Introduction to Development Evaluation 发展评价导言


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Shanghai International Program for Development Evaluation Training Asia-Pacific Finance and Development Center; 200 Panlong Road-Shanghai, October 9, 2008

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Introduction to Development Evaluation 发展评价导言

  1. 1. Introduction to Development Evaluation 发展评价导言 Shanghai International Program for Development Evaluation Training Asia-Pacific Finance and Development Center 200 Panlong Road-Shanghai, October 9, 2008 Linda Morra-Imas
  2. 2. <ul><li>Linda Morra-Imas </li></ul><ul><li>Chief Evaluation Officer & Advisor Evaluation Capacity Building I nternational F inance C orporation </li></ul><ul><li>2121 Pennsylvania Avenue, NW Washington DC 20433 USA </li></ul><ul><li>[email_address] </li></ul><ul><li> </li></ul>Dadang Solihin Indonesia Delegation Shanghai International Program for Development Evaluation Training
  3. 3. Introduction 导言 <ul><li>Evaluation, What Is It? </li></ul><ul><li>什么是评价? </li></ul><ul><li>Origin and History of the Evaluation Discipline </li></ul><ul><li>评价的起源和发展历程 </li></ul><ul><li>Evaluation Development Context </li></ul><ul><li>评价的发展背景 </li></ul><ul><li>Principles and Standards for Development Evaluation </li></ul><ul><li>评价原则和标准 </li></ul>
  4. 4. OECD Definition 经济合作与发展组织( OECD )的定义 <ul><li>Evaluation 评价 </li></ul><ul><li>The process of determining the worth or significance of an activity, policy, or program 确定一项活动、政策或计划的价值或者重要性的过程 </li></ul><ul><li>an assessment, as systematic and objective as possible, of a planned, on-going, or completed intervention 对一项尚处于计划中、正在实施、或者已经完成的干预措施开展的尽可能系统而客观的评估 </li></ul>
  5. 5. <ul><li>In this topic, we will discuss the following about evaluation: </li></ul><ul><ul><li>defining evaluation </li></ul></ul><ul><ul><li>purpose of evaluation </li></ul></ul><ul><ul><li>using evaluation </li></ul></ul>Evaluation: What Is It? 什么是评价?
  6. 6. Kinds of Evaluations 评价的类型 <ul><li>Formative 形成性评价 </li></ul><ul><ul><li>focus on improved performance before and during implementation (project, program or policy) </li></ul></ul><ul><ul><li>注重于执行前和执行中的经过改善的绩效(项目、计划或政策) </li></ul></ul><ul><li>Summative 总结性评价 </li></ul><ul><ul><li>focus on outcomes (consequences) 注重于成效(成果) </li></ul></ul><ul><li>Prospective 前瞻性评价 </li></ul><ul><li>asses the likely outcomes of proposed interventions </li></ul><ul><li>评估提出干预活动的可能成果 </li></ul><ul><ul><ul><li>Is this program/project/policy worth evaluating? </li></ul></ul></ul><ul><ul><ul><li>该项目 / 计划 / 政策值得进行评价吗? </li></ul></ul></ul><ul><ul><ul><li>Will the gains be worth the effort/resources expended? </li></ul></ul></ul><ul><ul><ul><li>相对于付出的努力和资源,评价获得的收益值得 吗? </li></ul></ul></ul>
  7. 7. Kinds of Evaluations (Cont) <ul><li>From the OECD Glossary: </li></ul><ul><li>Formative evaluations are evaluations intended to improve performance, [and] are most often conducted during the implementation phase of projects or programs. </li></ul><ul><li>Formative evaluations may also be conducted for other reasons such as compliance, legal requirements or as part of a larger evaluation initiative. </li></ul><ul><li>Summative evaluations are studies conducted at the end of an intervention (or a phase of that intervention) to determine the extent to which anticipated outcomes were produced. </li></ul><ul><li>Summative evaluation is intended to provide information about the worth of a program. </li></ul>
  8. 8. Kinds of Evaluations (Cont) <ul><li>A formative evaluation is an evaluation that looks into the ways in which the program, policy or project is implemented, whether or not the assumed ‘operational logic’ corresponds with the actual operations and what (immediate) results the implementation (stages) produce. </li></ul><ul><li>This type of evaluation is usually conducted during the implementation phase of projects or programs but can also be done ex post. </li></ul><ul><li>A part of what is known as “monitoring and evaluation” can also be seen as process (oriented) studies. </li></ul><ul><li>Formative evaluations may include rapid appraisals, mid-term evaluations, and evaluations of implementation processes. </li></ul>
  9. 9. Kinds of Evaluations (Cont) <ul><li>Evaluations during the implementation phase (process evaluations) provide feedback so that the implementation can be improved and barriers to improved performance can be identified and removed. </li></ul><ul><li>Mid-point evaluations can begin to focus on lessons learned, as well as relevance, effectiveness and efficiency. </li></ul><ul><li>When the intervention has matured, relevance, effectiveness, efficiency, early signs of impact, sustainability and external utility can be assessed. Lessons learned are also important in guiding future interventions. </li></ul>
  10. 10. Kinds of Evaluations (Cont) <ul><li>Summative evaluation (outcome/impact evaluation) is a study conducted at the end of an intervention (or a phase of that intervention) to determine the extent to which anticipated outcomes were produced and an impact was realized. </li></ul><ul><li>Summative evaluation is intended to provide information about the worth and the impact of the program. </li></ul><ul><li>Summative evaluations may include: impact assessments, cost-effectiveness investigations, quasi-experiments and randomized experiments. </li></ul><ul><li>However, as randomized and quasi-experiments compare the ´results´ of the intervention before and after it has been implemented and therefore always use the counterfactual, this approach could also be brought under the concept of formative evaluations. </li></ul>
  11. 11. Kinds of Evaluations (Cont) <ul><li>Ex-post (outcome/impact) evaluations are generally conducted after the interventions were completed. </li></ul><ul><li>They are used to answer questions of relevance, performance, impacts, sustainability, external utility and lessons learned. </li></ul><ul><li>Stated another way: </li></ul><ul><ul><li>formative evaluations focus on project/program/policy improvement </li></ul></ul><ul><ul><li>summative evaluations focus on consequences or results — enabling persons to make assessments, with respect to the creation, continuation or enlargement of a given project/program/policy </li></ul></ul><ul><li>A balance between the two kinds of evaluation is often needed. Frequently, both kinds of evaluation are needed and utilized by organizations. </li></ul>
  12. 12. Purpose of Evaluation 评价目的 <ul><li>Ethical 道德方面 </li></ul><ul><li>Managerial 管理方面 </li></ul><ul><li>Decisional 决策方面 </li></ul><ul><li>Educative and Motivational </li></ul><ul><li>教育和激励方面 </li></ul>
  13. 13. Purpose of Evaluation (Cont) <ul><li>Ethical purpose: </li></ul><ul><li>to report to political leaders and citizens on how a policy has been implemented and the results achieved. This purpose combines those of better accountability, information, and the serving of democracy. </li></ul><ul><li>Managerial purpose: </li></ul><ul><li>to achieve a more rational apportionment of financial and human resources among different actions, and improve the management of the services entrusted with accomplishing them </li></ul>
  14. 14. Purpose of Evaluation (Cont) <ul><li>Decisional purpose: </li></ul><ul><li>the pave the way for decisions on the continuation, termination or reshaping of a policy </li></ul><ul><li>Educative and Motivational purpose: </li></ul><ul><li>to help in educating and motivating public agents and their partners by enabling them to understand the processes in which they are engaged and identify themselves with their objectives. </li></ul>
  15. 15. Benefits of Evaluation 评价的益处 <ul><li>Helps answer questions about interventions </li></ul><ul><li>有助于回答有关干预的问题 </li></ul><ul><li>Benefits for people 对人的益处 </li></ul><ul><ul><li>direct vs. indirect 直接或间接 </li></ul></ul><ul><ul><li>intended vs. unintended 有意或无意 </li></ul></ul><ul><ul><li>short-term vs. long-term 短期或长期 </li></ul></ul>
  16. 16. What to Evaluate? 评价对象 <ul><li>Projects 项目 </li></ul><ul><li>Programs 计划 </li></ul><ul><li>Policies 政策 </li></ul><ul><li>Organizations 组织 </li></ul><ul><li>Sectors 部门 </li></ul><ul><li>Themes 主题 </li></ul><ul><li>Country assistance 国家援助 </li></ul>
  17. 17. What to Evaluate? (Cont) <ul><li>Evaluations can look at many different facets of development. The following are some of these. </li></ul><ul><li>Projects : a single intervention in one location or a single project implemented in several locations. </li></ul><ul><li>Programs : an intervention comprising various activities or projects, which are intended to contribute to a common goal. </li></ul><ul><li>Policies : evaluations of the standards, guidelines or rules set up by an organization to regulate development decisions </li></ul><ul><li>Organizations : multiple intervention programs delivered by an organization.    </li></ul>
  18. 18. What to Evaluate? (Cont) <ul><li>Sectors : evaluations of interventions across a specific policy arena, such as education, forestry, agriculture, and health. </li></ul><ul><li>Thematic : evaluations of particular issues, often cross-cutting, such as gender equity, global product goods, or millennium goal development. </li></ul><ul><li>Country assistance : evaluations of progress relative to the plan, the overall effect of aid, and lessons learned. </li></ul>
  19. 19. Uses of Evaluations 评价的运用 <ul><li>Give feedback on the performance of policies, programs, and projects </li></ul><ul><li>对有关政策、计划和项目的绩效做出反馈 </li></ul><ul><li>Make policies, programs, and projects accountable for how they use public funds </li></ul><ul><li>解释政策、计划和项目是如何使用公共资金的 </li></ul><ul><li>Help stakeholders learn more about policies, programs, and projects </li></ul><ul><li>协助利益相关者了解更多有关政策、计划和项目的信息 </li></ul><ul><li>Carried out around the needs of the primary intended user </li></ul><ul><li>围绕主要预期使用者的需求开展评价 </li></ul><ul><li>Clarify theory of change for projects, programs, and policy </li></ul><ul><li>明确项目,计划和政策的变革理论 </li></ul>
  20. 20. Evaluation Provides Information on: 评价提供以下几方面的信息 : <ul><li>Strategy – 策略层面 - </li></ul><ul><ul><li>Are the right things being done? </li></ul></ul><ul><ul><li>是否在做正确的事? </li></ul></ul><ul><li>Operations – 操作层面 - </li></ul><ul><ul><li>Are things being done right? </li></ul></ul><ul><ul><li>是否在正确地做事? </li></ul></ul><ul><li>Learning – 学习层面 - </li></ul><ul><ul><li>Are there better ways? </li></ul></ul><ul><ul><li>有无其它更好的方法? </li></ul></ul>
  21. 21. Evaluation Provides Information on: (Cont) <ul><li>In summary, managers can use information from evaluation to focus on: </li></ul><ul><li>the broad political strategy and design issues (“are we doing the right things?” </li></ul><ul><li>operational and implementation issues (“are we doing things right?”) </li></ul><ul><li>whether there are better ways of approaching the problem (“what are we learning?”). </li></ul>
  22. 22. Monitoring and Evaluation 监测和评价 <ul><li>Monitoring 监测 </li></ul><ul><ul><li>routine, ongoing, and internal activity of tracking key indicators </li></ul></ul><ul><ul><li>追溯关键指标的正在进行中的常规内部活动 </li></ul></ul><ul><ul><li>internal activity 内部活动 </li></ul></ul><ul><ul><li>used to collect information on a program’s activities , outputs and outcomes to measure performance of the program 用于收集项目活动,产出和成果的相关资料,以及衡量项目绩效的指标 </li></ul></ul><ul><li>Evaluation 评价 </li></ul><ul><ul><li>period and time bound 定期或在特定时限内实施 </li></ul></ul><ul><ul><li>can be internal, external or participatory 可以是内部的,外部的或是参与式的 </li></ul></ul><ul><ul><li>periodic feedback to key stakeholders 定期向关键利益相关者反馈评价结果 </li></ul></ul>
  23. 23. Who Conducts the Evaluation 谁进行评价 <ul><li>Internal evaluators: 内部评价人员 </li></ul><ul><ul><li>usually know more 通常更加了解: </li></ul></ul><ul><ul><ul><li>history, organization, culture, problems, successes 被评价对象的历史、组织、文化、存在的问题及成就 </li></ul></ul></ul><ul><ul><li>may be too close 可能与被评价对象关系过于密切 </li></ul></ul><ul><li>External evaluators: 外部评价人员 </li></ul><ul><ul><li>have more credibility and specialized skills 具有更高的可信度和专业技能 </li></ul></ul><ul><ul><li>independent from administration and financial decisions 与管理和财政决策保持独立 </li></ul></ul>
  24. 24. Who Conducts (cont.) 谁进行评价 <ul><li>Participatory Evaluation 参与式评价 </li></ul><ul><ul><li>representatives of agencies and stakeholders (including beneficiaries) work together in designing, carrying out and interpreting an evaluation </li></ul></ul><ul><li>相关机构和利益相关者(包括受益人)的代表共同设计、实施一项评价,并对评价结果进行解释说明。 </li></ul><ul><ul><li>participatory methods may be used in internal and external evaluations </li></ul></ul><ul><ul><li>参与式方法可以用于内部和外部评价 </li></ul></ul>
  25. 25. Participatory Evaluation (vs. Internal or External) 参与式评价 ( 与内部或外部评价相比 ) <ul><li>Distinction between experts and layperson, researcher and researched, is de-emphasized and redefined 不强调专家与外行、研究人员与研究对象之间的区别,只是重新定义这些区别 </li></ul><ul><li>Evaluators act as facilitators and instructors 评价人员充当推动者和指导者 </li></ul><ul><li>Others make the assessment 由其他人进行评价 </li></ul><ul><li>A more radical step away from the model of independent evaluation 在远离独立评价模式方面迈出了激进的一步 </li></ul>
  26. 26. Participatory Evaluation (vs. Internal or External) ( Cont) <ul><li>Note the distinction between participatory evaluation and participatory methods; the latter may be used in internal and external evaluations. </li></ul><ul><li>Recently development evaluation has had a greater emphasis on participatory evaluations. </li></ul>
  27. 27. Evaluator Activities 评价人员的活动 <ul><li>Consult with main client and all key stakeholders 与主要客户以及所有的关键利益相关者进行协商 </li></ul><ul><li>Reconstruct or construct theory of change 重新建立或建立变革理论 </li></ul><ul><li>Design the evaluation 设计评价活动 </li></ul><ul><li>Manage evaluation budgets 管理评价预算 </li></ul><ul><li>Perform or conduct the evaluation (or contract staff to perform the evaluation) 实施评价(或者雇用人员实施评价) </li></ul><ul><li>Identify standards for effectiveness 确认评价效果的衡量标准 </li></ul><ul><li>Collect, analyze, interpret, and report on data and findings 收集、分析、解释和报告数据和结果 </li></ul>
  28. 28. Timeline 时间历程 Expansion into global activity 扩张至全球活动 1980s to now 20 世纪 80 年代至今 mid 1970-80 20 世纪 70 年代中期 -80 年代 Profession status 专业地位 More routine (US and Europe) 更加常规化(美国和欧洲) 1950s-60s 20 世纪 50-60 年代 1957 Sputnik (前苏联)人造地球卫星 1900 Medical Schools (US and Canada) 医学院(美国和加拿大) 1880 Education and Social Programs 教育和社会计划 Modern Evaluations 现代评价 1600 Egypt and China 埃及和中国 2000 BC 公元前 2000 年 1940 Reconstruction after WW – Banks 世界大战后的重建——银行
  29. 29. Origins of Development Evaluation 发展评价的起源 <ul><li>Audit tradition 审计传统 </li></ul><ul><li>Social science tradition 社会科学传统 </li></ul>
  30. 30. Origins of Development Evaluation (Cont) <ul><li>Auditing traces its roots to 19 th century Britain when growing commercial and industrial development gave rise to the …need for verifiably accurate and dependable financial records… Auditors’ work lent credibility to the growing capitalist infrastructure of the West. </li></ul><ul><li>Auditors’ opinions carried weight because of their technical craftsmanship and because auditors were outsiders. </li></ul>
  31. 31. Origins of Development Evaluation (Cont) <ul><li>The audit tradition has an investigative, financial management, and accounting orientation: did the program do what was planned and was the money spent within the rules, regulations, and requirements? It uses concepts such as internal controls, good management/governance, and verification. Its emphasis is on accountability and compliance. Auditors are traditionally independent from program managers. </li></ul><ul><li>Evaluation relies on both scientific and social research methods . The scientific method “refers to research methodologies that pursue verifiable knowledge through the analysis of empirical data.” The scientific method, as the name implies, grew out of the 13 th century natural sciences, and relied on Aristotle’s notion of induction. </li></ul>
  32. 32. Origins of Development Evaluation (Cont) <ul><li>The scientific method contains four basic steps: </li></ul><ul><li>observation/characterization/identification of a problem </li></ul><ul><li>formation/development of a hypothesis </li></ul><ul><li>predictions based on hypothesis </li></ul><ul><li>experimentation/testing of the predictions through data collection and analysis. </li></ul>
  33. 33. Origins of Development Evaluation (Cont) <ul><li>Evaluation uses a variety of methods from other social sciences, including sociology, anthropology, statistics, political science, etc. Indeed, </li></ul><ul><li>The application of social research methods to evaluation coincides with the growth and refinement of the methods themselves, as well as with ideological, political, and demographic changes that have occurred this [past] century. Of key importance were the emergence and increased standing of the social sciences in universities and increased support for social research. Social science departments in universities became centers of early work in program evaluation and have continued to occupy an influence place in the field.” [ </li></ul><ul><li>Indeed, the origins and basis of many of the IPDET modules presented here will be draw from the social sciences. </li></ul>
  34. 34. Changing Development Concepts “ 发展 ” 概念的变化 Reconstruction Technical assistance Engineering 战后重建 技术援助 工程学 Growth Projects Finance 经济增长 项目 金融学 Basic needs Sector investment Planning 基本需求 部门投资 规划 Adjustment Adjustment lending Neoclassical economics 调整 调整贷款 新古典主义经济学 Capacity Country assistance Multi-disciplinary 能力 国家援助 多学科 Poverty reduction Partnerships Results-based management 减贫 伙伴关系 面向结果的管理 Decade 年代 Objectives 目标 Approaches 方式 Discipline 学科 1950s 20 世纪 50 年代 1960s 20 世纪 60 年代 1970s 20 世纪 70 年代 1980s 20 世纪 80 年代 1990s 20 世纪 90 年代 2000s 21 世纪
  35. 35. <ul><li>As we move into the first decade of the 21 st century, trends in development highlight: poverty reduction, partnerships, participation, and a results orientation. Sector-wide, country level, and global levels are now being increasingly used. </li></ul><ul><li>Sector-wide approaches, or SWAPs, support a country-led program for a coherent sector in a comprehensive and coordinator manner. It is characterized by: </li></ul><ul><li>country-owned sector policies and strategies; </li></ul><ul><li>sustained, country-led partnership among development partners and key stakeholders; </li></ul><ul><li>common program and an expenditure framework based on agreed priorities and strategies; </li></ul><ul><li>common approaches in planning, implementation and monitoring and evaluation ; and </li></ul><ul><li>increasing reliance on country’s systems and procedures. </li></ul>Changing Development Concepts ( Cont)
  36. 36. <ul><li>Thus, SWAPs also include new challenges for funding strategies and donor partnership/coordination at the broader sectoral level. </li></ul><ul><li>The current decade has also seen a shift from project to country level assistance programs and national poverty reduction strategies. That is, from partial to more comprehensive development approaches. </li></ul><ul><li>These approaches emphasize improving the effectiveness of development assistance in: </li></ul><ul><ul><li>reducing poverty </li></ul></ul><ul><ul><li>long-term holistic framework </li></ul></ul><ul><ul><li>results orientation </li></ul></ul><ul><ul><li>Sustainability </li></ul></ul><ul><ul><li>institutional development </li></ul></ul><ul><ul><li>country ownership </li></ul></ul><ul><ul><li>country-led partnerships with bilateral and multilateral donors, NGOs, civil society, and the private sector and so on. </li></ul></ul>Changing Development Concepts ( Cont)
  37. 37. Significant Changes 重大变化 <ul><li>From partial development to more comprehensive development </li></ul><ul><li>从局部发展到综合性发展 </li></ul><ul><li>Toward global approaches to development </li></ul><ul><li>寻求通过全球途径来促进发展 </li></ul><ul><li>From individual efforts to coordinated, participatory development </li></ul><ul><li>从个体努力到协调的参与式发展 </li></ul><ul><li>Toward using partnerships for large-scale development challenges </li></ul><ul><li>寻求利用伙伴关系应对巨大的发展挑战 </li></ul>
  38. 38. Development Evaluation: 发展评价: <ul><li>A sub-discipline of classical evaluation </li></ul><ul><li>传统评价的一个分支学科 </li></ul><ul><li>Uses a variety of methodologies and practices </li></ul><ul><li>运用各类方法与实践 </li></ul><ul><li>Mixed methodologies work best </li></ul><ul><li>采用多种方法,获得最佳效果 </li></ul>
  39. 39. Growth of Professional Evaluation Associations 专业评价协会的增加 <ul><li>Increasing numbers of associations around the world, especially in the last few years </li></ul><ul><li>尤其是近些年来,全世界专业协会的数量不断增加 </li></ul><ul><li>Demonstrate more value is being given to development evaluation as a profession </li></ul><ul><li>发展评价作为一个专门领域的价值不断增长 </li></ul><ul><li>Organizations create a support system and allow for professionalism </li></ul><ul><li>这些组织纷纷成立专门的支持系统,侧重考虑专业性 </li></ul>
  40. 40. International Organizations 国际组织 <ul><li>International Organization for Cooperation in Evaluation (IOCE) </li></ul><ul><li>国际评价合作组织 </li></ul><ul><li>International Development Evaluation Association (IDEAS) </li></ul><ul><li>国际发展评价协会 </li></ul>
  41. 41. DAC Criteria for Evaluating Development Assistance 发展援助委员会发展援助评价准则 <ul><li>Relevance 相关性 </li></ul><ul><li>The extent to which the objectives of a development intervention are consistent with beneficiaries’ requirements, country needs, global priorities, and partners’ and donors’ policies. </li></ul><ul><li>发展干预的目标和受益人的要求,国家需要以及全球重点,合作伙伴和捐助方政策相一致程度 </li></ul><ul><li>Effectiveness 成效 </li></ul><ul><li>A measure of the extent to which an aid activity attains its objectives </li></ul><ul><li>衡量一项援助活动达成其目标的程度 </li></ul><ul><li>Efficiency 效率 </li></ul><ul><li>Measures the outputs – qualitative and quantitative – in relation to the inputs. </li></ul><ul><li>效率是用来测度相对于投入的定性和定量的产出 </li></ul>
  42. 42. DAC Criteria for Evaluating Development Assistance (Cont) <ul><li>Relevance : </li></ul><ul><li>The extent to which the aid activity is suited to the priorities and policies of the target group, recipient, and donor. </li></ul><ul><li>Effectiveness : </li></ul><ul><li>A measure of the extent to which an aid activity attains its objectives. </li></ul><ul><li>Efficiency : </li></ul><ul><li>Efficiency measures the outputs- qualitative and quantitative – in relation to the inputs. It is an economic term, which signifies that the aid uses the least costly resources possible in order to achieve the desired results. </li></ul><ul><li>This generally requires comparing alternative approaches to achieving the same outputs, to see whether the most efficient process has been adopted.       </li></ul>
  43. 43. DAC Criteria for Evaluating Development Assistance (cont.) 发展援助委员会发展援助评价准则 <ul><li>Impact 影响 </li></ul><ul><li>Positive and negative changes produced by a development intervention, directly or indirectly, intended or unintended </li></ul><ul><li>发展干预活动直接或间接,预期或非预期所产生的积极和消极的变化。 </li></ul><ul><li>Sustainability 可持续性 </li></ul><ul><li>The degree to which the benefits of an activity are likely to continue after donor funding has been withdrawn </li></ul><ul><li>可持续性是用来衡量一项活动在援助者投资收回后,其收益是否可能继续下去。 </li></ul>
  44. 44. DAC Criteria for Evaluating Development Assistance (Cont) <ul><li>Impact : </li></ul><ul><li>The positive and negative changes produced by a development intervention, directly or indirectly, intended or unintended. This involves the main impacts and effects resulting from the activity on the local social, economic, environmental and other development indicators. The examination should be concerned with both intended and unintended results and must include the positive and negative impact of external factors, such as changes in terms of trade and financial conditions.          </li></ul><ul><li>Sustainability : </li></ul><ul><li>Sustainability is concerned with measuring whether the benefits of an activity are likely to continue after donor funding has been withdrawn. Projects need to be environmentally as well as financially sustainable. </li></ul>
  45. 45. DAC Specific Principles for the Evaluation of Development Assistance 发展援助委员会( DAC )对于发展援助的具体原则 <ul><li>Purpose 目的 </li></ul><ul><li>Impartiality and independence 公正性与独立性 </li></ul><ul><li>Credibility 可信性 </li></ul><ul><li>Usefulness 有用性 </li></ul><ul><li>Participation of donors and recipients 援助方和受援方的参与 </li></ul><ul><li>Donor cooperation 援助方合作 </li></ul><ul><li>(continued on next slide) ( 转下页 ) </li></ul>
  46. 46. DAC Specific Principles for the Evaluation of Development Assistance (cont.) 发展援助委员会( DAC )对于发展援助的具体原则 <ul><li>Evaluation programming </li></ul><ul><li>评价体系 </li></ul><ul><li>Design and implementation of evaluations </li></ul><ul><li>评价的设计和执行 </li></ul><ul><li>Reporting, dissemination, and feedback </li></ul><ul><li>报告、散发和反馈 </li></ul><ul><li>Application of these principles </li></ul><ul><li>原则的应用 </li></ul>
  47. 47. Why Standards? 为什么需要制定标准? <ul><li>Promote accountability </li></ul><ul><li>推动问责机制 </li></ul><ul><li>Facilitate comparability </li></ul><ul><li>提高可比性 </li></ul><ul><li>Enhance reliability and quality of services provided </li></ul><ul><li>提高所提供服务的可靠性和质量 </li></ul>
  48. 48. Evaluation Standards 评价标准 <ul><li>DAC Evaluation Quality Standards (for test phase application) 发展援助委员会评价质量标准 (用于测试阶段申请) </li></ul><ul><ul><li> </li></ul></ul><ul><li>Program Evaluation Standards 计划评价标准 </li></ul><ul><ul><li> </li></ul></ul><ul><li>United Nations Norms for Evaluation in the UN System 联合国系统评价规范 </li></ul><ul><ul><li> </li></ul></ul><ul><li>(continued on next slide) (转下页) </li></ul>
  49. 49. Evaluation Standards (cont.) 评价标准(续) <ul><li>Standards for Evaluation in the UN System 联合国系统评价标准 </li></ul><ul><ul><li> </li></ul></ul><ul><li>American Evaluation Association (AEA) Guiding Principles 美国评价协会( AEA )指导原则 </li></ul><ul><ul><li> </li></ul></ul>
  50. 50. Evaluation Standards (cont.) 评价标准(续) <ul><li>The Program Evaluation Standards list four attributes of sound evaluation: </li></ul><ul><li>utility – ensuring that an evaluation meets the information needs of intended users </li></ul><ul><li>feasibility – ensuring that an evaluation will be realistic, prudent, diplomatic, and frugal </li></ul><ul><li>propriety – ensuring that an evaluation will be conducted legally, ethically, and with due regard for the welfare of those involved in the evaluation, as well as those affected by its results </li></ul><ul><li>accuracy – ensuring that an evaluation will reveal and convey technically adequate information about the features that determine worth or merit of the program being evaluated </li></ul>
  51. 51. Evaluation Standards (cont.) 评价标准(续) <ul><li>There are seven standards that will strengthen the utility of an evaluation; </li></ul><ul><li>three standards directed toward strengthening its feasibility; </li></ul><ul><li>eight standards to strengthen the propriety of an evaluation; and </li></ul><ul><li>twelve standards aimed at strengthening the accuracy of an evaluation. </li></ul><ul><li>Altogether, these standards provide a guide for those who are designing evaluations and for those who are evaluating evaluations. </li></ul>
  52. 52. Evaluation Standards (cont.) 评价标准(续) <ul><li>IEG/DAC Sourcebook for Evaluating Global and Regional Partnership Programs (GRPPs): Indicative Principles and Standards </li></ul><ul><li>独立评价局 / 发展援助委员会:评价全球和区域合作计划资料读物:指示性原则和标准 </li></ul><ul><ul><li>Draws from evaluation standards above and applies to GRPPs </li></ul></ul><ul><ul><li> </li></ul></ul>
  53. 53. Evaluation and Independence 评价和独立性 <ul><li>Independent evaluation 独立评价 (OECD glossary): </li></ul><ul><ul><li>an evaluation carried out by entities and persons free of the control of those responsible for the design and implementation of the evaluation </li></ul></ul><ul><ul><li>评价是由独立德不受为评价设计和执行负责人员控制的实体和个人所开展的 </li></ul></ul><ul><ul><li>the credibility of an evaluation depends in part on how independently it has been carried out </li></ul></ul><ul><ul><li>一项评价的可信度一部分取决于评价是如何独立的展开的 </li></ul></ul>
  54. 54. Criteria of Evaluation Independence 评价独立的标准 <ul><li>Organizational independence </li></ul><ul><li>组织独立 </li></ul><ul><li>Behavioral independence </li></ul><ul><li>行为独立 </li></ul><ul><li>Avoidance of conflicts of interest </li></ul><ul><li>避免利益冲突 </li></ul><ul><li>Protection from external influence </li></ul><ul><li>免受外来影响 </li></ul>
  55. 55. Thank you! 谢谢!
  56. 56. <ul><li>Beside working as Assistant Professor at Graduate School of Asia-Pacific Studies, Waseda University, Tokyo, Japan, he also active as Associate Professor at University of Darma Persada, Jakarta, Indonesia. </li></ul><ul><li>He got various training around the globe, included Shanghai International Program for Development Evaluation Training (2008) , Public Officials Capacity Building Training Program for Government Innovation, Seoul –Korea (2007), Advanced International Training Programme of Information Technology Management, at Karlstad City, Sweden (2005); the Training Seminar on Land Use and Management, Taiwan (2004); Developing Multimedia Applications for Managers, Kuala Lumpur, Malaysia (2003); Applied Policy Development Training, Vancouver, Canada (2002); Local Government Administration Training Course, Hiroshima, Japan (2001); and Regional Development and Planning Training Course, Sapporo, Japan (1999). He published more than five books regarding local autonomous. </li></ul><ul><li>You can reach Dadang Solihin by email at [email_address] or by his mobile at +62812 932 2202 </li></ul>Dadang Solihin currently is Director for Regional D evelopment Performance Evaluation at Indonesian National Development Planning Agency (Bappenas). He holds MA degree in Economics from University of Colorado, USA. His previous post is Director for System and Reporting of Development Performance Evaluation at Bappenas. Dadang Solihin’s Profile