these
of a grant. It provides a platform for the vast majority of grants to       guidelines may not apply to each country-specific situation. In these
demonstrate that they can convert financing into results, enabling          cases, consultation with The Global Fund is recommended.
further funds to be committed to successful programs reaching                   The manual has five modules that present the cornerstones of M&E
people in urgent need.                                                      in Global Fund grants:
   The focus on performance by linking ongoing disbursements to the             1     Performance-Based Funding and M&E in Practice: Principles
achievement of clear and measurable programmatic results requires                     and requirements
sound measurement systems. Monitoring and Evaluation (M&E) is                   2     Completing the Performance Framework template
therefore an important and integral part of grant management.                   3     Developing an M&E plan, and
   This manual is intended to help those involved in the negotiation            4     Carrying out an M&E self assessment.
and management of The Global Fund Grants to better understand the               5     An overview of PR assessment and data verification
processes involved in M&E relevant to Global Fund. By clearly defining
M&E requirements and processes, this manual also contributes to                Each module was written as a stand-alone document tailored to the
setting standards and ensuring consistency in M&E practice among            specific needs of its users. At the beginning, the intended audience is
the different partners in grant management.                                 identified and diagrams are used throughout to clarify concepts and
                                                                            procedures. A list of acronyms and abbreviations is also provided.
                                                                               The M&E manual can be complemented by a number of other M&E
                                                                            documents and guidelines that have been published by The Global
                                                                            Fund in collaboration with key partners. These are referred to by
                                                                            individual modules as appropriate.




MODULE 2 COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE                                                                                                M&E MANUAL 03/08 1
Completing the Performance Framework template

                                                                                                                Who this module is for
 CONTENTS
                                                                                                                This module is written primarily for PRs, SRs, CCMs and other country partners. It may also be useful
                                                                                                                for LFAs and The Global Fund staff.
 What is the Performance Framework? . . . . . . . . . . . . . . . . 3
 When to complete your Performance                                                                              What it covers
 Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
                                                                                                                An overview of, and step-by-step guide to completing, a Performance Framework template for
 For Years 1 & 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
                                                                                                                the Global Fund. The Performance Framework is one of the three requirements for grant signature,
 For Years 3, 4 & 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
                                                                                                                forming part of the Grant Agreement.
 The Performance Framework template:
 step by step . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5               How it will support your program
 Complete the program details section. . . . . . . . . . . . . . . . . . . . . 5                                This module will help in setting the Performance Framework for a grant and in making performance
 Select your target disease. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5                  based funding a reality. It will assist you to choose the right set of indicators for the period covered
                                                                                                                by the grant and speed up the process of completing the documentation for grant signature and
 Section A: Periods covered and dates for disbursement
 requests and progress reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5                        program implementation in subsequent years. A well thought through Performance Framework
 Section B: Program goals, impact and outcome                                                                   will facilitate grant management and ease the process of reporting to the Global Fund.
 indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
 Section C: Program objectives, service delivery areas                                                          Documents you may need at this stage
 and indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8       n   Performance Framework template (for Years 1&2, 3&4, 4&5 or 3, 4, 5; RCC, DTF)
 Section D: Program budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11                        n   Previous/related Performance Frameworks for the same disease
                                                                                                                n   The M&E Toolkit
 Special scenarios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12                     n   Your national strategy for disease control
                                                                                                                n   Your M&E plan
                                                                                                                n   Your grant proposal
                                                                                                                n   Any Technical Review Panel clarifications and approvals
                                                                                                                For other Global Fund documents on M&E please see the Monitoring & Evaluation area of the GF website:
                                                                                                                www.theglobalfund.org/en/performance/monitoring_evaluation

2 M&E MANUAL 03/08                                                                                                                          MODULE 2 COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE
What is the Performance Framework?
An essential part of the Grant Agreement negotiations is the agreement
between the Principal Recipient (PR) and the Global Fund on results                  0                 21 months         24 months            36 months     48 months           60 months
to be achieved by the program over the grant term. The Performance
Framework (PF) is a statement of intended performance, to be reported
to the Global Fund through the life cycle of the grant, and forms the
basis for future disbursements to the PR.
   Being a legally binding document, any change to this document
amounts to a change in grant agreement and should be formalized in
                                                                                 Phase 1                                  Phase 2
an implementation letter issued by the Fund Portfolio Manager (FPM).          Grant signature                          Grant signature

                                                                                                          Draft                                PF 4             PF 5
                                                                                                                            PF 3         or
When to complete your Performance Framework                                      PF 1+2           or
                                                                                                          PF 3                                PF 4+5            PF n/a
The Performance Framework 1+ 2 for a new grant usually covers the                                         Draft
                                                                                                                          PF 3+4               PF n/a           PF 5
                                                                                                         PF 3+4
first two years of the grant (Phase 1) and it is a prerequisite for grant
signature. For the remaining period of the grant (Phase 2), depending
                                                                                                P H A S E          1                            P H A S E   2
on feasibility and the agreement between the FPM and the PR, either
annual frameworks or combined frameworks 3+4 or 4+5 can be
developed.                                                                  FIGURE 1: TIMEFRAME FOR COMPLETION OF PERFORMANCE FRAMEWORKS
The following schedule needs to be followed (see Figure 1):
n   Performance Framework 1+2 (Phase I) To be finalized prior to grant
    signature.
                                                                             WHAT IS THE DIFFERENCE BETWEEN THE
                                                                             PERFORMANCE FRAMEWORK AND THE M&E PLAN?
n   Performance Framework 3 or 3+4 (Phase 2) To be finalilzed
    prior to Phase 2 grant signature. You can choose to prepare one
                                                                             The Performance Framework is a legally-binding document
    Performance Framework for years 3, 4 and 5. A draft version with
                                                                             attached to the grant agreement. It mainly focuses on a subset
    intended targets for Phase 2 should be submitted at month 21,
                                                                             of indicators from the M&E plan which are used to measure the
    along with the request for continued funding. This draft forms the
                                                                             program’s performance and consequently inform disbursement
    basis of Global Fund decisions for the continuation of funding for
                                                                             decisions.
    the remaining period of the grant.
         Submission of a good draft at this stage speeds up the process      An M&E plan is typically a document developed in consultation with
    of Phase 2 grant signature and ensures prompt disbursements for          all major stakeholders that describes how the national (or Global
    Phase 2 activities.                                                      Fund grant-specific) M&E system works and the costed actions
                                                                             needed to strengthen it over a set period of time. For more detail
n   Performance Framework 4 or 4+5 To be finalized by month 36, and
                                                                             on the M&E Plan, see Module 3.
n   Performance Framework 5 To be finalized by month 48.

MODULE 2 COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE                                                                                                                   M&E MANUAL 03/08 3
                                For Years 1 and 2                                                                     DOCUMENTS                       PHASE 1               PHASE 2
                                The combined PF for Years 1 and 2 includes program goals and               Proposal                                       4                     4
                                objectives and an agreed list of indicators and targets (intended          TRP clarifications and approval                4                     4
                                program results) that the PR will be reporting on during the first two     Previous/related Performance                   4                     4
                                years of the grant. These indicators are mostly the output indicators      Frameworks                             current PF of prior   Phase 1 and related
                                                                                                                                                   rounds for same            grants
                                related to the services being delivered during Phase 1 of the grant. It                                                disease
                                is against these indicators that the performance of the grant will be      M&E Plan                                       4                     4
                                assessed and funding decisions will be made.                               M&ESystemStrengtheningToolreport               4                     4
                                   In addition, outcome and impact indicators for the entire program       LFA New or Repeat PR Assessment                4                     4
                                term that are to be reported over the longer term are also included.       report                                                         if change in PR

                                PF 1+2 also includes the reporting periods and information related to      LFA Phase 2 Assessment report                                        4
                                submission of progress updates and disbursement requests.                  LFAOn-SiteDataVerificationreport(s)            4                     4
                                                                                                                                                   grants in previous
                                   The first draft of the framework is established by the PR, and later                                          rounds/same disease
                                reviewed and finalized in consultation with the FPM and the M&E
                                                                                                           Amendments to Grant Agreement/           if applicable               4
                                team at the Global Fund. Figure 2 lists the documents reviewed by the      implementation letters (if any)
                                Global Fund during PF negotiations.                                        Grant Score Card                                                     4
                                   Unless the Global Fund and the PR agree otherwise, for example          Latest available results/GPR                   4                     4
                                because of the PR’s existing reporting system or common donor                                                      grants in previous current & grants in
                                                                                                                                                 rounds/same disease previousrounds/same
                                arrangements, the framework should contain intended program                                                                                 disease
                                results on a quarterly or biannual basis, for the first two years of the
                                                                                                           FIGURE 2: DOCUMENTS REVIEWED BY THE GLOBAL FUND
                                grant period.
                                                                                                           DURING PERFORMANCE FRAMEWORK NEGOTIATIONS

                                For Years 3, 4 and 5
                                The PF for Year 3 and Year 4 (or where appropriate for Years 3, 4 and 5)
                                is submitted as a part of the request for continued funding for Phase 2
                                of the grant and it includes indicators and targets (intended program
                                results) that will be reported on to the Global Fund during Phase 2. It
                                should include the same indicators as in Phase I, and additional ones,
                                relating to any new activities that may be initiated during Phase 2.
Note The programme goals,
                                The indicators related to activities that have been completed in the
objectives, indicators and
                                previous year should be dropped. The focus in Phase 2 should be on
targets included in the
                                coverage, outcome and impact measurement.
Performance Framework
                                    As in Phase 1, the targets in Phase 2 should be consistent with the
should be consistent with the
                                Board-approved proposal.
Board-approved proposal.


4 M&E MANUAL 03/08                                                                                MODULE 2 COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE
The Performance Framework template:                                                                                                                IMPACT INDICATORS
                                                                                                                                                                           Be consistent and clear
                                                                                                                                                   TB prevalence rate
step by step                                                                    GOAL Reduce morbidity and mortality due to tuberculosis            TB mortality rate
                                                                                                                                                                           When preparing your PF,
                                                                                to achieve the Millennium Development Goals
Complete the program details section                                                                                                              OUTCOME INDICATORS
                                                                                                                                                  Case detection rate
                                                                                                                                                                           please ensure that:
A grant agreement comprises five documents: face sheet, standard                                                                                  Treatment success rate   n   there is consistency
terms and conditions, Annex A, Performance Framework and Summary                               OBJECTIVE 1                                    OBJECTIVE 2                      between goals, objectives,
                                                                                  Increase smear-positive case detection                 Provide comprehensive
Budget (from Round 7 onwards). Ensure that program details in the                    rate through information, social                  care for TB/HIV co-infected             service delivery areas (SDAs)
                                                                                 involvement and improved access to TB                           patients
Performance Framework, including the grant number and the name of                   diagnosis for nomadic populations                     (including free ART)                 and indicators (see Figure 3)
the PR (not abbreviated or shortened), are exactly the same in all five                                                                                                    n   there is consistency
documents. The grant number is provided by the Global Fund at the                                                                                                              between the PF, the M&E
time of grant negotiations (see Figure 4).                                                SDA 1
                                                                                Advocacy communication &
                                                                                                                       SDA 2
                                                                                                                 Improving diagnosis
                                                                                                                                                 SDA 1
                                                                                                                                                 TB/HIV
                                                                                                                                                                               Plan, the workplan, the
   Make sure that you are completing the correct template for the grant         social mobilization (ACSM)
                                                                                                                Indicator 1             Indicator 1                            procurement plan and the
                                                                                Indicator 1                                             Number and percentage
period (Year 1+2, Year 3+4 and so on). (This is specified in the title and      Number of people reached
                                                                                                                Number and
                                                                                                                percentage of new       of registered TB patients              budget, and
                                                                                by the TB outreach activities
on the tab at the bottom of the sheet. These templates are available in                                         smear-positive TB
                                                                                                                cases detected
                                                                                                                                        who receive HIV testing
                                                                                                                                        and counseling                     n   the document is self-
                                                                                Indicator 2
the M&E section of The Global Fund website.)                                    Number of service deliverers
                                                                                                                among the estimated
                                                                                                                new smear-positive                                             explanatory.
                                                                                from NGOs/religious             TB cases
                                                                                associations trained in BCC
Select your target disease                                                      on TB and TB/HIV

The first step is to choose the disease for which the Performance            FIGURE 3: ExAMPLE OF CONSISTENT GOAL, OBJECTIVES, SERVICE DELIVERY AREAS AND INDICATORS
Framework is being prepared in the large yellow field at the top right
hand side of the sheet. When you do this the appropriate drop down
lists in various sections of the template will be activated. They will not
work until you have selected your disease.
    All drop-down lists can be overwritten if the information you wish
to enter is not in the list. In case you prefer not to use the drop-down
list and enter all information manually, you can proceed without
selecting a disease.

Section A: Periods covered and dates for progress
updates and disbursement requests
This section gives information on reporting periods over the grant
term, dates when progress updates and disbursement requests
(PU/DRs) are due and annual report and audit report due dates.
(See Figure 4.)


                                                                             FIGURE 4: PROGRAM DETAILS AND REPORTING PERIODS

MODULE 2 COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE                                                                                                                             M&E MANUAL 03/08 5
                     Setting reporting periods
                     When filling in this section, overlap or discontinuity in periods
                     should be avoided. The periods identified in these fields refer to
                     the reporting periods for which targets are included in the section
                     below. The frequency of reporting should be agreed during initial
                     grant negotiations, although it can be changed during the course
                     of program implementation. This decision affects the format of the
                     PF and the identification of targets, so agreement on frequency
                     should be reached early in the course of grant negotiations.
                        The reporting periods could be aligned with the national
                     reporting cycle by adjusting the duration of the initial (and therefore
                     the final) reporting period. The first reporting period could be
                     longer or shorter than three or six months in order to align with
                     the national reporting cycle. For example, if the quarterly reporting        FIGURE 5: PROGRAM GOAL, IMPACT AND OUTCOME INDICATORS
                     cycle of a country corresponds with the calendar year but the grant
                     begins in December, the first reporting period could be for four             Impact and outcome indicators
                     months instead of the usual three months (covering the period                Impact and outcome indicators to measure progress towards the
                     from December until March when it will become aligned with the               program goal(s) are entered in this section of the PF. In the first column,
                     first quarter of the national reporting cycle).                              select whether each indicator is an ‘outcome’ or an ‘impact’ indicator.
                        If the frequency of reporting and submission of the PU/                   Once this is selected, appropriate impact/outcome indicators can
                     DR is changed in the course of implementation, a revised PF                  be chosen from the drop down list in the second column, or entered
                     must be produced, and the change should be formalized in an                  manually. The dropdown list includes standard indicators as specified
                     Implementation Letter issued by the FPM.                                     in the multi-partner M&E Toolkit (available on the Global Fund website
                                                                                                  – see inside front cover of this booklet).
                     Section B: Program goals, impact and outcome
                     indicators                                                                   Choice of indicators
                     Program goals                                                                The Global Fund encourages the use of proposed standard
                     Goals are broad and overarching statements of desired, medium to             indicators as far as possible, however, if these are not appropriate
                     long-term outcomes of the program and should be consistent with the          for your program, you can overwrite this field and enter a country-
                     national disease control strategy.                                           specific indicator. The selected indicators and targets should be in
                        The goals specified in this section must be the same as those specified   line with the national disease control strategy and included in the
                     in the grant proposal form. (See Figure 5.)                                  national M&E Plan.
                                                                                                     In case the grant proposal does not list any impact or outcome
                                                                                                  indicators, refer to the M&E Toolkit or the national list of
                                                                                                  indicators.


6 M&E MANUAL 03/08                                                                       MODULE 2 COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE
   Ideally you should include two to five impact and outcome
indicators in your PF. They must all be measurable, for instance                                     Round 4 Grant (5 years)
collected by the Health Management Information System (HMIS)                         2005          2006         2007          2008        2009
or surveys, with adequate funding available for their measurement.
Existing data collection systems and already planned surveys
should be used as much as possible to minimize duplication of                                              PERFORMANCE FRAMEWORK 3-4

effort and additional costs.
   In the case of multiple grants in one country that intend to
reach a common goal for the same disease, impact and outcome                                        ALIGN AND HARMONIZE INDICATORS, TARGETS
                                                                                                            (especially impact/outcome)
indicators should be harmonized using the same definition.

Setting baselines
Baselines must be provided for each of your impact and outcome                                              PERFORMANCE FRAMEWORK 1-2
indicators with a clear data source, ideally a reference document that
is readily accessible. If baselines cannot be given at the onset of the
program, they should be established during Phase 1, in the first two                                             2007         2008          2009        2010      2011

years of the grant. If the source for data to be collected over subsequent                                                    Round 6 Grant (5 years)
years is going to be different from the source of the baseline data, this
needs to be explained in the ‘comments’ field in the final column of the     FIGURE 6: HARMONIzATION OF REPORTING PERIODS, INDICATORS AND TARGETS IN CASE
table.                                                                       OF MULTIPLE GRANTS PER DISEASE IN THE COUNTRY
    As more recent data becomes available for impact and outcome
indicators during the course of the program, for instance from more          the M&E Toolkit.)
recent surveys such as DHS, MICS and so on or technical partners’            In the case of multiple grants in one country that intend to reach a
reports – such the Global TB Control report (WHO), HIV Epidemic              common goal for the same disease, targets should be aligned between
Updates (UNAIDS) and so on – this information should be updated in           the grants in the years that they overlap, as illustrated in Figure 6.
your next performance framework. Based on this new data the targets          Targets must be in line with those indicated in the proposal and cannot
for remaining periods should be reviewed and adjusted as relevant.           be changed. Revision of targets during the course of the program is
                                                                             possible only in exceptional circumstances such as:
Setting targets                                                              n    when the original intended targets have been exceeded
Targets for your impact and outcome indicators should be set according       n    when more recent and reliable baseline data is available that
to when the indicators will be measured. For instance, if an indicator is         requires adjustment of targets, and
measured every year, annual targets should be included. If an indicator      n    when there have been changes in disease trends or population
is measured only every two years, for example, beginning in Year 2,               estimates.
targets should be given for Year 2 and Year 4 only. (For more details on     Note: All requests for revision of targets must be supported by relevant
the frequency of reporting for outcome and impact indicators refer to        technical documentation and/or validated by technical agencies such
                                                                             as WHO and UNAIDS.

MODULE 2 COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE                                                                                                         M&E MANUAL 03/08 7
                           Section C: Program objectives, service delivery areas and                     Health Systems Strengthening
                           indicators (see Figure 7)                                                     n   When HSS interventions included in the proposal are specific to
                           Program objectives                                                                a particular disease component, you should include the relevant
                           Each goal should have a set of related objectives that will lead the              indicators in the diseases specific Performance Framework either
                           program towards its achievement. These objectives should be consistent            under HSS specific SDAs or other SDAs.
                           with the objectives of the national strategy for disease control.             n   When HSS interventions included in the proposal are cross-
                                                                                                             cutting and benefit more than one disease, HSS specific SDAs and
                           Objective/indicator numbers                                                       indicators should be incorporated as a separate objective in one of
                           Indicators should be numbered in the first column according to the                the selected disease specific Performance Frameworks.
                           objective to which they relate: objective 1, indicator 1=1.1; objective 1,
                           indicator 2=1.2; objective 2, indicator 1=2.1; objective 2, indicator 2=2.2
                                                                                                         Indicators
                           and so on.
                                                                                                         Next you have to define your indicators for the chosen goal and objectives,
                                                                                                         giving baseline and target values.
                           Service delivery areas
                           For each objective, the key services to be delivered are grouped under
                                                                                                         The M&E Toolkit provides a short list of suggested standard indicators
                           the respective service delivery area (SDA). A drop-down list shows the
                                                                                                         recommended by technical partners including the ‘Top ten indicators’
                           recommended SDAs contained in the M&E Toolkit. If this list does not
                                                                                                         for performance-based funding across the three diseases. If these do not
                           fully reflect the program strategy, the field can be overwritten.
                                                                                                         adequately measure planned interventions, other indicators may be used.
                                                                                                         (See the box on page 9 for tips on choosing your indicators.)
                                                                                                         In the case of multiple grants for the same disease in a country (implementing
                                                                                                         the same activities), use the same indicator formulation between the
                                                                                                         different grants.
                                                                                                         Note: Do not repeat the impact and outcome indicators in this section.
                                                                                                         The only exceptions are TB outcome indicators namely cases detected and
                                                                                                         successfully treated, that are repeated in this section for routine reporting.

                                                                                                         Baselines
                                                                                                         Baseline data (value, year and source) needs to be provided for each
                                                                                                         indicator. The data source is ideally a reference document that is readily
                                                                                                         accessible. In the source field you can find a drop-down list of common
                                                                                                         data sources. If necessary, other sources may be included by simply
                                                                                                         overwriting the field. Indicate in the comments box if the source of data
                                                                                                         to be collected is different from the source of baseline information.

               FIGURE 7: PROGRAM OBJECTIVES, SERVICE DELIVERY AREAS AND INDICATORS                           The baseline for an indicator is the most recent available data on

8 M&E MANUAL 03/08                                                                              MODULE 2 COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE
achievements in the country prior to the start of the Global Fund
                                                                                 SOME TIPS ON CHOOSING INDICATORS
supported program. Baselines serve as the starting point against which
performance of the program will be assessed over time.
                                                                                 Indicators should:
   Baselines for new grants should take into consideration the latest
available results of previous grants and/or the latest available information     1 be able to measure performance and provide useful strategic information.
provided in WHO and UNAIDS reports and other technical data sources.             2 be consistent with the proposed objectives and activities.
   Baselines from the original Board-approved proposal can be revised if
                                                                                 3 be few in number (up to 15 output/coverage indicators and 2–6 impact/outcome indicators)
more recent and reliable data becomes available prior to grant signature.
The change in baseline needs to be documented in the comments field              4 be clear with well defined numerators and denominators (ideally using standard definitions) to
and new data source entered in the respective column.                              avoid different interpretations during their measurement and double counting.
   For PF for years 3, 4 and 5, the baselines should be the same as indicated    5 be derived from the M&E plan and supported by the workplan and budget.
at the start of Phase 1 of the program.
                                                                                 6 be selected according to the pace of implementation and frequency of data collection so that
                                                                                   results are available by month 18 of the grant life cycle for continuation of funding into Phase 2
Setting targets
                                                                                   and by month 42 for beyond Phase 2.
   Targets should be provided according to the frequency of
measurement of a given indicator (see the M&E Toolkit), ie quarterly, bi-        7 be harmonized across multiple grants for the same disease and same activity.
annual or annually depending on the agreed reporting schedule. Not all           8 include the Top 10 indicators relevant to your program.
indicators need to be reported on, and therefore do not need targets for
each period (see Figure 8).
                                                                                 There should also be a balance between indicators that could be reported on a routine basis and those
                                                                                 reported through sentinel surveillance or surveys.
  Targets must be in line with those indicated in the grant proposal
and cannot be changed. When setting targets for Phase 2, review                 targets are overachieved and the activity is to be continued in Phase 2,
the results achieved to date and adjust the targets accordingly. If the         the targets should be higher than the results achieved to date, but
                                                                                if Phase 2 targets have already been met, the indicator could be
                                                                                dropped.
                                                                                   Targets should also take into account the lead time needed for
                                                                                reporting results, for instance the time required for procurement of
                                                                                drugs or commodities or delays due to data analysis. Include targets
                                                                                only for the periods when data can be reported. For targets expressed in
                                                                                percentages, numerators and denominators should be provided where
                                                                                relevant.
                                                                                   In the case of multiple grants for the same disease in a country
                                                                                (implementing the same activities), for common indicators, indicate
                                                                                clearly in the comments field whether targets are combined or
FIGURE 8: SETTING PERIODIC TARGETS                                              additional and whether these activities are targeting the same, and/or


MODULE 2 COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE                                                                                                             M&E MANUAL 03/08 9
                               new geographical areas.                                                       – will be untied to the current grant. The number of people trained on
Directly tied targets
                                                                                                             HIV counseling and testing, however, will be directly tied.
Targets funded solely by
                               Directly tied/untied (shared)
current Global Fund grant
                               Whether the target reflects solely Global Fund financing through the          Baselines included in targets
                               current grant (the one that is being signed) or a co-financed program         In this column, you must choose ‘Y’ (yes) or ‘N’ (no) from a drop-down
Untied targets
                               should be clearly indicated in the PF. In this field, you need to choose      list to indicate whether or not baselines are included in each target.
Targets supported by shared
                               ‘Y’ (yes) if targets are directly tied to Global Fund financing (activities
funding by more than one set
                               are funded solely by the current Global Fund grant). If they reflect          Baselines should generally not be included in targets, with some
of resources
                               results of a broader national, regional or institutional program to           exceptions.
                               which Global Fund resources contribute and thus are shared between
                               all donors involved, tick ‘N’ (no). The targets are untied if they include       When the Global Fund grant carries over activities that were previously
                               a contribution from a previous Global Fund grant.                             funded by another donor and ensures their continuity, the baselines
                                                                                                             are included in the targets. For example, in an existing anti-retroviral
                               Targets included in the same PF can be both ‘tied’ or ‘untied’, depending     treatment program where a grant supports patients who have already
                               on the resources supporting achievement of related targets. For               been receiving treatment and/or additional patients, the targets should
                               example, when the Global Fund, through the new grant, is supporting           include the baseline. The baselines are also included when already
                               a treatment program fully in a given target area, the intended results        existing operational service delivery points are to be supported by
                               for all activities will be directly tied to this grant.                       the grant.

                                 If the Global Fund resources are being used to finance human                Cumulative vs non-cumulative targets
                               capacity development for HIV testing and counseling, while another            It should be clearly specified in this column, by choosing from the drop-
                               source of financing will be used for the diagnostic material and a            down list, whether targets are:
                               previous Global Fund grant for the infrastructure and community                   n cumulative over the program term (ie target is maintained or

                               outreach, the intended result – people receiving testing and counseling              increases across program term. In that case each target is equal or
                                                                                                                    greater than the previous period’s target)
                                                                                                                 n cumulative annually (ie target is maintained or increases across

                                                                                                                    one year of the program starting counting from zero each year), or
                                                                                                                 n not cumulative (ie only current period target is put and is independent

                                                                                                                    across periods).

                                                                                                             See Figure 9 (left) for some examples of the three options for recording
                                                                                                             targets. Targets should generally be cumulative, with some exceptions.
                                                                                                             The most typical examples of targets that are not cumulative over program
                                                                                                             term are TB indicators (eg number and percentage of new smear-positive
                                                                                                             TB cases detected, number and percentage of new smear-positive cases
FIGURE 9: ExAMPLE SHOWING THE THREE OPTIONS FOR RECORDING TARGETS

10 M&E MANUAL 03/08                                                                                 MODULE 2 COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE
successfully treated (both usually reported cumulatively annually)).         grants.
   Please note that the programs will be evaluated against cumulative
performance over the grant term even if certain indicators are reported in   Special scenarios
a non-cumulative manner.

                                                                             Grant consolidation
                                                                             If you intend to consolidate two or more grants (or an approved
                                                                             proposal and one or more grants) being implemented by the same PR
                                                                             for the same disease component into a single Grant Agreement, you
                                                                             will need to prepare a consolidated PF based on the existing targets in
                                                                             the constituent grants’ PF

                                                                             Key points in the preparation of a PF for a
                                                                             consolidated grant
                                                                             n   Harmonize indicator descriptions (preferably using standard
                                                                                 definitions from the M&E Toolkit).
                                                                             n   Rationalize the total number of indicators, selecting those that
                                                                                 reflect the key activities supported by the consolidated program.
                                                                             n   Combine targets for identical output indicators when targets of
FIGURE 10: ExAMPLES OF HOW TO PROVIDE ADDITIONAL                                 constituent grants are directly tied to the respective grants.
INFORMATION
                                                                             n   Align impact/outcome indicator targets in the constituent grants
                                                                                 over the consolidated grant term.
Comments
                                                                             n   Include both the oldest baseline as well as most recent information
In addition to the various information/data fields, any other
                                                                                 (at the time of consolidation) for impact/outcome indicators.
pertinent information regarding a particular indicator should be
included in the comments column (see Figure 10).                             n   Update the baselines for output/coverage indicators according
   This could include information regarding source of data                       to the latest available results for the indicator. When moving from
(especially if different from source of baseline); name, frequency               directly tied to untied targets as a part of the consolidation process,
and timing of any surveys; description of target populations; details            baselines should be updated in line with national baselines.
of activities measured by the indicator; any deviation from the              n   Ensure that the consolidation process does not result in the loss of
original Board-approved proposal (when supported by technical                    key service delivery indicators or target reductions.
evidence and agreed by the Global Fund).
   In case of multiple grants for the same disease in a country, the         Dual-Track Financing
comments box should include whether targets are combined or                  Dual-Track Financing is the inclusion of both government and non-
additional and whether there is geographic overlap between the               government Principal Recipients (PRs) in proposals for Global Fund financing.


MODULE 2 COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE                                                                                                       M&E MANUAL 03/08 11
                      It is already being implemented by a number of countries in various               n   For activities and corresponding indicators that are being continued
                      configurations where one or more government PRs are implementing                      from the original grant, targets can either build on previous targets to
                      activities derived from the same original proposal, together with one or more         enable cumulative reporting or be newly established considering
                      non-government PRs.                                                                   updated baseline values.
                          Proposals including two or more PRs for the same disease component            n   Where activities from the original grant are continued and indicators
                      should prepare one consolidated PF (including all PRs). The consolidated              are identical, it is recommended that the PR approach target setting and
                      PF should indicate the names of all the implementing entities against each            reporting as for the original grant, i.e. where targets were set to accumulate
                      indicator. In cases where two or more PRs are contributing to the same                over the program term and reporting was on a cumulative basis, that
                      indicator, the PF should list only one consolidated target (ie, the sum of each       this be continued for the RCC period; however where targets were set to
                      PR contribution), but should indicate the names of each contributing PR               accumulate only over a year and be reset at the beginning of each
                      (There is a separate PF template for Dual-Track Financing.) In addition, one PF       program year and reporting was cumulative on an annual basis only, that
                      should be developed separately for each implementing PR.                              this be continued for the RCC period.
                          In exceptional cases when the planned activities of the different
                      implementing PRs are not related to one another, separate PFs may be
                      developed without a consolidated PF.

                      Beyond Phase 2 (Rolling Continuation Channel)
                      RCC grant is considered a continuation of an original grant. Performance
                      Frameworks for grants in RCC are developed along the same principles as
                      applied for Phase 2 grant signature (for Years 3, 4 and 5).

                      Key points in the preparation of a PF for RCC
                      n   The PF covers the first two years of RCC, with annual targets for the third
                          year. You can choose to include quarterly/six monthly breakdown of Year
                          3 targets as well. In that case you won’t need a separate PF for year 3 at
                          the end of first two years of RCC grant.
                      n   The PF is numbered according to the year of implementation. For
                          example, if the original grant covered five years, the PF for the first two
                          years of the grant will be named ‘PF6+7/RCC1+2’. If the original grant
                          covered four years, the PF will be named ‘PF5+6/RCC1+2’. (There is a
                          separate PF template for RCC.)
                      n   The reporting periods continue from the last period under the ‘old’ grant
                          where the PR remains the same.
                      n   In addition to the existing baselines and targets for impact/outcome
                          indicators, current baselines should be included.


12 M&E MANUAL 03/08                                                                            MODULE 2 COMPLETING THE PERFORMANCE FRAMEWORK TEMPLATE
The Global Fund to Fight AIDS, Tuberculosis and Malaria
Chemin de Blandonnet 8, 1214 Vernier, Geneva, Switzerland   ■   www.theglobalfund.org

								
To top